COMPLIANCE MARKET CONDUCT RISK jobs in CITY OF YORK, United Kingdom #5

advisory function to the President and is responsible for overseeing the management of the broker dealer's compliance risk..., Underwriting, Risk Management, Compliance, IT Risk and Training committees. The Compliance Advisory Director role may manage...

to mitigate reputational and regulatory risk to the firm. The review process will mainly focus on possible breaches of the law..., the rules & regulations governing the securities and banking industries, as well as internal firm policy. The Compliance...

About the Role The individual will be joining the Compliance Surveillance team. The surveillance team is responsible... surveillance professional will work closely with experienced staff and develop the capacity to conduct high quality routing...

, etc.) across various investment strategies from a legal, regulatory, and compliance perspective; · Supervise and train staff to conduct... is available at . Follow @blackstone on , , and . The employee will be a member of the compliance team focusing on regulatory compliance...

with higher risk clients. Conduct online research for relevant adverse information related to potential money laundering...: Investor onboarding across institutional clients. Build and leverage stakeholder relationships to drive KYC compliance...

to ensure understanding and adherence to compliance policies and procedures. Prepare and manage regular risk assessments...Description : SUMMARY The Corporate & Healthcare Compliance Leader for Welltower plays a pivotal role in ensuring...

and is responsible for overseeing the management of the broker dealer's compliance risk, and is represented by the Chief Compliance... and compliance advice to business units, identify and provide training and conduct monitoring of the broker dealers public side sales...

will support other aspects of risk management and grant compliance. Essential Duties & Responsibilities: Contracts Coordination... templates. ●Conduct formal and informal training to improve process compliance and effectiveness. ●Keep abreast of changes in...

. They will also conduct internal and external audits as needed in accordance with a risk-based quality auditing program for the NYBCe division..., national, and global communities we serve. Responsibilities The Senior Regulatory and Audit Compliance Specialist...

and train staff to conduct marketing compliance reviews; Manage the L&C relationship with senior leadership in several lines... is available at . Follow @blackstone on , , and . Job Description: The Senior Vice President will be a member of the compliance team...

together in the execution of Urban Grid’s fund raising, treasury and financial risk management initiatives, as well as support... models for capital market fund raising activities and acquisition financing opportunities Prepare periodic reports for the...

of content to customers. Coordinate internal pre-trade preparation to ensure legal, compliance, risk, and operational elements... and risk management solutions to institutional clients in the financials vertical including Asset Managers, Insurance companies...

and pipelining, succession planning for executive seats, market intelligence collation and mapping, high touch stakeholder... a strong network of executive level talent. Provide market and candidate intelligence, that enables hiring decisions to be made...

, legal, risk and compliance teams. There will be heavy reliance on JPM teams with the relevant expertise that reside outside...-largest alternatives manager, with a 40-year history of delivering innovative alternative solutions across market cycles...

In support of the Branch Network strategy and investments, The Branch Network Go-to-Market Strategy Program Management... against go-to-market strategies to ensure disciplined execution, accountability and returns against key Branch Network programs...

, hires, client alerts, awards, and market developments. Awards and Directory Submissions: Draft and submit entries.... CMG collaboration: Share market knowledge across the wider CMG team, contribute to functional and firm-wide training...

Along with its affiliate companies, Affinius Capital invests across the risk spectrum for a global client base...-driven real estate assets, to meet the critical need for housing solutions, and for other market and capital structure...