Senior Manager, Regulatory Advisory - New York

Capital One is seeking a Senior Manager to play a significant role in ensuring that the company proactively responds to the changing regulatory landscape and delivers on commitments to our regulators in a timely manner. · ...

Job purpose · This role will be a Level 3 specialist position in the Regulatory Relations function of Compliance working on various facets of Regulatory Relations – related responsibilities and tasks as described herein. The position requires an ability to counsel and collaborate ...

+As a Director in the Global Markets Regulatory Compliance ("GMRC") Advisory team at CACIB, you will play a critical role in advising internal stakeholders on the implementation and development of compliance requirements set forth by the SEC for security-based swap dealer and CFT ...

We are hiring a Senior Consultant to join our Energy and Utilities Practice. Our team is at the forefront of the transformation taking place in the energy and utilities industry, · from up-front strategic advisement through implementation of the field and back-office technologies ...

As a Director in the Global Markets Regulatory Compliance (GMRC) Advisory team at CACIB you will play a critical role in advising from the Compliance perspective on securities and investment banking activities with a focus on FINRA and SEC broker dealer requirements.Key Responsib ...

+The SMBC Compliance Advisory Function resides within Compliance Department Americas Division ("CPAD") and provides compliance advice, guidance, · and credible challenge to SMBC's businesses and support functions in the Americas Division. · +Provide compliance advice and credible ...

As a Director in the Global Markets Regulatory Compliance ( ...

As a Director in the Global Markets Regulatory Compliance ( ...

As a Director in the Global Markets Regulatory Compliance ("GMRC") Advisory team at CACIB, you will play a critical role in advising internal stakeholders on the implementation and development of compliance requirements set forth by the SEC for security-based swap dealer and CFTC ...

A Director in the Global Markets Regulatory Compliance (“GMRC”) Advisory team will advise on securities and investment banking activities with a focus on FINRA and SEC broker dealer requirements.Enhance the compliance program. · Advise on new product and activity for securities a ...

Wells Fargo seeks a mid-level US Regulatory Advisory Counsel to strengthen Corporate and Investment Banking legal advisory capabilities in the United States. · ...

We're looking for a compliance professional to join our team supporting broker-dealer regulatory governance within a large financial services organization. · Experience in broker-dealer compliance or regulatory advisory roles · Strong knowledge of U.S. securities laws and regulat ...

We are partnering with a leading global banking and financial services organization that operates across multiple countries and offers commercial banking capital markets and investment services. · This company is focused on serving corporate institutional and municipal clients an ...

A senior-level opportunity within a Broker-Dealer Regulatory Governance & Advisory team at a global financial institution. · Provide compliance guidance and challenge to business and support teams on regulatory and compliance matters · Escalate potential conduct issues, incidents ...

A senior-level opportunity with a rapidly growing blockchain-based prediction market platform that allows users to trade on real-world events using crypto. · ...

A large financial institution is seeking a compliance professional to join a senior advisory function. · ...

The Fixed Income Compliance Officer serves as key function/business/product compliance advisor within the Fixed Income Compliance Advisory Group with primary coverage of U.S. Rates. · Providing regulatory and compliance advice to business partners about complex sales and trading ...

The Regulatory & Reporting Oversight Officer will serve as a pivotal compliance leader partnering with Finance, Operations and Risk teams to ensure regulatory adherence, timely and accurate reporting and robust client asset protection. · Provide compliance advice on regulations g ...

A global financial institution is looking to hire a Compliance Business Partner to support its Fixed Income & Currencies (FIC) Sales & Trading business. · ...

This role is responsible for overseeing compliance across asset management and advisory activities outside the firm's home market including private funds hedge fund strategies managed accounts and global trading activity. · The Global Head of Compliance will own global trading co ...