Privacy Compliance Coverage Officer Morgan Stanley Overview: Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries. As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethic. Legal and Compliance Division Overview: The professionals in the Legal and Compliance Division LCD provide a wide range of services to our business units. LCD is made up of the Legal, Regulatory Relations, and Non-Financial Risk departments which preserve the firm's invaluable reputation for integrity and protect the firm from sanctions with policies and procedures that are designed to meet regulatory requirements around the world. We...

Corporate Title: Vice President Department: Legal Location: New York- midtown (Hybrid) The base pay range for this position at commencement of employment is expected to be between $160K and $180K/year*   Company overview Nomura is a global financial services group with an integrated network spanning over 30 countries and regions. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its three business divisions: Retail, Wholesale (Global Markets and Investment Banking), and Investment Management. Founded in 1925, the firm is built on a tradition of disciplined entrepreneurship, serving clients with creative solutions and considered thought leadership. For further information about Nomura, visit  www.nomura.com .   Aon’s Benefit Index ® , Nomura’s benefits rank #1 amongst our competitors   Department overview:...

COMPANY OVERVIEW KKR is a leading global investment firm that offers alternative asset management as well as capital markets and insurance solutions. KKR aims to generate attractive investment returns by following a patient and disciplined investment approach, employing world-class people, and supporting growth in its portfolio companies and communities. KKR sponsors investment funds that invest in private equity, credit and real assets and has strategic partners that manage hedge funds. KKR’s insurance subsidiaries offer retirement, life and reinsurance products under the management of Global Atlantic Financial Group. References to KKR’s investments may include the activities of its sponsored funds and insurance subsidiaries. POSITION OVERVIEW The Chief Compliance Officer will oversee the development, implementation, and monitoring of the global insurance compliance programs with an emphasis on the Reinsurance and Investment Management business lines at Global Atlantic....

Overview When you join Hines, you will embark on a career journey fueled by vision and guided by leaders who set the standards of our industry. Our legacy is rooted in innovation and excellence, earning us a spot on Fast Company’s esteemed annual list of the World’s Most Innovative Companies, as well as recognition as one of U.S. News & World Report’s Best Companies to Work For in 2024. Discover endless opportunities to grow and make your mark at Hines. Responsibilities The Director, Investment Management Business Development, will oversee the strategic vision and execution of pitch and pursuit initiatives across our private wealth and institutional investors, serving across geographies. This go-getter will drive comprehensive strategies to win pursuits, streamline processes, and ensure a large-scale programmatic approach to drive consistent messaging and positioning globally. The role will work closely with investment management leadership in support of business...

COMPLIANCE OFFICER SENIOR-INVESTMENT ADVISORY   WHAT IS THE OPPORTUNITY? The Senior Compliance Officer will act in a compliance oversight and advisory role supporting assigned business units including two registered investment managers. The role will also be responsible for managing and maintaining assigned areas of the compliance program including monitoring business area compliance with applicable laws, rules, and regulations, and ensuring effective controls are in place to mitigate compliance risk. Maintaining regulatory change management, policies and procedures, training, and advisory matters. This role is responsible for oversight of best execution, liquidity, derivatives, fair valuation, investment strategy and selection, proxy voting, assisting business areas to implement corrective actions or procedural changes, and applying a risk-based approach.   What you will do Serve as a compliance subject matter expert for assigned areas. Review committee...

  Job Purpose: Ardian's compliance team is responsible for ensuring that the firm complies with all applicable regulatory requirements.  The Senior Compliance Officer will assist the US compliance team in all aspects of the compliance program for an SEC registered adviser.  Additionally, the Senior Compliance Officer will work on global regulatory topics within the framework of the Ardian compliance team. Job Responsibilities: Prepare regulatory filings, administer the firm’s compliance program, and oversee Code of Ethics Participate in the compliance aspects of the Firm's newly registered '40 Act Fund Review marketing materials for both SEC and FINRA compliance Drive compliance initiatives across various areas of the program depending on regulatory trends Conduct compliance controls and testing and update policies/procedures Partner with compliance consultants to conduct mock audits and heed advice on regulatory updates Education and Experience: 3-5...

Davis Polk & Wardwell LLP (including its associated entities) is an elite global law firm with world-class practices across the board. Clients know they can rely on Davis Polk for their most challenging legal and business matters. Our approximately 1,000 lawyers located in 10 offices in the world’s key financial centers and political capitals collaborate seamlessly to deliver exceptional service, sophisticated advice and creative, practical solutions. Visit davispolk.com . Position Summary The Business Development team supports the firm across a broad spectrum of new business and client relationship-building activities, including the creation of new business proposals and firm marketing materials, upkeep of the databases that track firm experience and client information, competitive and market intelligence, and coordination of client events. The Business Development Manager works closely with partners and other lawyers in our Investment...

Work Location : New York, New York, United States of America Hours: 40 Line of Business: Compliance Pay Detail: $100,000 - $135,000 USD TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.  As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role. Job Description: Preferred Qualifications: This Senior Compliance Officer is a key member of the TDS US Compliance...