- TD Bank (New York, NY)
- …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...relevant control personnel. **Position Requirements** + 5-7+ years of compliance advisory experience. Similar experience with a… more
- Citigroup (New York, NY)
- …of risks, assessing risks, and designing effective mitigation plans specifically for Citi's Investment Advisory programs. The Business Risk - Fiduciary and ... within Citi Wealth. The Director is responsible for proactively enhancing our Investment Advisory Programs by continually evaluating our offering, investment… more
- Citigroup (New York, NY)
- The Senior Executive Assistant provides support to another individual or group of individuals by handling correspondence, managing calendars and appointments, ... supports an entire department + Manages day to day calendar(s) of senior management + Coordinates all aspects of executive level manager appointments, meetings,… more
- Marex (New York, NY)
- …information visit www.marex.com (http://www.marex.com/) Purpose of Role: The Senior Compliance Officer - Fixed Income Advisory will provide compliance ... across four core services: Market Making, Clearing, Hedging and Investment Solutions and Agency and Execution. It has a...municipal bonds, and US Treasuries as well as providing compliance advisory services regarding various other regulatory… more
- Raymond James Financial, Inc. (New York, NY)
- …the company complies with regulations and good financial practice. Develop and amend investment models to provide input to senior colleagues and/or help manage ... client organization, delivering high-quality professional services with guidance from senior colleagues. Develop own capabilities by participating in assessment and… more
- TD Bank (New York, NY)
- …York City. The ideal candidate must have compliance experience in the investment banking space, preferably in an advisory capacity. The Director will ... Description:** We are looking for a Director, US Markets Compliance Advisory to join our team in...primarily focus on the management of the firms compliance program supporting all corporate investment banking… more
- Charles Schwab (Austin, TX)
- …Schwab Wealth Advisory is a premier, fee based and non-discretionary investment advisory solution providing clients with a personal relationship, specialized ... financial services experience to share with their team of CFP(R) or CFA(R) investment professionals. **Managing change** - The Senior Regional Manager will… more
- Cherry Bekaert (Jersey City, NJ)
- …Place to Work (https://www.cbh.com/about/awards-and-recognition/) , **Cherry Bekaert** delivers innovative advisory , assurance and tax services to our clients. At ... and professional journey. In support of our growing Risk Advisory Services (https://www.cbh.com/services/ advisory /risk-accounting- advisory /risk- advisory /)… more
- Robert Half (Orlando, FL)
- JOB REQUISITION Orlando Technology Audit & Advisory Senior Consultant LOCATION ORLANDO ADDITIONAL LOCATION(S) JOB DESCRIPTION You Belong Here T he Protiviti ... You: Protiviti is looking for a Technology Audit & Advisory Senior Consultant to join our grow...etc. + Sarbanes-Oxley Act provisions and methodologies for achieving compliance , in particular the technology implications and requirements. +… more
- JPMorgan Chase (New York, NY)
- …Bachelor's degree. + Seven years or more years of experience in corporate or investment banking, corporate finance advisory or valuation, with at least five ... team as an Executive Director in the Capital & Advisory Solutions group, where you will leverage your expertise...Review legal documents on existing ESOP deals to ensure compliance . + Work with Associates to prepare detailed financial… more
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