Compliance Associate Investment Bank Jobs in Fort Mill

Manager Compliance - Personal Securities Trading Duties: ... operations which consist of reviewing compliance reports, managing the preclearance approval ... Partner with local business unit Compliance Officers to execute or..

Attorney – Commercial Banking Responsibilities: Legal support for related transactional matters such as bankruptcy and debtor-in-possession financings, workouts and restructuring, and, on a limited basis, litigation. Close working partnership with line ..

Senior Principal Compliance Specialist, Fair Banking The candidate ... manages, regulatory exams, audits, and compliance tests. Assesses the risk raised ... and knowledge of fair banking compliance requirements and identifies..

VP, Associate Counsel Investigations The candidate is responsible for investigating matters involving potential fraud and/or misconduct by the Firm’s associated persons, employees, contractors and vendors, as well activities, business practices or ..

Senior Manager Compliance Programs Duties: Manage a team ... team that maintains and enhances compliance program components. Provide support, coaching, ... annual performance evaluations. Research regulatory compliance requirements and develop..

Principal Compliance Specialist Duties: Maintains and enhances ... in support of the overall compliance program components. Assists with researching ... components. Assists with researching regulatory compliance requirements and evaluating the..

Senior Manager Compliance Programs, Corporate Functions Duties: The candidate will manage a team that maintains and enhances compliance program components, including, but not limited to assessing regulatory changes, evaluating risk associated ..

Senior - Financial Services Industries - Banking Tax Duties: Developing and maintaining strong client relationships on various federal tax consulting/compliance engagements.Advising clients on a variety of tax issues including accounting for ..

Seasonal Tax Manager - Investment Management Duties: Performing review of workpapers and tax returns for hedge funds or investment funds. Performing review of investor packages, including Schedules K-1, K-2, K-3, and ..

Principal Compliance Specialist The candidate maintains and ... in support of the overall compliance program components. Assists with researching ... components. Assists with researching regulatory compliance requirements and evaluating the..

Wholesale Credit Admin Associate II - Global Corporate & ... II - Global Corporate & Investment Banking The candidate will be ... customer exposure, data integrity and compliance with Credit..

Senior Compliance Officer The candidate will conduct ... candidate will conduct and direct compliance risk oversight of assigned business ... of assigned business units (Registered Investment Advisors) and/or functions. Lead..

Lead Compliance Officer – Corporate & Investment Banking The candidate will provide ... monitoring of business group risk-based compliance programs. Will maintain compliance risk expertise and consulting for ... standards..

Lead Compliance Officer The candidate will provide ... monitoring of business group risk-based compliance programs. Will maintain compliance risk expertise and consulting for ... standards and programs to drive compliance..

Private Bank National Practice Leader The candidate ... sales liaison for the Private Bank Managing Directors to drive growth ... channels with a focus on investment management , and enhancing..

Associate Counsel - Core and Custom Lending Team The candidate will provide routine legal guidance on well-defined issues or claims against the Company, working under the direction of more senior counsel. ..

Compliance Officer - Securities Industry The ... support (CCO Support) to Chief Compliance Officers (CCOs) for multiple series ... (Trusts). Will assist in the compliance oversight of service providers to..

Senior Compliance Officer The candidate will conduct ... candidate will conduct and direct compliance risk oversight of Enterprise Compliance Programs, with an emphasis on ... English Proficiency. Lead and execute..

... manages, regulatory exams, audits, and compliance tests. Assesses the risk raised ... and knowledge of fair banking compliance requirements and identifies fair banking ... manages, regulatory exams, audits, and..

Lead Compliance Officer - Branch Banking The ... standards and programs to drive compliance with federal, state, agency, legal, ... of business group risk based compliance programs. Maintain compliance risk..

Principal Compliance Specialist, Fair Lending The candidate ... activities and work are in compliance with all applicable fair lending ... and knowledge of Fair Lending compliance requirements (including Americans with..

Principal Compliance Specialist Duties: The candidate maintains ... and knowledge of Fair Lending compliance requirements (including Americans with Disabilities ... are implemented to facilitate regulatory compliance. Assists in evaluating the..

NFRR Compliance & Operational Risk Manager The candidate will be advising Front Line Units (FLU) and Control Functions (CFs) across the enterprise on processes, controls, laws, rules and/or regulations which impact ..