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Investment Banking Compliance Attorney Jobs in New York

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SPONSORED JOB
Company
Citigroup Inc
Experience
Min 5 yrs required
Location
New York City, NY
Posted Date
Jan 10,19
Info Source
Total Views
40
compliance Risk Management Director The candidate... as CBNA and COO compliance Risk Director for establishing... to develop and apply compliance Risk Management Framework (CRMF)... including driving implementation of compliance strategy and programs, delivering compliance read more
SPONSORED JOB
Company
Capital One Financial Corporat...
Experience
Min 5 yrs required
Location
Melville, NY
Posted Date
Jan 18,19
Info Source
Total Views
10
Senior Manager compliance Testing The candidate performs a... be responsible for managing compliance testing teams and leading... regulatory coverage. Will support compliance testing teams and testers... processes. Manage and develop compliance testing teams. Manage staffing compliance read more
SPONSORED JOB
Company
Citigroup Inc
Experience
Min 4 yrs required
Location
New York City, NY
Posted Date
Jan 19,19
Info Source
Total Views
13
compliance Product Officer - ICG... an Equity Derivatives product compliance risk officer for Independent compliance Risk Management (ICRM) responsible... Primary responsibilities include monitoring compliance risk behaviors and providing... day-to-day compliance advice relating to the compliance read more
Company
Law Firm
Experience
Min 4 yrs required
Location
New York City, NY
Posted Date
Jan 05, 19
Info Source
Employer
Total Views
9
Bank / Investment Management Regulatory Associate The... on the regulations governing investment advisers and broker-dealers, bank... fiduciaries, pooled investment vehicles (including mutual funds,... bank collective investment funds, and retirement and... insurance investment products), and the retirement... variety of broker-dealer and investment adviser clients seeking to... investment... read more
Company
Recruiter, BCG Attorney Search
Experience
2-7 yrs required
Location
New York City, NY
Posted Date
Jan 17, 19
Info Source
Recruiter
Total Views
35
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
Recruiter, BCG Attorney Search
Experience
1-6 yrs required
Location
New York City, NY
Posted Date
Jan 18, 19
Info Source
Recruiter
Total Views
18
Total Applies
2
of our client seeks investment management and broker-dealer regulatory... variety of broker-dealer and investment adviser clients seeking to... clients on regulations governing investment advisers and broker-dealers, bank... fiduciaries, pooled investment vehicles (including mutual funds,... bank collective investment funds, and retirement and... investment... read more
Company
Recruiter
Experience
Min 8 yrs required
Location
New York City, NY
Posted Date
Jan 20, 19
Info Source
Recruiter
oversee all legal and compliance matters and staff. Manage... general corporate, governance, compliance and insurance legal issues.... a private equity firm; investment advisor; venture capital firm;... hedge fund; or banking or other financial institution.... Property and casualty insurance experience is... read more
Company
In-House
Experience
Min 1 yrs required
Location
New York City, NY
Posted Date
Jan 13, 19
Info Source
Employer
Total Views
5
to lending, finance, and investment banking/advisory businesses covered by... and maintain legal and compliance policies and procedures. Will... credit risk, tax, accounting, compliance and other control functions... Solid background in U.S. banking and securities regulations, Dodd-Frank,... the Global Finance and Investment Banking legal team, especially... commercial...... read more
Company
In-House, CREDIT SUISSE GROUP AG
Experience
Min 7 yrs required
Location
New York City, NY
Posted Date
Jan 17, 19
Info Source
Employer
Total Views
92
of outside counsel and the like. Attend committee meetings including applicable credit, investment and escalation committee meetings.... Coordinate with outside counsel on transactions. Coordinate with various control functions including Credit Risk Management, Rep Risk, Tax, Compliance, Litigation and Corporate Secretary....... read more
Company
Law Firm
Experience
2-3 yrs required
Location
New York City, NY
Posted Date
Jan 05, 19
Info Source
Employer
Total Views
12
Investment Management and Broker-Dealer Regulatory... clients on regulations governing investment advisers and broker-dealers, bank... fiduciaries, pooled investment vehicles (including mutual funds,... bank collective investment funds, and retirement and... insurance investment products), and the retirement... variety of broker-dealer and investment adviser clients seeking to... compliance... read more
Company
Law Firm
Experience
3-5 yrs required
Location
New York City, NY
Posted Date
Dec 21, 18
Info Source
Employer
Total Views
23
capital markets, corporate governance, and strategic mergers & acquisitions. 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 & corporate governance issues....... read more
Company
Recruiter, BCG Attorney Search
Experience
3-10 yrs required
Location
New York City, NY
Posted Date
Jan 18, 19
Info Source
Recruiter
Total Views
7
variety of broker-dealer and investment adviser clients seeking to... on the regulations governing investment advisers and broker-dealers, bank... fiduciaries, pooled investment vehicles (including mutual funds,... bank collective investment funds, and retirement and... insurance investment products), and the retirement... trust companies that provide investment management and fiduciary services... investment... read more
Company
In-House
Experience
Min 4 yrs required
Location
Buffalo, NY
Posted Date
Jan 11, 19
Info Source
Employer
Total Views
11
Private Banking & Fiduciary Counsel The... division, which offers fiduciary, investment management, custody, family office,... and private banking products and services. Will... counsel used by Private Banking to close credit transactions.... Partnering with the organization’s compliance, risk and audit groups...... read more
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