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Investment Banking Compliance Attorney Jobs in New York

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SPONSORED JOB
Company
Wells Fargo
Experience
Min 10 yrs required
Location
New York City, NY
Posted Date
Oct 21,18
Info Source
Total Views
46
Head of Innovation Group compliance Compliance Manager 5 The... will lead the Innovation compliance organization which will be... to Innovation that generate compliance risk. This leader will... team to cover regulatory compliance for Innovation. She/He compliance read more
SPONSORED JOB
Company
Wells Fargo
Experience
Min 4 yrs required
Location
Wayne, NY
Posted Date
Oct 21,18
Info Source
Total Views
1
compliance Manager 4 - Head... the enterprise and Wholesale compliance program across all functional... key enterprise and Wholesale compliance program elements with respect compliance continued compliance with US banking regulations administered by the...... read more
SPONSORED JOB
Job title
Company
Bread Finance
Experience
Min 7 yrs required
Location
New York City, NY
Posted Date
Oct 21,18
Info Source
Total Views
61
Head of compliance The candidate will be... to build out a compliance infrastructure that can support... to build out compliance program using scalable first,... ensure continued compliance with banking and consumer finance laws....... read more
Company
In-House
Experience
Min 5 yrs required
Location
New York City, NY
Posted Date
Oct 18, 18
Info Source
Employer
Total Views
131
Assistant General Counsel - Investment Management / Mutual Funds... provide advice to registered investment advisers (“RIAs”) on new... proprietary and third-party private investment fund activities. Provide advice... WISD relating to the investment of fiduciary and non-fiduciary... WISD business lines on investment-related matters and regulatory requirements.... investment... read more
Company
In-House
Experience
Min 5 yrs required
Location
New York City, NY
Posted Date
Oct 18, 18
Info Source
Employer
Total Views
58
support to the business, compliance, and litigation teams responsible... to credit, derivatives, brokerage, investment management products and trusts... reviews of non-U.S. personal investment companies and partnerships. Engage... compliance issues related to private banking, lending, or consumer banking... required; a familiarity with...... read more
Company
In-House
Experience
Min 5 yrs required
Location
Melville, NY
Posted Date
Oct 15, 18
Info Source
Employer
Total Views
1
Bankers, Fiduciary Advisory Specialists, Investment Strategists, Financial Advisors, Wealth... Financial Advisors, who present investment updates. Refers business to... such, this position requires compliance with the S.A.F.E. Mortgage... Licensing Act of 2008 and all related regulations. Ongoing employment is contingent upon... read more
Company
In-House, Wells Fargo
Experience
Min 5 yrs required
Location
Wayne, NY
Posted Date
Oct 15, 18
Info Source
Employer
Total Views
2
Bankers, Fiduciary Advisory Specialists, Investment Strategists, Financial Advisors, Wealth... Financial Advisors, who present investment updates. Refers business to... such, this position requires compliance with the S.A.F.E. Mortgage... Licensing Act of 2008 and all related regulations. Ongoing employment is contingent upon... read more
Company
In-House
Experience
Min 5 yrs required
Location
New York City, NY
Posted Date
Oct 15, 18
Info Source
Employer
Total Views
3
Bankers, Fiduciary Advisory Specialists, Investment Strategists, Financial Advisors, Wealth... Financial Advisors, who present investment updates. Refers business to... such, this position requires compliance with the S.A.F.E. Mortgage... Licensing Act of 2008 and all related regulations. Ongoing employment is contingent upon... read more
Company
In-House
Experience
Min 5 yrs required
Location
White Plains, NY
Posted Date
Oct 15, 18
Info Source
Employer
Total Views
3
Bankers, Fiduciary Advisory Specialists, Investment Strategists, Financial Advisors, Wealth... Financial Advisors, who present investment updates. Refers business to... such, this position requires compliance with the S.A.F.E. Mortgage... Licensing Act of 2008 and all related regulations. Ongoing employment is contingent upon... read more
Company
In-House
Experience
Min 5 yrs required
Location
New York City, NY
Posted Date
Oct 18, 18
Info Source
Employer
Total Views
74
of Legal, Corporate Tax, Compliance, Supervision and Risk to... address day to day questions and other issues. Provide Legal coverage of regulatory change implementation. Assist in the development of policies, procedures, systems and training materials. Advise on resolution of disputes... read more
Company
In-House
Experience
6-8 yrs required
Location
New York City, NY
Posted Date
Oct 12, 18
Info Source
Employer
Total Views
34
Investment Management Private Side Compliance,... Advising and supporting the Investment Management Private Side businesses... compliance and examinations related to Investment Management Private Side activities;... on matters pertaining to Investment Management Private Side business;... Strong understanding of the Investment Advisers Act of 1940;...... read more
Company
In-House
Experience
Location
New York City, NY
Posted Date
Oct 11, 18
Info Source
Employer
Total Views
4
needs in commercial and investment banking, retail banking and... expertise, in-depth knowledge of investment management legal issues, including... regulations and guidance on investment advisory issues, regulatory experience,... documents, including side letters, investment management agreements, service agreements,... understanding Knowledge of investment management legal issues, including... investment... read more
Company
In-House
Experience
Min 5 yrs required
Location
New York City, NY
Posted Date
Oct 15, 18
Info Source
Employer
Total Views
16
Corporate Finance Compliance Advisory The candidate will... testing and monitoring of compliance with firm policies for... covered business areas. Conduct compliance risk assessments to ensure... and tactics that support compliance/business objectives. Will focus on... compliance to the firm's LLC investment banking, leveraged finance, equity...... read more
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