- Morgan Stanley (New York, NY)
- …Morgan Stanley sponsored benefit programs. **Job:** ** Compliance * **Title:** * Equity Sales & Compliance Officer * **Location:** *New York-New York* ... best practices. Primary Responsibilities This individual will provide advisory compliance support for ISG Equity Sales and Trading, covering derivatives and … more
- Scotiabank (New York, NY)
- Senior Manager, Conduct Compliance Officer **Requisition ID:** 210173 **Salary Range:** 117,400.00 - 224,700.00 _Please note that the Salary Range shown is a ... and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, derivatives,… more
- Scotiabank (New York, NY)
- Senior Manager, Markets Compliance Officer **Requisition ID:** 204138 **Salary Range:** 110,700.00 - 211,800.00 _Please note that the Salary Range shown is a ... and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, derivatives,… more
- SMBC (New York, NY)
- …of the broker dealer's compliance risk, and is represented by the Chief Compliance Officer as either a member or observer of various committees such as ... Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage...and conduct monitoring of the broker dealers public side sales and trading groups with a focus on all… more
- SMBC (New York, NY)
- …of the broker dealer's compliance risk, and is represented by the Chief Compliance Officer as either a member or observer of various committees such as ... Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage...and conduct monitoring of the broker dealers public side sales and trading groups with a focus on all… more
- Siebert Williams Shank (New York, NY)
- …and experienced compliance professional to the team led by the Chief Compliance Officer . The selected candidates will be responsible for supporting the ... firm's overall compliance program including developing policies and procedures, communicating all...regulatory changes to the taxable fixed income, municipal & equity securities sales & trading, public &… more
- Neuberger Berman (New York, NY)
- …individual investors worldwide. Our broad capabilities include traditional and alternative equity and fixed income strategies, private equity , commodities, and ... NB Alternative business encompasses a range of strategies, including Private Equity (Primary, Secondary, and Co-Investments), Private Credit, Fund of Hedge funds,… more
- SMBC (New York, NY)
- …Summary** The Nikko Securities America, Inc. middle/back office Business Control Officer is a business-aligned change agent and risk management individual ... Business Unit interaction with 2nd LoD functions including Risk Management and Compliance . **Scope** The Nikko Securities America, Inc. Midback Business Control … more
- Neuberger Berman (New York, NY)
- …natural person and entity new accounts, with strategies spanning across asset classes ( equity , fixed income, private equity /credit and hedge funds) with emphasis ... focus on identification, mitigation and resolution of alerts related to IPS Compliance (including but not limited to deviation from asset allocation/risk profiles,… more
- RXR Management Holdings LLC (New York, NY)
- …update materials for specific RXR partners or investors + Work with RXR's Chief Compliance Officer to ensure offering materials and the distribution of the same ... Markets Team for their capital raising efforts in a sales support capacity. This role will be responsible for...possible quality working closely with other members of the Equity Capital Markets team and Chief Strategy Officer… more
- Neuberger Berman (New York, NY)
- …the development and implementation of technology solutions across Marketing, Sales , Employee Platform, and Client Services. Reporting directly to Neuberger ... Berman's Chief Technology Officer and serving as a member of the Global...expertise in leveraging advanced analytics to benefit marketing and sales professionals is crucial. This senior leadership position requires… more
- Broadridge Financial Solutions (New York, NY)
- …ICS provides technology-driven solutions to help clients meet their regulatory compliance needs and manage critical communications to shareholders. It serves banks, ... archival and workflow solutions. . Role Description Reporting to Broadridges Chief Financial Officer , the Chief Financial Officer ICS (CFO ICS) will form an… more
- US Bank (New York, NY)
- …or related field + FINRA licenses 7, 24, and 63 required; Series 14 ( Compliance Officer Exam) recommended + Knowledge and experience with various types of ... broker-dealer subsidiaries in areas such as strategy, risk management, compliance , operations, finance, employee relations, and regulator relations. Specific… more
- JPMorgan Chase (New York, NY)
- Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan Chase strong and resilient. You help the ... President in Counterparty Credit Risk within Risk Management and Compliance , you are at the center of keeping JPMorgan...ad hoc risk investigations and analyses for credit officers, sales and senior management, Assessment of CSA terms adequacy,… more
- Scotiabank (New York, NY)
- …and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, derivatives, ... and all audit activities are conducted / executed / delivered in compliance with governing regulations, internal policies, and procedures. **What You'll Do** +… more
- Scotiabank (New York, NY)
- …and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, derivatives, ... regulatory reporting, and product control under GAAP and IFRS. + Act primarily as Officer in Charge (OIC) for assigned projects, processes, and units. May act as… more
- JPMorgan Chase (New York, NY)
- …to support the execution of Investment and Corporate Banking transactions across Equity Capital Markets, Debt Capital Markets, Mergers and Acquisitions, and Lending. ... product bankers, Wholesale KYC Operations (WKO) Client Office and Compliance teams in region to meet local or product...of prior work experience preferred with a background in sales /client service and project management a plus + Previous… more
- MUFG (New York, NY)
- …efforts that may include: a liquidation of the Borrowers' assets, loan sales , or potentially providing ongoing financing; (iii) proactively monitor deals and assign ... and maximize recoveries. We are seeking a seasoned banking officer with strong credit analysis skills, cash flow modeling,...capital structure (ie, subordinated debt, 2nd lien debt, mezzanine, equity , etc.). + Work with in-house and outside legal… more
- Scotiabank (New York, NY)
- …and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, derivatives, ... overall success of the Office of the Chief Operating Officer in the United States and the US Operations...+ Document and Distribute minutes post meetings Adherence to Compliance Requirements: + Ensure adherence to the US … more
- Scotiabank (New York, NY)
- …and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, derivatives, ... operational resilience, and business continuity. + Act as an Officer in Charge (OIC) for assigned projects. Execute on...such as COEs, regional audit teams including Capital Markets, Compliance , Risk Management, and IT to develop a stronger… more