- Robert Half Finance & Accounting (New York, NY)
- …are currently recruiting for a Compliance Associate role at a global Investment firm based in midtown Manhattan New York. Our client requires 2+ years' ... Investment Compliance experience at an RIA, Asset...handling confidential information + Bachelor Degree or higher The Compliance Associate role requires 3 days per… more
- Morgan Stanley (New York, NY)
- …efficient risk-adjusted returns, acting as a strategic advisor to the Board and protecting the Firm and Investment Funds from exposure to losses as a result of ... > Identifying, assessing and monitoring financial and liquidity risks related to the Firm 's Investment Management business (with specific focus on its Public … more
- Scotiabank (New York, NY)
- Associate , Healthcare Investment Banking **Requisition ID:** 196536 **Salary Range:** 175,000.00 - 225,000.00 _Please note that the Salary Range shown is a ... to results, in an inclusive and high-performing culture. **_Position_** : Associate , Healthcare Investment Banking **Global Banking and Markets** Global… more
- Raymond James Financial, Inc. (New York, NY)
- …corporations and municipalities through its subsidiary companies engaged primarily in investment and financial planning, in addition to capital markets and asset ... to associates, and clients of the future. Our company values associate development and growth, offering opportunities through developmental programs, mentorships,… more
- Raymond James Financial, Inc. (New York, NY)
- …experience, to have a positive impact on the Strategic Business Unit (SBU) and the firm through the development of the team, managing the Investment Banking (IB) ... and Abilities** **Knowledge of** * Advanced concepts, practices and procedures of Investment Banking. * Advanced investment concepts, practices and procedures… more
- M&T Bank (New York, NY)
- …protect the organization's legal and business interests. + Partner with Compliance , Risk and Audit groups on supported divisional/departmental matters, as ... other relevant legal experience. + Experience working as an attorney with a law firm and/or as in-house counsel. + Deep knowledge of Commercial Real Estate Financing… more
- Raymond James Financial, Inc. (New York, NY)
- …corporations and municipalities through its subsidiary companies engaged primarily in investment and financial planning, in addition to capital markets and asset ... to associates, and clients of the future. Our company values associate development and growth, offering opportunities through developmental programs, mentorships,… more
- Raymond James Financial, Inc. (New York, NY)
- …corporations and municipalities through its subsidiary companies engaged primarily in investment and financial planning, in addition to capital markets and asset ... to associates, and clients of the future. Our company values associate development and growth, offering opportunities through developmental programs, mentorships,… more
- Neuberger Berman (New York, NY)
- …Representing Compliance in client and prospect due diligence meetings + Coordinating compliance program within the framework of the firm 's overall global ... Chief Compliance Officer for over $55 billion complex of...investors globally. Tenured, stable and long-term in focus, the firm has built a diverse team-including 750-plus investment… more
- SMBC (New York, NY)
- …serves as a 2LOD compliance function responsible for overseeing and monitoring the firm 's compliance risk. The Associate Advisory Compliance Officer ... across the Firm . **Qualifications and Skills** + Knowledge of general compliance themes and processes. General understanding of banking rules helpful + Ability… more
- JPMorgan Chase (New York, NY)
- …instrumental in managing emerging risks and promoting responsible business growth. As a Compliance - Executive Regulatory Briefings - Senior Associate in our ... the firm , including but not limited to working with Compliance , Legal, LOBs/Functions including Control Management. Candidate will develop expertise on the… more
- JPMorgan Chase (New York, NY)
- …capital allocation frameworks, industry leading research on financial money flow, investment portfolio strategy, firm -wide balance sheet optimization efforts and ... **2025 Quantitative Analytics Associate Program - Summer Associate ** **Short...validate mathematical models, methodologies and tools used throughout the firm while gaining in-depth insight into the world of… more
- Morgan Stanley (New York, NY)
- … Management is seeking an Associate to join its US Portfolio Surveillance/ Investment Compliance team within the COO office. The successful candidate will ... to key stakeholders. * Review prospective and existing client investment management agreements in relation to firm ...- External* * 3 - 5 years relevant portfolio surveillance/ investment compliance and client servicing needs *… more
- Neuberger Berman (New York, NY)
- …client investment and administrative review process (Institutional Administrative and Investment Compliance Committee) and act as business owner of process ... and individual investors globally. Tenured, stable and long-term in focus, the firm has built a diverse team-including 750-plus investment professionals and… more
- Morgan Stanley (New York, NY)
- Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth ... for a subset of consultants by coordinating with various internal groups ( Investment teams, Sales, Marketing, Operations, Compliance , etc.) to ensure accuracy… more
- Neuberger Berman (New York, NY)
- …and individual investors globally. Tenured, stable and long-term in focus, the firm has built a diverse team-including 750-plus investment professionals and ... a member of the Private Wealth Centralized Business Services group, the Associate /Analyst will provide onboarding and business support to Neuberger Berman Private… more
- Morgan Stanley (New York, NY)
- …requirements, capital structure, dividends and stock repurchases; promotes the optimal use of Firm capital while ensuring compliance with regulatory and Firm ... the Firm . Company Profile Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment … more
- KPMG (New York, NY)
- … investment in our people, our future, and what we stand for as a firm KPMG is currently seeking a Senior Associate to join our International Tax ... The attached link 'https://assets.kpmg.com/content/dam/kpmg/us/pdf/2018/09/eeo.pdf? 'contains further information regarding the firm 's compliance with federal, state and local… more
- Morgan Stanley (New York, NY)
- …and results. . Build strong cross-functional relationships across Sales Distribution, Marketing, Investment Teams, Legal & Compliance . . Develop and execute ... Morgan Stanley Investment Management ("MSIM") is a global investment...Stanley brand, continually refined over the years. The Senior Associate of Channel Marketing is a key member of… more
- Morgan Stanley (New York, NY)
- …* Proficient in applicable software applications * Strong understanding of applicable compliance rules, regulations and firm policies * Knowledge of financial ... *POSITION SUMMARY:* The Portfolio Management (PM) Associate Director is a vital part of the.../ Private Wealth Advisors with the development and execution investment strategies based on client goals. The Portfolio Management… more