, such as public and private fixed income, public equity, and alternative investments. The VP, Investment Advisory Compliance... Opportunity Assist the Head of Investment Advisory Compliance in administering the firm’s Compliance Program, focusing...
! About the Role Join a Compliance team that supports Swiss Re's investment advisory and broker-dealer businesses, using...Looking to advance your career as a Compliance Officer and join a growing investment management business...
of existing and proposed regulations to registered investment advisers is a must. Proactively identify compliance issues... leadership. Partner effectively with investment advisory staff along with internal departments such as Operations, Risk, Legal...
of existing and proposed regulations to registered investment advisers is a must. Proactively identify compliance issues... leadership. Partner effectively with investment advisory staff along with internal departments such as Operations, Risk, Legal...
and promote best practices. Position Description This individual will provide advisory compliance support for the Municipal... and manage projects. Job Responsibilities > Provide Compliance support for both the Public Finance investment banking...
As the Vice President of Compliance AI Initiatives, you will play a pivotal role in shaping the future of AI risk... management and compliance within our Compliance Department. You will oversee AI initiatives within the Compliance Department...
The VP Finance, CP&ESG CPM reports directly to the EVP Finance CP&ESG. Oversees the financial operations and strategy... for CPM. This role involves managing financial planning, analysis, and reporting, ensuring compliance with regulatory...
VP – Non-Financial Risk (Reporting) Americas Risk Department The Americas Risk Department, as a 2nd line of defense... capabilities across the enterprise. We are looking for an experienced VP to join our team to further enhance the design and help...
VP – Non-Financial Risk (FO Coverage) Americas Risk Department The Americas Risk Department, as a 2nd line... risk capabilities across the enterprise. We are looking for an experienced VP to join our team to further enhance the...
an experienced VP of Insurance Product Management to lead the strategic evolution and growth of our product offerings into the... tailored for the insurance industry. Reporting to the Head of Broadridge Customer Communication Product, the VP...
, as well as in providing strategic advisory services for mergers, acquisitions and other types of financial transactions... objective of this role is to act as strategic advisor to our clients by formulating investment strategies and raising capital...
, accuracy, and compliance of our finance function. The person in the role gains hands-on experience working on finance..., EMEA and Asia. Mizuho Americas is a leading provider of corporate and investment banking services to clients in the...
Group Summary Private Wealth Management (PWM) is a division of Morgan Stanley focused on delivering financial advisory... perspective of wealth management, investment banking, and investment management businesses. Attractive candidates...
on the Firm’s overall structure and include the following: Investment Advisory, which oversees implementation of investment...-to-day FINRA compliance program, including with respect to AMCM’s on-going business and advised funds. The VP of Compliance...
Capital Markets is a leading, full-service financial services provider. We offer corporate and investment banking, treasury... management, as well as research and advisory services to clients around the world. #bmocapitalmarkets We are seeking a results...
, including defining access controls, supporting data users, and ensuring compliance with Data Service Agreements and regulatory.... Ensure data quality and governance: Implement standards and practices to maintain high data quality and compliance. Analyze...
VP, Liquidity Regulatory Reporting Lead The Liquidity Regulatory Reporting is a team responsible for the daily... in compliance with regulatory requirements. The successful candidate will possess strong leadership skills, deep knowledge...
is looking for a VP level candidate to perform third line reviews of model and model documentation to evaluate the robustness of the... and based in our New York City office PRINCIPAL DUTIES AND RESPONSIBILITIES: The primary responsibilities of the VP- Model...