compliance Product Officer - Risk
The... and maintenance of best-in-class compliance programs, policies and practices... and interpretation of internal compliance policies. Assisting with regulatory... In-Business Risk to address compliance issues which may impact complianceread more
Executive Manager compliance & Control, Markets
The candidate... financial affairs of the compliance function. Sets organizational compliance policies and business practices... and develops common compliance methodologies. Leads global teams... projects to improve worldwide compliance and presents program and complianceread more
The Candidate will be... responsible for monitoring new and amended rules and regulations and determining applicability to the GBAM businesses. Monitoring horizon risks and determining applicability to GBAM businesses.... read more
VP, Deputy Chief Compliance Officer
The candidate will... each of the following compliance teams: broker-dealer oversight (responsible... the broker-dealer); investment advisory compliance team (supporting investment advisory... and state securities inquiries); compliance surveillance team (providing monitoring... 20 individuals with two Compliance Vice Presidents reporting directly.... Compliance...
from company affiliate companies and alliance partners on global issues as needed. Manages corporate governance and recordkeeping for the company and subsidiaries in compliance with applicable law. Proactively... informs assigned business client of important legal, enforcement and other industry developments....
Corporate Attorney, Employment and Compliance (Group)
The candidate will... General Counsel, Digital and Compliance, on various employment and... compliance related initiatives, including fielding... and conducting ethics and compliance training, conducting investigations into... and online ethics and compliance training program. Audits compliance......
Legal & Compliance Counsel
Duties: Responsible to... an effective and comprehensive compliance program across the U.S.... with the Head of Compliance (U.S.). Partner with Head... of Compliance (U.S.) in advising commercial... pharmaceutical regulatory matters and compliance laws, regulations, standards and... compliance...
Political Law Compliance, Government Relations Compliance Officer... to act as a compliance and operational risk control... regarding policy and legal/regulatory compliance. Complete ad hoc Anti... Bribery and Corruption projects as needed. Work with the Government Relations/Anti-Bribery and Corruption team, which...
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Bank Regulatory Attorney
The candidate... regulatory expertise on general bank regulatory issues and compliance,... all matters pertaining to bank supervision, including safety &... soundness and regulatory compliance examinations; Providing advice and... guidance to the compliance group and to the... across the enterprise, including compliance, technology, risk, operations and... compliance....
Senior Corporate Financing Attorney
The candidate will be... across the enterprise, including compliance, technology, risk, operations and... other key partners; Supporting other projects to support the legal department as necessary. Must have Juris Doctorate degree. Must have 15+ years’ experience...
Risk and Compliance Attorney
Duties : Will... review and analyze conflict reports prepared by Conflicts Department. Assist attorneys in determining the nature of the potential conflict and whether such conflict may be waived. Draft conflict waivers as required. Escalate identified...
Top Ranked by U.S. News Top Ranked by Chambers
development. Meet Risk and Compliance requirements and policies. Responsible... for driving new business development for target client segment ($3MM++ investable assets). Present to clients a holistic approach, leveraging the entire US Trust platform. Should have 12+ years of private banking...
Senior Compliance Analyst
The candidate primary... assists in the overall compliance efforts by assisting in... assessments. Ensure the Bank’s compliance with applicable laws, regulations,... etc. Assist Chief Compliance Officer with testing compliance... partners with compliance and Bank policy questions. Develop and......