Regulatory compliance Senior Associate / Manager
Responsibilities:... Advising clients on compliance with the Securities Act,... and advertising materials for compliance with the Advisers Act... in the performance of compliance functions, such as oversight complianceread more
Regional Investments complianceofficer The Candidate will... and satisfy their ongoing compliance obligations. Continuously building your... of future regulations and compliance solutions to respond appropriately... with experts in Group compliance Group Risk Management and complianceread more
Global Markets FI complianceofficer Vice President
The... trading businesses and secondary compliance coverage for securitized products... Division. Develop and enhance compliance policies and procedures and... frameworks. Develop and deliver compliance training on appropriate topics complianceread more
TAI Corporate Ethics & Compliance Officer
The candidate will... develope and implement compliance policies, procedures and guidelines;... managing compliance monitoring programs, issue reporting... and, developing and delivering compliance-related training materials, reports and... 10+ years of relevant compliance experience in a corporate... compliance...
Compliance Officer, ECM
The candidate... business groups, Legal and Compliance colleagues on Information Barriers,... regulatory rules. Must have Bachelors with 3-6 years relevant Legal or Compliance experience, including in Capital... Markets Compliance or Control Group. Masters... or J.D. a plus....
complianceofficer Managing Counsel
The... to the Chief Legal officer with assigned duties to officer (“CIO”), Advisory Services. Accountabilities: Compliance: Development, design, and implementation... of compliance policies and procedures, consistent... transactions, corporate matters, and compliance issues. Communicate regularly with...... read more
Counsel / Health Care compliance and Privacy officer The candidate... administer company's Health Care compliance and Privacy program. Will... management on health care compliance and privacy issues. Assist... administration of company's corporate compliance program. Negotiate and draft complianceread more