Compliance Officer - Investment Bank Compliance - Origination & Advisory - Capital Markets - Vice President
Responsibilities
under the Family and Medical Leave Act ; Employee Polygraph Protection Act and Pay Transparency Nondiscrimination Provision .
Job ID R0327387
Markets Fixed Income Product Compliance Officer - Vice President
Serves as a Markets Fixed Income Product Compliance officer for Independent Compliance Risk Management (ICRM) responsible for assisting with internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a risk management f...
Investment Banking - Shareholder Engagement and M&A Capital Markets - Vice President
Morgan's Shareholder Engagement and M&A Capital Markets (SEMAC) team is expanding its mandate within the bank to include broader shareholder engagement and M&A Capital Markets advisory, while continuing to handle traditional shareholder activism and corporate defense. Job Summary As a Vice Pres...
$250/45mins Paid Market Research Study for Payments Compliance Officer in the Utilities Sector
Directors of Payments Strategy, Payment Systems Manager, Payment Solutions Architect, Merchant Services Manager, Head of Payment Operations, Payments Compliance Officer, Payment Product Manager, Treasury Manager, Receivables Manager. ...
Compliance, Financial Crime Compliance (FCC), Forensics, Vice President / Associate, NY
Founded in 1869, we are a leading global investment banking, securities and investment management firm. The ideal candidate would have an inquisitive and skeptical mindset, strong data query and analytical skills, business knowledge with a focus on financial markets/products and experience performin...
Global Advisory, Legal & Compliance Analyst, NY
Rothschild & Co is a registered broker-dealer that provides financial advisory services to corporate clients in connection with mergers and acquisitions, bankruptcy and restructuring and equity capital markets transactions. The Analyst will work closely with our attorneys and other legal and complia...
Investment Banker - Healthcare Services - Vice President
As a Vice President in Healthcare Services Investment Banking, you’ll have experience developing strong relationships with corporates and financial institution clients and working across different products. We are seeking an experienced Vice President to join our industry leading investment banking ...
Client Services Specialist- Depositary Receipts - Assistant Vice President
It is the Bank’s expectation that employees hired into this role will work in the New York City office in accordance with the Bank’s hybrid working model. Client Services Specialist- Depositary Receipts. Coordinate very closely with the Client Management Team and work; with Legal, Transaction Manage...
Volcker EAC Compliance and Operational Risk Manager
The Volcker Enterprise Area of Coverage (EAC) Global Compliance & Operational Risk (GCOR) officer is a person who has financial services experience with a knowledge of markets, compliance risk management practices, and trading products. Engages in activities to provide independent compliance and ope...
Senior Compliance Consultant - Corporate Trust
Provide 2nd Line of Defense coverage to Wilmington Trust Corporate & Institutional Services: Corporate Trust Services, Capital Markets Agency Services, Capital Markets Structured Finance (ABS, MBS), Institutional Custody and Collateral Management Services, Loan Market Solutions. Supports the 2nd Lin...
Compliance Officer - Hedge Fund
Monitor and mitigatepliance risks associated with investments. Minimum of 5 years' experience in hedge fund or investment managementpliance. Knowledge of SEC regulations and the Investment Advisers Act of 1940. ...