REGULATORY AND INVESTMENT MANAGEMENT jobs in MANHATTAN NY, United Kingdom

, meeting with clients to review financial and investment goals, building a financial plan, and recommending brokerage products... for the missing series within 60 days. Has at least one year experience in the investments industry, including investment...

, and other external parties. Monitor SEC/FINRA and SRO rule developments and educate senior management on regulatory implications...A varied role, working within the In-House Legal Team, as Legal Counsel you will: Navigate complex regulatory...

, and other external parties. Monitor SEC/FINRA and SRO rule developments and educate senior management on regulatory implications. MPI..., specialized experience in advising investment advisers and/or broker-dealers on regulatory obligations - 1940 Act experience...

and innovative solutions in investment management. As one of the world's largest investment firms, our client offers a wide array..., and regulatory compliance. The Privacy Compliance Officer will be responsible for: Supporting the Global Head of Privacy and Data...

, Investment Portfolio Management, Bank Operations Representatives, Financial Accounting and Calling Officers. External: Regular..., and monitoring credit risk. The Team also maintains the Bank's credit risk management policy and procedure documentation. Essential...

in line with regulatory requirements and the Bank's Risk Management Policy. Provide credit risk oversight and guidance... abreast of regulatory and industry trends and recommends necessary changes to the Bank's risk management policies, operating...

preferred, however will also consider Utilization Review, Managed Care, Case Management experience 2-5 years in either Medical... terminology, and regulatory guidelines Accurately interprets Plan policies and appropriately applies to the clinical audit...

, implementing, and maintaining the bank's Compliance Management System. The role involves conducting regulatory research, managing... Officer will be responsible for the following: Establish and maintain the bank's Compliance Management System (CMS). Ensure...

regulatory adherence. Payroll Management: Act as the main point of contact for the US payroll processor, review and approve..., maintaining a positive and proactive attitude. Our client is a growing, global financial services and investment management...

, protected veterans and all other qualified applicants. Experience at a reputable investment management firm|Opportunity... strategies. It's recognized for its innovative approach to investment management and commitment to delivering value...