Business Control Manager-Broker Dealer Customer Protection Manager-Global Market Operations

Job Description:At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day.One of the keys to driving Responsible Growth is being a great place to work for our...

**NY - Compliance Officer in Broker Dealer** **Location:** New York, US *Intesa Sanpaolo is the banking group leader in Italy. Assisting more than 14,6 milion of retail customers through a network of 5360 branches, it significantly supports the development of Companies and gives an important sustain to the country's growth.* *The Group has a selected retail...

Location: New York, NY, US ** Compliance Officer - US Broker-Dealer** **About Swiss Re** Swiss Re is one of the worlds leading providers of reinsurance, insurance and other forms of insurance-based risk transfer, working to make the world more resilient. We anticipate and manage a wide variety of risks, from natural catastrophes and climate change to...

Title: Senior Manager, US Audit, Swap Dealer Compliance Requisition ID: 93952 Join the Global Community of Scotiabankers to help customers become better off. The Audit Department is the 3rd Line of Defense and plays a key role in the internal control system of the Bank. Its mandate is to provide independent and objective assurance over the design and...

Job Description:At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day.One of the keys to driving Responsible Growth is being a great place to work for our...

We represent alternative investment financial technology platform looking to hire an Assistant Vice President or Vice President candidate to join its Regulatory and Compliance team and focus on Marketing. Responsibilities will include leading a team in reviewing all marketing materials and client communications generated by their registered broker dealer...

We represent alternative investment financial technology platform looking to hire an Assistant Vice President or Vice President candidate to join its Regulatory and Compliance team and focus on Marketing. Responsibilities will include leading a team in reviewing all marketing materials and client communications generated by their registered broker dealer...

We represent alternative investment financial technology platform looking to hire an Assistant Vice President or Vice President candidate to join its Regulatory and Compliance team and focus on Marketing. Responsibilities will include leading a team in reviewing all marketing materials and client communications generated by their registered broker dealer...

**JOB DESCRIPTION** The Global Market Insights Strategy Team provides macroeconomic and capital markets insights and research to institutional investors, financial advisors, and their clients to help them make informed investment decisions. The team strives to simplify the complex in the global economy and markets through our industry-leading publication,...

Job description Business type Types of Jobs - Compliance / Financial Security Job title Global Markets Regulatory Compliance Advisory - Americas Contract type Permanent Contract Job summary Summary Global Markets Regulatory Compliance (“GMRC”) Advisory – Americas Vice President is responsible for providing advisory on...

Our client, a well-established Alternative Investments firm is seeking to add a Compliance professional to support the growth of the business with an opportunity to join a high performing team. Key responsibilities include: Developing ongoing policies & procedures & monitoring the Compliance program in accordance with FINRA regulations. Reviewing personal...

Location Designation: Hybrid - 3 days per week When you join New York Life, youre joining a company that values career development, collaboration, innovation, and inclusiveness. We want employees to feel proud about being part of a company that is c Broker, General Counsel, Dealer, Assistant, Operations, Business

**JOB DESCRIPTION** Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance, you are at the center of keeping JPMorgan Chase strong and resilient. You help the firm grow its business in a responsible way by anticipating new and emerging risks, and using your expert judgement to solve real-world challenges that impact our company,...

Job Description:Description:This job is responsible for leading and executing on internal control discipline and operational excellence within a Line of Business (LOB) or Enterprise Control Function (ECF). Key responsibilities include executing LOB or ECF processes and tools to drive adherence to enterprise-wide standards. Job expectations include supporting...

Description: This job is responsible for leading and executing on internal control discipline and operational excellence within a Line of Business (LOB) or Enterprise Control Function (ECF). Key responsibilities include executing LOB or ECF processes and tools to drive adherence to enterprise-wide standards. Job expectations include supporting the...

Our client, a well-established Alternative Investments firm is seeking to add a Compliance professional to support the growth of the business with an opportunity to join a high performing team.Key responsibilities include:Developing ongoing policies & procedures & monitoring the Compliance program in accordance with FINRA regulations.Reviewing personal...

Responsibilities: Ensuring regulatory compliant reporting, and all aspects of general ledger integrity and balance sheet substantiation Developing a good understanding of the investment bank product set and systems and how these interface into the financial reporting process Develop a sound understanding of US GAAP related to investment bank products and...

We are hiring a Business Analyst Consultant (W2 only, no exceptions) for a role to document and strengthen the support model for our client’s Middle Office processing for US Govt Trading. This role requires a deep understanding of the functions, obligations and reporting requirements for market participants. You will work closely with the bank’s...

We are hiring a Business Analyst Consultant (W2 only, no exceptions) for a role to document and strengthen the support model for our client’s Middle Office processing for US Govt Trading. This role requires a deep understanding of the functions, obligations and reporting requirements for market participants. You will work closely with the bank’s...

We are hiring a Business Analyst Consultant (W2 only, no exceptions) for a role to document and strengthen the support model for our client’s Middle Office processing for US Govt Trading. This role requires a deep understanding of the functions, obligations and reporting requirements for market participants. You will work closely with the bank’s...