to exchanges and technology-powered services. For more information visit Purpose of Role: The Compliance Officer – Policies... and Procedures of will create and maintain a Compliance Policies and Procedures for all Americas registered entities...
JOB SUMMARY You will be responsible for coordinating and maintaining compliance, training and internal audit... Maintain Grant employment files to ensure all documentation is accurate and up to date Assist Managers with compliance...
Job Description: Job Title Compliance Officer – Investment Bank Compliance – Origination & Advisory – Capital Markets... investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections Support the global...
CMG function within the Investment & Corporate Banking Regulatory Compliance (“ICBRC”) group for CACIB worldwide. The... business activities, personal trading and data transfers. · Assist with ad hoc investigations. · Provide responses...
Job description Business type Types of Jobs - Compliance / Financial Security Job title Deputy Investment Banking and Regulatory... Compliance Officer - Director Contract type Permanent Contract Job summary Summary: The Conflicts Management Group (“CMG...
as needed for meetings and team collaboration and should live within a commutable distance. What we do: The Legal and Compliance Group... comprises four separate and distinct Functions: Bank Applications, Compliance, Group Operations and Strategy, and Legal...
Job description Business type Types of Jobs - Compliance / Financial Security Job title Deputy Investment Banking and Regulatory... Compliance Officer - Director Contract type Permanent Contract Job summary Summary: The Conflicts Management Group (“CMG...
. Leads and conducts thorough investigations into complex employee matters, ensuring fairness, impartiality, and compliance...We’re working on an exciting opportunity for a Global Director of Employee Relations, Policy & Compliance to be based...
of interest, conducting internal investigations and reviews when required Manage the firm's corporate compliance program...The Counsel will join a dynamic Compliance and Legal team, reporting directly to the COO. Main Responsibilities...
Job Description: Global Compliance Our division prevents, detects and mitigates compliance, regulatory... and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through...
), regulatory compliance, and/or investigations experience (e.g., litigation and/or disputes consulting, forensic accounting.... Responsibilities include the following: Assist with healthcare and life sciences compliance, investigations, and risk consulting...
oversee investigations, reporting and resolution of compliance issues through the Aptiv Drive Line (Aptiv’s ethics hotline...Aptiv is seeking a high energy, top performer to join its growing Global Legal & Compliance Team in New York City...
Job Description: Job Title Compliance Officer – Investment Bank Compliance – Origination & Advisory – Capital Markets.../compliance training Assist the Business in implementing and documenting various supervisory/control mechanisms, Participate in...
Job Description: Job Title Investment Bank Compliance Officer – Origination & Advisory Corporate Title Vice... mechanisms to develop relevant policies and procedures – this includes training Participate in internal investigations, respond...
Job Description: Global Compliance Our division prevents, detects and mitigates compliance, regulatory... and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through...
Maximize Compliance and Privacy at NewYork-Presbyterian! NewYork-Presbyterian (NYP) is one of the nationâ... clinical care. Step into this vital role supporting NYP's initiative to enhance our robust Compliance and Privacy Program...
Job Description: Job Title Compliance Officer – Fixed Income Sales & Trading - Credit Corporate Title Vice... Provide regulatory/compliance training; assist the Business in implementing and documenting various supervisory/control...
of benefits to its employees. Role Description The Advisory Compliance team serves as a regulatory advisory function... and is responsible for overseeing the management of the broker dealer's compliance risk, and is represented by the Chief Compliance...
Compliance investigations and reviews as required. Assist in the development of compliance training and ongoing communications... Compliance team, including helping with investigations and other ad hoc matters as required. What We're Looking For: An S&P...
of benefits to its employees. Role Description The Compliance group within SMBC Nikko Securities Inc. serves as a regulatory... advisory function to the President and is responsible for overseeing the management of the broker dealer's compliance risk...