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Investment Banking Compliance Attorney Jobs

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SPONSORED JOB
Company
American Express Company
Experience
Min 5 yrs required
Location
Phoenix, AZ
Posted Date
Mar 07,19
Info Source
Total Views
28
Director compliance Global Anti-Corruption The candidate will... for Global Financial Crimes compliance (GFCC), and will ensure... enterprise-wide compliance with AXP anti-corruption standards... metrics and guidance to compliance and business partners (for compliance read more
SPONSORED JOB
Company
American Express Company
Experience
Min 5 yrs required
Location
New York City, NY
Posted Date
Mar 07,19
Info Source
Total Views
28
Director compliance Global Anti-Corruption The candidate will... for Global Financial Crimes compliance (GFCC), and will ensure... enterprise-wide compliance with AXP anti-corruption standards... metrics and guidance to compliance and business partners (for compliance read more
SPONSORED JOB
Company
Discover Financial Services
Experience
Min 5 yrs required
Location
Riverwoods, IL
Posted Date
Mar 22,19
Info Source
Total Views
13
Vice President compliance Advisory The candidate will oversee... the strategic priorities for compliance advisory teams for Consumer banking and provides compliance guidance... and related services compliance unit leader of Consumer banking Leads a team of...... read more
Company
In-House
Experience
1-2 yrs required
Location
New York City, NY
Posted Date
Mar 21, 19
Info Source
Employer
Total Views
13
Cash Equities Attorney The candidate will work... other related stakeholders (Legal, Compliance, Ops, Risk, etc.) to... SRO rules; Must have 2+ years of work experience as a practicing attorney, specifically within cash equities... products at an investment bank, exchange regulator.... read more
Company
In-House, Barings
Experience
Min 5 yrs required
Location
Charlotte, NC
Posted Date
Mar 21, 19
Info Source
Employer
Total Views
45
– Private Placements & Infrastructure Debt The candidate will be expected to perform finance and aircraft finance investment, and bank loan transactions... representing an SEC registered investment adviser. Select, manage, and... Guidelines. Communicate material legal, compliance and regulatory issues promptly...... read more
Company
In-House, Dimensional Fund Advisors
Experience
4-6 yrs required
Location
Austin, TX
Posted Date
Mar 20, 19
Info Source
Employer
Total Views
45
legal documentation, such as investment advisor registrations. Ensure this... documentation is in compliance with applicable multi-jurisdictional regulatory... law. Review and interpret statutes, rules, and policies relevant to the regulatory functions of Dimensional, its corporate subsidiaries, and its fund complexes and... read more
Company
Recruiter, BCG Attorney Search
Experience
2-7 yrs required
Location
Boston, MA
Posted Date
Mar 20, 19
Info Source
Recruiter
Total Views
43
seeks junior to mid-level attorney with preferably 3-5 years... should have experience representing corporate issuers and major investment banks in all aspects... of equity capital markets financings, mergers and acquisitions and advice to clients on compliance and corporate governance issues....... read more
Company
In-House, Goldman Sachs Group, Inc
Experience
Min 3 yrs required
Location
Salt Lake City, UT
Posted Date
Mar 22, 19
Info Source
Employer
Total Views
33
private/advisory side businesses (e.g., Investment Banking, and Merchant Banking,... Sales, Trading, and Global Investment Research) and Investment Management).... banking Responsibilities: Interacting with the Investment Banking, Merchant Banking, Securities,... published by the Global Investment Research Division to ensure... between Equity Research and Investment Banking personnel. Working with...... read more
Company
In-House
Experience
3-5 yrs required
Location
Jersey City, NJ
Posted Date
Mar 21, 19
Info Source
Employer
Total Views
8
Corporate Compliance - Control Room Officer... office businesses (sales, trading, banking, capital markets) in respect... between Equity Research and Investment Banking personnel. Chaperoning communications... (e-mail,... as necessary to ensure compliance with the requirements of... the Global Research Settlement and firm... read more
Company
Recruiter, BCG Attorney Search
Experience
2-7 yrs required
Location
San Francisco, CA
Posted Date
Mar 20, 19
Info Source
Recruiter
Total Views
107
mid- to senior level attorney with 3-5 years of... corporate issuers and major investment banks in all aspects... markets financings, mergers and acquisitions and advice to clients on compliance and corporate governance issues... in the life sciences and/or technology space.... read more
Company
Recruiter, BCG Attorney Search
Experience
2-7 yrs required
Location
New York City, NY
Posted Date
Mar 20, 19
Info Source
Recruiter
Total Views
40
Total Applies
1
seeks junior to mid-level attorney with preferably 3-5 years... should have experience representing corporate issuers and major investment banks in all aspects... of equity capital markets financings, mergers and acquisitions and advice to clients on compliance and corporate governance issues....... read more
Company
In-House
Experience
Min 5 yrs required
Location
Tampa, FL
Posted Date
Mar 21, 19
Info Source
Employer
Total Views
13
the North America (NAM) investment management accounts, products and... legal support of the investment management business, including matters... related to investment management account agreements and... enrollment documents, investment policy statements, performance reports,... securities laws (especially the Investment Adviser’s Act of 1940,... Investment... read more
Company
Recruiter, BCG Attorney Search
Experience
2-7 yrs required
Location
Chicago, IL
Posted Date
Mar 19, 19
Info Source
Recruiter
Total Views
73
seeks mid-level corporate securities attorney with 3-5 years of... public and private companies, investment banks and/or investors with... Exchange Act reporting and compliance, and corporate governance; drafting... key legal documents for corporate transactions, such as registration statements, merger agreements, stock... read more
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