- Aflac (New York, NY)
- VP, Investment Compliance Manager The Company: Aflac Asset Mgt. LLC The Location: New York City, NY, US, 10005 The Division: Global Investment Job Id: 8034 ... Japan FSA, CIMA, BMA, and US CFTC developments. + Provide research on investment compliance related issues. + Provide guidance on permissible investment and… more
- TD Bank (New York, NY)
- … Advisory to join our team in NYC. The ideal candidate must have compliance experience in the investment banking space, preferably in an advisory capacity. ... The Vice President will assist in the management of the firms compliance program supporting all corporate investment banking Functions including Debt and Equity… more
- Deloitte (New York, NY)
- …team, you will: + Maintain and develop strong client relationships on various investment compliance and consulting engagements within the insurance and financial ... be part of a group that sets the standard for investment management tax technology and provides tax compliance and consulting services to a variety of clients in… more
- City of New York (New York, NY)
- …data feeds, and internal databases. Cross-Functional Collaboration: - Coordinate with investment , operations, compliance , and external service providers to ... of Asset Management is responsible for oversight of the investment portfolios of the five New York City pension...the Bureau of Asset Management is to achieve exceptional investment outcomes for all stakeholders; to deliver outstanding support… more
- US Bank (New York, NY)
- …Day One. **Job Description** This position within RSS will serve as the Chief Compliance Officer (CCO) for one of our multiple series trusts (MST) containing mutual ... - Ten or more years of experience in a compliance or financial industry related role, preferably in a...a CCO role or securities related -Prior experience with compliance or operational aspects of ETFs - Strong knowledge… more
- TD Bank (New York, NY)
- …to join our team in New York City. The ideal candidate must have compliance experience in the investment banking space, preferably in an advisory capacity. ... will primarily focus on the management of the firms compliance program supporting all corporate investment banking...the firms compliance program supporting all corporate investment banking Functions including M&A, Debt and Equity Capital… more
- Guardian Life (Albany, NY)
- …Senior Compliance Analyst, Park Avenue Securities, and Park Avenue Investment Advisory, you will conduct branch office inspections using risk-based testing ... laws (inclusive of NAIC). + 3-5 years of broker-dealer and registered investment advisor compliance experience, with experience at an insurance-affiliated… more
- Aflac (New York, NY)
- …to : Director, Head of Data Governance GI Business Partners: GI Front Office, Investment Compliance , GI Data Management (Japan), Investment Accounting, Tax, ... New York City, NY, US, 10005 The Division: Global Investment Job Id: 8073 About Our Company Aflac Asset...district and is the organization responsible for the overall investment activities of Aflac, Inc. and subsidiaries in Japan,… more
- TD Bank (New York, NY)
- …be considered). + 5 to 7 years of knowledge and experience in FCRM compliance , preferably within the investment banking division of a large financial ... New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $104,000 - $135,000 USD TD is committed to providing fair… more
- Bank of America (New York, NY)
- …with investment bankers as well as with various functions within Investment Banking (legal, compliance , finance, businessoperations). Since all new ... Selection & Conflicts Group (BSC) is the first point of contact within Investment Banking on potential new business mandates as well as queries regarding ongoing… more