- Citigroup (New York, NY)
- …for clients. The overall objective of this role is to act as strategic advisor to our clients by formulating investment strategies and raising capital for clients. ... Build a culture of responsible finance, good governance and supervision , expense discipline and ethics + Appropriately assess risk/reward...to Citi's Code of Conduct and the Plan of Supervision for Global Markets and Securities Services + Adhere… more
- Capital One (New York, NY)
- …regulations, including but not limited to anti-money laundering, outside brokerage accounts, outside business activities, OSJ/branch inspections, firm element ... of conduct + Advising and supporting Principals on their business decisions, supervision of persons or functions, and compliance with applicable rules + Providing… more