Senior Manager, Regulatory Advisory - New York, NY

+We nurture a work environment where people with a variety of thoughts, ideas and backgrounds come together to make Capital One a great company - and a great place to work.+ · +Foster productive relationships between Capital One and Federal Regulatory Supervisory staff by engagin ...

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 ...

+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 ...

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

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 ...

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 ...

We are seeking a seasoned consulting professional at the Senior / AVP level to lead and grow our Regulatory Reporting and Risk Consulting practice for Banking and Financial Services (BFS) clients globally. · Key Responsibilities · Client Advisory & Delivery · Lead end‐to‐end reg ...