Legal Counsel Investment Management Jobs

SVP Surveillance Product Specialist Duties: Serves as a Surveillance Product Specialist in the Compliance Surveillance function within Independent Compliance Risk Management (ICRM). Will be responsible to track and intemperate rule changes, ..

Compl Product Sr Officer I TTS and CCB O&T ICRM Compliance Officer The candidate will be responsible for: Designing, developing, delivering and maintaining best-in-class Compliance, programs, policies and practices for ICRM. ..

Assistant General Counsel - Investment Company The candidate will responsible ... for supporting all aspects of legal and regulatory matters relating to ... fund matters. Support board meeting management function..

Counsel Duties: Providing regular reports to ... regular reports to the General Counsel, relevant senior management and risk management of all litigation and related ... Selecting and assigning appropriate outside..

... manager for Independent Compliance Risk Management (ICRM)’s Assurance team responsible for ... product line or function, or legal entity within an assigned region ... establishing and adhering to talent..

... agenda for the GCRG Americas Management Committee. Coordinating regular update calls ... with the Head C&ORC Business Management on the administration of the ... regulatory experience with a wealth..

... operational risk teams and senior management. Creating minimum documentation/reporting standards for ... testing results to inform senior management, internal governance committees, and regulators. ... remediation efforts required by line..

... manager for Independent Compliance Risk Management (ICRM)'s Assurance team responsible for ... product line or function, or legal entity within an assigned region ... establishing and adhering to talent..

... operational risk teams and senior management. Creating minimum documentation/reporting standards for ... testing results to inform senior management, internal governance committees, and regulators. ... remediation efforts required by line..

Vice President, AML Compliance Risk Management (ACRM) Officer – NAM Banking, ... and implement firm-wide AML risk management policy and strategic processes. Maintain ... team and across business/functional line management..

AWM Compliance Manager The candidate will be responsible for oversight of the Private Bank business. Will provide support to ensure that the firm’s Financial Crime program is successfully implemented. Will: Assess ..

Senior Counsel, Regulatory Attorney The candidate will ... directly to the Associate General Counsel and will be responsible for ... for providing regulatory and business legal advice relating to broker-dealers..

Compliance Escalation and Incident Reporting Senior Vice President Duties: Designing, developing, delivering and maintaining best-in-class Compliance, programs, policies and practices for ICRM, Specifically, assist leadership in: Escalations and Issue Reporting: Develop ..

Compliance Product Officer - TTS Cash NAM ICRM Duties: Serves as a Treasury and Trade Solutions (TTS) compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for assisting with internal ..

Contracts Associate The candidate will review requests and draft Product Supplements, Master Agreements and other contracts utilizing standardized templates; collaborate with sales and product owners to ensure all contract specifications are ..