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United States
Posted On Sep 18, 26
Full-time 4 views Experience : 6-8 yrs required
Job Tags:
abuse AML criminal due diligence Ethics evidence finance Harassment indemnity International Law Partnership regulatory compliance
Job Tags:
abuse AML criminal due diligence Ethics evidence finance Harassment indemnity International Law Partnership regulatory compliance

Title Head of US Risk & Compliance (Ethics & Professional Responsibility) Job Responsibilities - Oversee the regulatory compliance, and professional indemnity elements of the firm's US Risk & Compliance team. - Supervise and optimize US new business intake (NBI), conflicts analysis, and resolution, including...

Posted On Jul 20, 26
Full-time 6 views Experience : Min 1 yrs required
Practice Area:
Corporate - Securities and Capital Markets Corporate - General
Job Tags:
Capital Markets corporate governance directors due diligence Financial Industry Regulatory Authority FINRA initial public offerings Mergers and Acquisitions Securities Securities Exchange Act of 1934 shareholders underwriters
Practice Area:
Corporate - Securities and Capital Markets Corporate - General
Job Tags:
Capital Markets corporate governance directors due diligence Financial Industry Regulatory Authority FINRA initial public offerings Mergers and Acquisitions Securities Securities Exchange Act of 1934 shareholders underwriters

underwriters, placement agents, or broker-dealers in various capital market... transactions, including initial public offerings, secondary market offerings, registered direct offerings, and private placements. - Prepare relevant filings and responses with the Financial Industry Regulatory Authority in connection with transactions. - Support senior...

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