KEY PURPOSE: Working with the COO, Private Wealth, the Legal Counsel, Private Wealth, the firm's New York-based Compliance Manager and others, you will develop strong working relationships with all key stakeholders to build...
We are looking to add an Executive Director Quality Control to our team in Rensselaer, NY! This role leads activities in Quality Control, including but not limited to: release and in-process testing, stability testing, lab investigations,...
About the Organization The Momentus Capital branded family of organizations - which includes Capital Impact Partners , CDC Small Business Finance and Momentus Securities (an SEC-registered broker-dealer, MSRB-registered,...
Client: Financial Services Organization Role: Senior Controller Salary: $200,000 - $250,000/annually Location: New York City (Hybrid - 4x week in office) ...
At Broadridge, we've built a culture where the highest goal is to empower others to accomplish more. If you're passionate about developing your career, while helping others along the way, come join the Broadridge team. Bank, Broker-Dealer...
Firm Risk Management Firm Risk Management (FRM) supports Morgan Stanley to achieve its business goals by partnering with business units across the Firm to realize efficient risk-adjusted returns, acting as a strategic advisor to the...
Job Summary We are seeking a dedicated and detail-oriented Compliance Officer to join our team. This pivotal role involves overseeing the SEC securities-related activities, including communication, trading,...
Investment Bank Compliance Officer – Origination & Advisory - Vice President Job Title: Investment Bank Compliance Officer – Origination & Advisory Corporate Title: Vice...
Regulatory Examination Management, Compliance Manager ED New York, United States of America USA Job Function Description: The ED, Regulatory Examination Management Compliance Manager follows industry regulatory developments, applying...
PIMCO is a global leader in active fixed income with deep expertise across public and private markets. We invest our clients' capital across a range of fixed income and credit opportunities, leveraging our decades of experience navigating complex...