COMPLIANCE OFFICER – INVESTMENT BANK jobs in CITY OF YORK, United Kingdom

Job Description: Job Title Compliance Officer – Investment Bank Compliance – Fixed Income Sales & Trading – Rates... that are typical for a large global investment bank. What We Offer You A diverse and inclusive environment that embraces change...

Job Description: Job Title Compliance Officer – Investment Bank Compliance – Origination & Advisory – Capital Markets..., internal controls, supervision, and other issues that are typical for a large global investment bank...

for overseeing and monitoring the firm's compliance risk. This the VP Advisory Compliance Officer role supports the CPAD Bank... Advisory Team, the first line of defense (“1LOD”) as well as the heads of US Compliance verticals to build a bank regulatory...

Job Description: Job Title Compliance Officer – Head of Origination & Advisory – Director Corporate Title Director... Location New York, NY Overview As the Compliance Officer – Head of Origination & Advisory Director, you will lead a team...

as a Compliance Officer/Advisor for a broker dealer and/or registered investment advisor. Fluent in all FINRA and SEC issues...Job Description: Employer: DWS Group Title: Senior Compliance Officer - Institutional Sales Coverage Location...

The Compliance Officer will ensure the bank operates in compliance with federal and state regulations by developing... Officer will be responsible for the following: Establish and maintain the bank's Compliance Management System (CMS). Ensure...

more we all gain. About the role We are looking for a diligent Compliance Officer to join the rapidly growing team of our US broker..., and passionate about continuously increasing your regulatory knowledge. You will: Provide support to the Chief Compliance Officer...

of benefits to its employees. Role Description The successful candidate will serve as the Chief Compliance Officer (CCO...) and be responsible for leading all components of the compliance program for an investment advisory firm in Manhattan, which is currently...

Job description Business type Types of Jobs - Compliance / Financial Security Job title AML / OFAC Compliance Officer / Advisory... completeness and compliance with Bank policies and Regulatory Requirements. Review and issue regulatory guidance to Bank staff...

Job description Business type Types of Jobs - Compliance / Financial Security Job title AML / OFAC Compliance Officer / Advisory... completeness and compliance with Bank policies and Regulatory Requirements. Review and issue regulatory guidance to Bank staff...

, Compliance, and Training committees. The Senior Compliance Officer role may manage a coverage area or process with a large..., the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal...

? We are looking for someone for the following: The compliance officer will be responsible for primary coverage of the Global Equities Derivatives Trading... Management, Personal & Corporate Banking, Asset Management and the Investment Bank. Our global reach and the breadth...

, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal... Capital Markets, Inc., SMBC Rail Services LLC, Manufacturers Bank, JRI America, Inc., SMBC Leasing and Finance, Inc., Banco...

and the Investment Bank. Our global reach and the breadth of our expertise set us apart from our competitors...Business Divisions Group Functions Your role Are you a Compliance Professional who likes taking on responsibility...

Investment Bank (GIB) and Global Corporate Bank (GCB) Product and Coverage teams to support the execution of Investment... Chase is an Equal Opportunity Employer, including Disability/Veterans About the Team: The Corporate & Investment Bank...

Job Description: Global Compliance Our division prevents, detects and mitigates compliance, regulatory... and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through...

of experience with financial crime compliance. Expert knowledge of BSA (Bank Secrecy Act) laws and regulations... comprehensive breadth and depth of coverage across four core services: Market Making, Clearing, Hedging and Investment Solutions...