Compliance Associate Investment Bank Jobs

Wealth Management | U.S. Private Bank | Client Service Manager | ... & Wealth Management, Corporate and Investment Banking, Commercial Banking, Consumer and ... is a global leader in investment..

Compliance Associate Program - Summer Associate, 2021 The candidate will partner ... program offers insight into our Compliance function. Will begin with comprehensive ... Global Financial Crimes Investigations, Employee Compliance,..

Director Compliance The candidate will be responsible ... Oversee testing programs and ongoing compliance and other risk assessments; liase ... and NFA filings; Provide situational compliance support in connection with..

Consumer is creating a team supporting our new Business Data Owner roles to drive our data strategy more proactively and strengthen LOB ownership of our data remediation and business enablement priorities. ..

Director Compliance Fixed Income Duties: Promote reputation ... ethics and integrity. Address regulatory compliance issues relating to Fixed Income ... relating to Fixed Income fund investment and product development, including..

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..

Director Compliance Fixed Income Duties: Promote reputation ... ethics and integrity. Address regulatory compliance issues relating to Fixed Income ... relating to Fixed Income fund investment and product development, including..

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

... and evolves the US Privacy Compliance/HIPAA program and requirements in compliance with applicable regulations. Will support ... processes, and controls for program compliance. Provides guidance and advisory support .....

... Duties: Represent the firm’s Chief Investment Office in connection with its ... on tax, ERISA, insurance company investment restrictions, and other related regulatory ... to private equity and debt..

... and Analysis Responsibilities: Financial Crimes Compliance, Sanctions Europe & Americas (“FCCEA ... ongoing basis. Provides regulatory and compliance advice to business and control ... the provision of targeted sanctions..

... The candidate will support the Bank’s Financial Crime Compliance Americas division (FCC) in ensuring ... governmental authorities and enable the Bank to form sound judgments concerning ... expectations of..

Manager, Compliance - PGIM Investments (Hybrid) The ... The candidate will implement the compliance oversight program relating to PGIM ... relating to PGIM Investments’ Strategic Investment Research Group (“SIRG”). SIRG..

Director, Financial Crimes Compliance The candidate will drive success ... the Anti-Money Laundering (AML), Sanctions Compliance (SC) and Anti-Bribery & Corruption ... and Anti-Bribery & Corruption (ABC) compliance programs by..

... on tax, ERISA, insurance company investment restrictions and other related regulatory ... to private equity and debt investment; collaborate with Prudential Compliance personnel on compliance matters relevant to private..

Director Compliance The candidate will design and implement an effective, risk-based broker-dealer testing program for Pruco, PIMS and PAD to assist in detecting and preventing violations of, and achieving compliance with, ..

... to internal business clients on investment company, investment advisory and regulatory issues in ... well as members of the compliance and marketing departments. Draft and ... documents for registration..

Trading Services Associate II The candidate will actively ... Group’s clients, ensuring adherence to Compliance policies regarding the handling of ... Credit Agreements), financial materials and investment committee memoranda in..

VP, Corporate Counsel, Data & Privacy The candidate will be providing legal advice to ensure Prudential’s practices with regard to personal information of customers and employees comply with applicable domestic privacy ..

... to internal business clients on investment companies, investment advisory and regulatory issues in ... well as members of the compliance and marketing departments. Draft and ... documents for registration..

... to internal business clients on investment advisory, investment company and regulatory issues in ... including product development, sales team, compliance and marketing departments. Review annual ... of the Prudential..

Vp, Assistant General Counsel - Payments Duties: The candidate will be providing day-to-day legal advice and counsel to internal clients and partners in connection with the development, implementation, and maintenance of ..

Vice President, Compliance The candidate will support the ... in designing and implementing a compliance program for registered investment advisers and registered investment companies that is effective in ... policies...