, 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...
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, Legal & Regulatory - ELM Solutions reports directly to the EVP Finance, Legal & Regulatory (LR..., and compliance to support successful company operations. Functional responsibilities include financial and management reporting...
Citi Investment Management (CIM) is a group within Citi Private Bank (CPB) that manages assets on a discretionary... and advisory basis for high and ultra-high net worth clients. With approximately $70 billion in assets under management...
, 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...
quality issues and findings, and maintaining and updating the Business Requirement Documents in compliance with regulatory... and 800 offices throughout the Americas, EMEA and Asia. Mizuho Americas is a leading provider of corporate and investment...
, recapitalizations, and strategic advisory services. As a leading healthcare investment bank, we are dedicated to continuous improvement...TripleTree - Investment Banking Director TripleTree is a trusted partner for mergers and acquisitions...
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...
Anaplan partner ecosystem, including global system integrators, strategic advisory firms, cloud service providers, technology..., client needs, and go-to-market approach, is highly preferred. The role is a direct report to the VP of Partner & Alliances...