- Scotiabank (New York, NY)
- …debt and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, ... business strategies and objectives. Ensures all activities conducted are in compliance with governing regulations, internal policies and procedures. What You'll Do:… more
- Mizuho Corporate Bank (New York, NY)
- …and investment banking, capital markets, equity and fixed income sales & trading , derivatives, FX, custody and research. Visit www.mizuhoamericas.com. ... Job Description The Compliance function manages compliance and regulatory risk by establishing compliance policies, providing training, conducting … more
- Wells Fargo (New York, NY)
- …servicing; investment banking; equity ; and fixed income solutions including sales , trading , and research capabilities to corporate, commercial real estate, ... of a background check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange...and are required to report certain incidents. + Specific compliance policies may apply regarding outside activities or personal… more
- Mizuho Corporate Bank (New York, NY)
- …and investment banking, capital markets, equity and fixed income sales & trading , derivatives, FX, custody and research. Visit www.mizuhoamericas.com. ... in all efforts related to business continuity and audits. Compliance + Obtain a basic understanding of the applicable...regulations should be directed to the Americas Legal and Compliance Department. Attend Annual Compliance Training presented… more
- Mizuho Corporate Bank (New York, NY)
- …and investment banking, capital markets, equity and fixed income sales & trading , derivatives, FX, custody and research. Visit www.mizuhoamericas.com. ... aligned with SR 11-07, this senior leader will ensure the integrity, compliance , and effective management of all models. The role includes enhancing reporting… more
- JPMorgan Chase (New York, NY)
- …more thoroughly ( Sales teams, Investments Specialists, Client Account Management, Compliance , Legal, Risk, Finance, Trading and other departments) + Develop ... effective, two-way working relationships and collaboration with key stakeholders, including sales teams and Investment Specialists + Work in close collaboration with… more
- Scotiabank (New York, NY)
- …debt and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, ... business controls to meet obligations with respect to operational risk, regulatory compliance risk, AML/ATF risk and conduct risk, including but not limited to… more
- Scotiabank (New York, NY)
- …debt and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, ... business controls to meet obligations with respect to operational risk, regulatory compliance risk, AML/ATF risk and conduct risk, including but not limited to… more
- Scotiabank (New York, NY)
- …debt and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, ... business controls to meet obligations with respect to operational risk, regulatory compliance risk, AML/ATF risk and conduct risk, including but not limited to… more
- Wells Fargo (New York, NY)
- …servicing, investment banking, equity and fixed income solutions including sales , trading , and research capabilities to corporate, commercial real estate, ... strong customer relationships balanced with a strong risk mitigating and compliance -driven culture which firmly establishes those disciplines as critical to the… more