- TD Bank (New York, NY)
- …team in NYC. The ideal candidate must have compliance experience in the investment banking space, preferably in an advisory capacity. The Vice President will ... assist in the management of the firms compliance program supporting all corporate investment banking...relevant control personnel. **Position Requirements** + 5-7+ years of compliance advisory experience. Similar experience with a… more
- Citigroup (New York, NY)
- The Senior Executive Assistant provides support to another individual or group of individuals by handling correspondence, managing calendars and appointments, ... supports an entire department + Manages day to day calendar(s) of senior management + Coordinates all aspects of executive level manager appointments, meetings,… more
- Marex (New York, NY)
- …www.marex.com (http://www.marex.com/) Purpose of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will provide compliance ... across four core services: Market Making, Clearing, Hedging and Investment Solutions and Agency and Execution. It has a...requirements. The position will primarily focus on providing real-time compliance advisory services and serve as the… more
- Marex (New York, NY)
- …information visit www.marex.com (http://www.marex.com/) Purpose of Role: The Senior Compliance Officer - Fixed Income Advisory will provide compliance ... across four core services: Market Making, Clearing, Hedging and Investment Solutions and Agency and Execution. It has a...municipal bonds, and US Treasuries as well as providing compliance advisory services regarding various other regulatory… more
- TD Bank (New York, NY)
- …risk. Ideal candidate would have previous compliance experience, preferably in an advisory capacity. The Senior Manager will provide support to the overall ... more specific details for this role. **Job Description:** The Senior Compliance Officer provides advice, guidance and...Markets Advisory Compliance team helping with large projects… more
- Raymond James Financial, Inc. (New York, NY)
- …the company complies with regulations and good financial practice. Develop and amend investment models to provide input to senior colleagues and/or help manage ... client organization, delivering high-quality professional services with guidance from senior colleagues. Develop own capabilities by participating in assessment and… more
- Raymond James Financial, Inc. (New York, NY)
- …company complies with regulations and good financial practice. Analyze and forecast investment or market trends by designing and developing nonroutine investment ... May also manage specific assigned portfolios while helping to develop investment policy. Recommend changes to policies, processes, standards, and practices that… more
- TD Bank (New York, NY)
- …York City. The ideal candidate must have compliance experience in the investment banking space, preferably in an advisory capacity. The Director will ... Description:** We are looking for a Director, US Markets Compliance Advisory to join our team in...primarily focus on the management of the firms compliance program supporting all corporate investment banking… more
- Guidehouse (Mclean, VA)
- **Job Family** **:** Risk & Regulatory Compliance Consulting **Travel Required** **:** Up to 50% **Clearance Required** **:** None **What You Will Do** **:** ... has an aggressive growth strategy for its Financial Crimes, Risk and Compliance (FCRC) practice and currently seeks candidates with relevant financial crimes, fraud,… more
- Robert Half (Dallas, TX)
- …. Where We Need You: Protiviti is looking for a Technology Audit & Advisory Senior Consultant to join our growing Financial Services team. Protiviti's Financial ... JOB REQUISITION Dallas Technology Audit & Advisory (Financial Services) Senior Consultant LOCATION...etc. + Sarbanes-Oxley Act provisions and methodologies for achieving compliance , in particular the technology implications and requirements. +… more
- JPMorgan Chase (New York, NY)
- …Bachelor's degree. + Seven years or more years of experience in corporate or investment banking, corporate finance advisory or valuation, with at least five ... team as an Executive Director in the Capital & Advisory Solutions group, where you will leverage your expertise...Review legal documents on existing ESOP deals to ensure compliance . + Work with Associates to prepare detailed financial… more
- Wells Fargo (Chicago, IL)
- **About this role:** Wells Fargo is seeking a Senior Lead Fiduciary Advisory Specialist (LO) to join the Special Needs Trust Services team as part of Wealth and ... Investment Management. Learn more about the career areas and...as a subject matter expert. The Special Needs Trust Advisory Specialist is responsible for growing the credibility and… more
- Marex (New York, NY)
- …Purpose of Role: Marex is seeking a Compliance Officer - Swap Advisory who will provide compliance advisory services for Marex's registered ... related compliance programs. The position will primarily focus on providing real-time compliance advisory services to the MDP and MSP business units as well… more
- Santander US (New York, NY)
- Advisory Compliance Officer - Fixed Income Business Line Compliance Country: United States of America **Your Journey Starts Here:** Santander is a global ... **We Want to Talk to You!** USA Job Family Description: You will provide real-time compliance advisory support to the US Fixed Income & Currencies sales and… more
- Robert Half (Dallas, TX)
- …. Where We Need You: Protiviti is looking for an Internal Audit & Financial Advisory Senior Consultant focused on Trust Auditing to join our growing Financial ... JOB REQUISITION Dallas Internal Audit & Financial Advisory (Financial Services - Trust Audits) Senior...trust accounts, fiduciary activities, and internal controls to ensure compliance with federal and state banking regulations. + Ensuring… more
- Robert Half (Los Angeles, CA)
- JOB REQUISITION Los Angeles Internal Audit & Financial Advisory Senior Consultant LOCATION LOS ANGELES ADDITIONAL LOCATION(S) JOB DESCRIPTION You Belong Here The ... Protiviti is looking for an Internal Audit & Financial Advisory Senior Consultant to join our growing...PCAOB. + Sarbanes-Oxley Act provisions and methodologies for achieving compliance . + The Institute of Internal Auditors (IIA's) code… more
- The Hartford (Hartford, CT)
- …others accomplish theirs, too. Join our team as we help shape the future. Senior Investment Operations Analyst About HIMCO Hartford Investment Management ... Operations you will gain exposure to all parts of HIMCO, including, Investment Sectors, Portfolio Management, Trading, Legal, Compliance , Accounting and… more
- Huntington National Bank (Detroit, MI)
- Description The Senior Managing Director - Captive Insurance Banking is responsible for the oversight and growth of the business, emphasizing the sale of letters of ... credit, trust and investment management products in the captive insurance space. The...efficiency. + Implement robust risk management practices to ensure compliance with regulatory requirements and mitigate potential risks. +… more
- JPMorgan Chase (New York, NY)
- …to them? You have found the right team! As a Letter of Credit Product Advisory Associate in the Commercial Bank, you will be supporting the team's Vice Presidents in ... the workings of our internal teams, eg, deal team leads, credit, legal, compliance and business management, relating to credit decisioning, product set up and… more
- Deloitte (New York, NY)
- …equity and investment management industries? Do phrases like "cross border investment advisory " and "fund formation, hold, and exit reporting and consulting" ... your interest? Do you enjoy providing tax consulting and compliance services to US and foreign clients while identifying...consider a career in Deloitte's International Private Equity and Investment Management practice. What You'll Do As a Tax… more
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