Equity Capital Markets Risk and Controls Specialist

4 days ago

New York, New York, United States Calculated Hire Full time
Job Description:

Calculated Hire is seeking a highly skilled Business Execution Consultant IV to join our team in the Equities business. As a key member of the Corporate & Investment Banking (CIB) Control Team, you will be responsible for implementing and managing the First Line of Defense risk program requirements.

This role will support the broader Equities business, including Cash Trading, Derivatives Trading, Equity Finance, Equity Advisory, and the FCM. You will work closely with the Equities Research, Research Sales, and Economics teams to design and implement first-line controls in accordance with regulatory requirements, company policies, and industry best practices.

Key Responsibilities:

  • Execute risk framework requirements, including the RCSA and creation of metrics.
  • Establish governance for open and upcoming items across all risk inventories and programs.
  • Collaborate with Line of Business (LOB) partners on control design, implementation, and monitoring.
  • Ensure the LOB profile of applicable regulations and associated controls is maintained and monitored.
  • Establish connectivity, linkage, and integration with in-region international risk management teams.
  • Maintain an inventory of relevant business processes, governance channels, internal testing, audit, and regulatory engagements.
  • Conduct risk assessments to evaluate the adequacy and effectiveness of policies, procedures, processes, systems, technology, and internal controls.
  • Participate in business growth initiatives and maintain awareness of platform changes.
  • Awareness and involvement in regulatory change control and alignment of related controls.

Desired Qualifications:

  • Direct experience with Equity Research and related control frameworks.
  • Demonstrated understanding of rules and regulations applicable to the Equity Research business.
  • Experience with operational risk framework, the RCSA, and related control programs.
  • Prior experience in a business control or compliance role with a focus on control design and evaluation.
  • Prior experience with governance frameworks and management reporting of non-financial risk profiles.

  • Equity Capital Markets Specialist

    7 days ago

    New York, New York, United States HSBC Full time

    Job SummaryWe are seeking a highly skilled and experienced Senior Investment Banking Manager to join our Equity Capital Markets team at HSBC. As a key member of our team, you will be responsible for originating, structuring, and executing equities, equity-linked, and strategic equity transactions on behalf of our clients.Key ResponsibilitiesOriginate and...

  • Equity Capital Markets Specialist

    7 days ago

    New York, New York, United States HSBC Group Full time

    Job SummaryWe are seeking a highly skilled Senior Investment Banking Executive to join our Equity Capital Markets team at HSBC Group. As a key member of our team, you will be responsible for originating, structuring, and executing equities, equity-linked, and strategic equity transactions on behalf of our clients.Key ResponsibilitiesOriginate and execute...

  • Equity Capital Markets Analyst

    2 weeks ago

    New York, New York, United States Scotiabank Full time

    Requisition ID: Salary Range: 110,000.00 Please note that the Salary Range indicated is a guideline only. The salary offered may vary based on factors such as the successful candidate's relevant knowledge, skills, and experience. Join a purpose-driven team that is committed to achieving results within an inclusive and high-performing culture. Position:...

  • Equities Risk Control Manager

    7 days ago

    New York, New York, United States Hudson River Trading Full time

    About the RoleHudson River Trading is seeking an experienced Equities Risk Manager to join our team in New York City. As a key member of our risk management team, you will be responsible for designing, improving, managing, and communicating market and liquidity risk for intraday to long-term relative value equity strategies.You will collaborate closely with...

  • Equity Capital Markets Analyst

    4 days ago

    New York, New York, United States Truist Inc Full time

    Job SummaryWe are seeking a highly motivated and detail-oriented Equity Capital Markets Analyst to join our team at Truist Securities. As an Equity Capital Markets Analyst, you will play a key role in supporting senior investment banking professionals in originating, structuring, and executing equity capital raising transactions.Key ResponsibilitiesAssist in...

  • UHNW Capital Markets Specialist

    1 month ago

    New York, New York, United States Bank of America Full time

    Job Description:At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day.One of the keys to driving Responsible Growth is being a great place to work for our...

  • Equity Investment Associate

    2 weeks ago

    New York, New York, United States Affinius Capital Full time

    Company Overview:Affinius Capital, along with its affiliated entities, engages in investments across various risk profiles for a diverse global clientele, managing over $32 billion in net assets within a varied portfolio spanning North America and Europe. The firm provides strategic equity and debt financing, addressing the rising demand for...

  • Equity Investment Associate

    2 weeks ago

    New York, New York, United States Affinius Capital Full time

    Company Overview:Affinius Capital, along with its affiliated entities, engages in investments across various risk levels for a diverse global clientele, managing over $32 billion in net assets within a well-rounded portfolio across North America and Europe. The firm provides strategic equity and debt financing, addressing the growing demand for...

  • Equity Investment Associate

    2 weeks ago

    New York, New York, United States Affinius Capital Full time

    Company Overview:Affinius Capital, along with its affiliated entities, engages in investments across various risk levels for a diverse global clientele, managing over $32 billion in net assets within a well-rounded portfolio spanning North America and Europe. The firm provides strategic equity and debt financing to leverage the growing demand for...

  • Senior Vice President, Capital Markets Advisory

    7 days ago

    New York, New York, United States Capital One Full time

    About the RoleThis is a unique opportunity to join Capital One's Capital Markets team as an Executive Director, Strategic Capital Solutions. As a key member of our team, you will be responsible for originating, structuring, and placing equity and/or junior capital in the private markets.Key ResponsibilitiesAssist in sourcing placement opportunities from...

  • Head of Equity Capital Markets

    7 hours ago

    New York, New York, United States Intesa Sanpaolo Group Full time

    Job SummaryIntesa Sanpaolo Group is seeking a highly experienced professional to lead our Equity Capital Markets (ECM) efforts in the Americas. As the Head of Equity Capital Markets - Americas, you will be responsible for originating and executing ECM transactions with corporate and financial institution clients.Main ResponsibilitiesAdvise and structure ECM...

  • Equity Risk Analyst

    2 weeks ago

    New York, New York, United States Nomura International Full time

    Corporate Title: Associate Department: Risk Management Location: New York Compensation: Expected annual salary between $95,000 and $115,000* Company Overview: Nomura is a prominent global financial services organization with a comprehensive network that spans around 30 countries and regions. By bridging markets across East and West, Nomura meets the needs of...

  • Equity Risk Management Specialist

    1 week ago

    New York, New York, United States Millennium Management Corp Full time

    Equity Risk Management SpecialistAs a vital member of the Equity Risk Management division, you will collaborate closely with the team leader to define and oversee trading limits, risk protocols, and performance indicators for Portfolio Managers. Your role will evolve to include daily partnerships with Portfolio Managers for onboarding discussions and...

  • Equity Risk Management Specialist

    2 weeks ago

    New York, New York, United States Millennium Management Corp Full time

    Equity Risk Management SpecialistAs an integral part of our Equity Risk Management division, you will collaborate closely with the team leader to define and oversee trading parameters, risk protocols, and performance indicators for Portfolio Managers. Your role will evolve to include daily partnerships with Portfolio Managers for onboarding discussions and...

  • Equity Risk Management Specialist

    1 week ago

    New York, New York, United States Millennium Management Corp Full time

    Equity Risk Management SpecialistAs an integral part of our Equity Risk Management division, you will collaborate closely with the team leader to define and oversee trading parameters, risk protocols, and performance indicators for Portfolio Managers. In this role, you will engage daily with Portfolio Managers to facilitate onboarding discussions and...

  • Biotech Equities Analyst

    2 months ago

    New York, New York, United States DTG Capital Markets Full time

    Firm's operations range from mid to long term investments in biotech/healthcare domains, to private's Capital Markets activities.This position's at a successful tracked team that utilizes unique combination of science, medicine and finance, within an investment management firm that uses multi-disciplinary approach for its investment process In this highly...

  • Market Risk Specialist

    5 days ago

    New York, New York, United States Collabera Full time

    Job SummaryWe are seeking a highly experienced Market Risk Specialist to join our team at Collabera. As a Senior Program Manager, you will be responsible for ensuring the timely execution of deliverables across all workstreams while imparting subject matter expertise and know-how.Key ResponsibilitiesProvide regulatory understanding and experience with...

  • Quantitative Trader/Portfolio Manager

    4 days ago

    New York, New York, United States DTG Capital Markets Full time

    About DTG Capital MarketsWe are a leading investment firm seeking a highly skilled Quantitative Trader/Portfolio Manager to join our team. Our firm specializes in allocating significant capital to systematic and quantitative US equities strategies, focusing on mid to low-frequency trading with holding periods ranging from days to weeks.Key...

  • Capital Markets Analyst

    2 weeks ago

    New York, New York, United States Annaly Capital Management Full time

    Role Overview We are looking for a skilled analyst to become a part of the Investor Relations (IR) team. The IR team collaborates with various departments within the organization to oversee the firm's communication with all key stakeholders. These stakeholders include, but are not limited to, investors, equity analysts, and media representatives. As a...

  • Senior Market Risk Project Manager

    2 weeks ago

    New York, New York, United States Mitchell Martin Inc. Full time

    Position Title: Market Risk Project ManagerLocation: Hybrid RoleEmployment Type: Contract (W2 or Independent Contractor)Key Responsibilities:Oversee and manage front office change initiatives, ensuring alignment with market risk standards.Utilize extensive market risk knowledge to drive transformation and change management efforts within Capital...