Senior Banking Finance Attorney 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. ..

Compliance Assurance Director Duties: The candidate serves as a senior compliance risk manager for Independent Compliance Risk Management (ICRM)'s Assurance team responsible for assessing compliance risks and controls implemented by the ..

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 ..

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 ..

Vice President, AML Compliance Risk Management (ACRM) Officer – NAM Banking, Capital Markets and Advisory Duties: Execute and implement firm-wide AML risk management policy and strategic processes. Maintain AML compliance program ..

Corporate Counsel (Investments) The candidate will work closely with the investments team on distressed investments and special situations arising from portfolio holdings of equity, taxable fixed income, and municipal securities. Work ..

Operational Risk Officer – Control Testing The candidate will be responsible for: effectively testing/challenging internal control assessments for the Combined US Operations (CUSO) of UBS. Liaising regularly with the Heads of ..

Operational Risk Officer – Control Testing The candidate will be responsible for: Effectively testing/challenging internal control assessments for the Combined US Operations (CUSO) of company. Liaising regularly with the Heads of ..

Compliance Assurance Director - NAM ICG The candidate serves as a senior compliance risk manager for Independent Compliance Risk Management (ICRM)’s Assurance team responsible for assessing compliance risks and controls implemented ..

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

Americas Compliance And Operational Risk Control Chief of Staff The candidate will be responsible for: Providing support to the C&ORC Co-Heads and other senior C&ORC staff in managing the strategic priorities ..

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