Vice President Compliance
3 days ago
Top-Tier Bank in Midtown, Manhattan is seeking a Vice President of Compliance to support their Front Office
Responsibilities:
- Support the implementation and execution of compliance initiatives, processes, and controls that manage compliance risks
- Maintain business line and support function policies and procedures addressing compliance requirements, including annual updates and addressing of gaps and self-identified issues
- Design, execute and report on Compliance controls for the business lines and support functions
- Support business lines/support functions with annual Compliance Risk Assessment and any remediation efforts thereof
- Implement Compliance policies and procedures in the business line s/support functions
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Vice President Compliance
4 weeks ago
new york city (midtown manhattan), United States Social Capital Resources Full timeTop-Tier Bank in Midtown, Manhattan is seeking a Vice President of Compliance to support their Front Office!Responsibilities:Support the implementation and execution of compliance initiatives, processes, and controls that manage compliance risksMaintain business line and support function policies and procedures addressing compliance requirements, including...
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Assistant Vice President, Compliance
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New York, United States Brookfield Asset Management Full timeThe Firm is seeking to add a Compliance resource to the BOWS Legal and Regulatory Team in its New York office. The position offers a great opportunity for an individual with a hands-on approach to become an integral part of the BOWS Legal and Regul Vice President, Compliance, Assistant, President, Regulatory, Marketing Specialist, Management
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Vice President, Legal and Compliance
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Compliance Advisory Vice President
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New York, New York, United States Sumitomo Mitsui Banking Corporation Full timeCompliance Advisory Vice PresidentSMBC Group is a leading global financial institution with a rich history dating back 400 years. Headquartered in Tokyo, the Group offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. With over 130 offices and 80,000 employees worldwide, SMBC Group has a...
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Compliance Advisory Vice President
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New York, United States TD Bank N.A Full timePreferred Qualifications:We are looking for a Vice President, US Markets Compliance 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 Pr Vice President, Compliance, Investment, Banking, Advisor, President
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Compliance Attorney Vice President
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New York, New York, United States Social Capital Resources Full timeCompliance Attorney Vice PresidentTop-Tier Commercial Bank is seeking a seasoned Compliance / Regulatory Attorney at the VP level to lead the bank's corporate compliance program and policies.Key Responsibilities:Develop and implement effective compliance strategies to mitigate risks and ensure regulatory compliance.Provide expert advice and guidance on U.S....
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Senior Vice President of Compliance
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Vice President of Compliance Advisory
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New York, New York, United States TD Bank Group Full timeJob Title: Vice President of Compliance AdvisoryWe are seeking a highly skilled Vice President of Compliance Advisory to join our team in NYC. The ideal candidate will have experience in compliance advisory in the investment banking space, preferably in an advisory capacity.Key Responsibilities:Provide strategic advice and guidance to front office and...
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Senior Vice President of Compliance
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New York, New York, United States Blackstone Restaurant Full timeJob Title: Senior Vice President of ComplianceBlackstone Restaurant is seeking a highly motivated and experienced Senior Vice President of Compliance to join our team. As a key member of our compliance team, you will be responsible for ensuring that our marketing and distribution activities are in compliance with relevant regulations and laws.Key...
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Vice President Compliance
4 weeks ago
new york city, United States Cardea Group Full timeVP, Compliance - Marketing (New York, NY): Our client, a prominent asset manager with more than $40B in AUM, is looking to hire an exceptional Vice President of Compliance with a focus on marketing material review. This leadership position involves overseeing investor and third-party communications while providing guidance on compliance issues related to...
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Vice President Compliance
3 days ago
new york city, United States Cardea Group Full timeVP, Compliance - Marketing (New York, NY): Our client, a prominent asset manager with more than $40B in AUM, is looking to hire an exceptional Vice President of Compliance with a focus on marketing material review. This leadership position involves overseeing investor and third-party communications while providing guidance on compliance issues related to...
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New York, New York, United States Goldman Sachs Full timeJob SummaryWe are seeking a highly skilled Compliance and Market Surveillance Vice President to join our team at Goldman Sachs. As a key member of our Global Compliance Department, you will play a critical role in preventing, detecting, and mitigating compliance, regulatory, and reputational risk across the firm.As a Compliance and Market Surveillance Vice...
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Vice President Compliance
4 months ago
New York, United States Social Capital Resources Full timeTop-Tier Bank in Midtown, Manhattan is seeking a Vice President of Compliance to support their Front Office!Responsibilities:Support the implementation and execution of compliance initiatives, processes, and controls that manage compliance risksMaintain business line and support function policies and procedures addressing compliance requirements, including...
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Vice President Compliance
4 months ago
New York, United States Social Capital Resources Full timeTop-Tier Bank in Midtown, Manhattan is seeking a Vice President of Compliance to support their Front Office!Responsibilities:Support the implementation and execution of compliance initiatives, processes, and controls that manage compliance risksMaintain business line and support function policies and procedures addressing compliance requirements, including...
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Vice President of Regulatory Compliance
6 days ago
New York, New York, United States Fanatics Full timeJob Title: Vice President of Regulatory ComplianceFanatics is seeking a highly experienced and strategic Vice President of Regulatory Compliance to lead our regulatory compliance efforts and manage a large and growing team of lawyers and compliance professionals.About the RoleThis executive role will be crucial in shaping and implementing our compliance...
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New York, New York, United States The Goldman Sachs Group Full timeJob Title: Compliance and Market Surveillance Vice PresidentJoin our team at Goldman Sachs as a Compliance and Market Surveillance Vice President, where you will play a critical role in preventing, detecting, and mitigating compliance, regulatory, and reputational risk across the firm.About the Role:As a key member of our Global Compliance Department, you...
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Vice President of Audit and Compliance
2 weeks ago
New York, New York, United States MBK Search Full timePosition Overview: The Vice President of Audit and Compliance will operate under the guidance of the Managing Director, spearheading the delivery of audit, advisory, and ethics services for the property divisions in the United States. This role will also extend support to the global Internal Audit team, collaborating closely with management's portfolio and...
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Vice President Compliance
2 months ago
New York, United States Cardea Group Full timeVP, Compliance - Marketing (New York, NY): Our client, a prominent asset manager with more than $40B in AUM, is looking to hire an exceptional Vice President of Compliance with a focus on marketing material review. This leadership position involves overseeing investor and third-party communications while providing guidance on compliance issues related to...
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Vice President Compliance
2 months ago
New York, United States Cardea Group Full timeVP, Compliance - Marketing (New York, NY): Our client, a prominent asset manager with more than $40B in AUM, is looking to hire an exceptional Vice President of Compliance with a focus on marketing material review. This leadership position involves overseeing investor and third-party communications while providing guidance on compliance issues related to...