- City National Bank (New York, NY)
- * COMPLIANCE OFFICER SENIOR- INVESTMENT ADVISORY * *WHAT IS THE OPPORTUNITY?* The Senior Compliance Officer will act in a compliance oversight and ... will also be responsible for managing and maintaining assigned areas of the compliance program including monitoring business area compliance with applicable… more
- TD Bank (New York, NY)
- …Qualifications:** We are looking for a Vice President, Compliance - US Corporate Investment Banking Compliance Advisory to join our team in NYC. The ... candidate must have compliance experience in the investment banking space, preferably in an advisory ...President will assist in the management of the firms compliance program supporting all corporate investment… more
- Edward Jones (St. Louis, MO)
- … Supervision Team is responsible for supervising the firm's investment advisory programs, responding to inquiries regarding compliance policies or procedures ... offices and internal departments. Key Responsibilities: * Oversee the performance of an Investment Advisory Supervision Team. * Utilize expertise of firm … more
- Raymond James Financial, Inc. (New York, NY)
- …corporations and municipalities through its subsidiary companies engaged primarily in investment and financial planning, in addition to capital markets and asset ... **Job Summary** _Investment Banking Summer_ _Associates_ _(part of the Capital Markets & Advisory area)_ are given a high level of responsibility on matters of… more
- Raymond James Financial, Inc. (New York, NY)
- …responsibility for developing and delivering an important part of the organization's investment policy. Also responsible for maximizing the value of investments by ... managing an investment department or unit. + Take responsibility for developing...a major part of the organization's financial product development program to enable overall corporate strategy. + Develop and… more
- SMBC (New York, NY)
- …competitive portfolio of benefits to its employees. **Role Description** The SMBC Compliance Advisory Function resides within Compliance Department Americas ... Regulatory Governance Advisory Team within the CPAD Advisory Function provides centralized compliance support across...respond to ad-hoc requests and support the implementation of compliance program enhancements with respect to each… more
- TD Bank (New York, NY)
- …Description:** **Preferred Qualifications:** We are looking for a Vice President, US Markets Compliance Advisory to join our team in NYC. The ideal candidate ... must have compliance advisory experience with background in OTC...highly-diverse equity research franchise, while growing our strong, diversified investment bank. We are growth-oriented, people-focused, and community-minded. As… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- **Essential Duties and Responsibilities** + Manages Capital Markets & Advisory ("CMA") Compliance 's core compliance program to ensure compliance ... dashboards, to ensure all is aligned with RJF Central Compliance . + Supports the CMA Business Unit Compliance...clearing firm operations. + Financial markets and products. + Investment concepts, practices and procedures used in the securities… more
- T. Rowe Price (Owings Mills, MD)
- …review, interpret and implement new regulatory requirements as well as enhance existing compliance program to ensure regulatory standards are met. The role will ... with more than 85 years of experience, we provide investment solutions and a broad range of equity, fixed...Compliance Team and business units by providing regulatory advisory support. The role requires an expert level of… more
- AECOM (Los Angeles, CA)
- …and privatizations. + Technology-led business transformation. + Capital projects advisory , including project finance and/or infrastructure investment appraisal, ... better time to be at AECOM. With accelerating infrastructure investment worldwide, our services are in great demand. We...and resilient solutions throughout the project lifecycle - from advisory , planning, design and engineering to program … more