Kiryas Joel
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One of the largest financial services providers in the world is seeking a Director level Fixed income compliance professional to primarily responsible for providing compliance advisory support to the Fixed Income / Credit, Structuring, Client Capital Management, Treasury Services and / or Structured Credit Portfolio Management areas. Main Duties • Provide in-depth knowledge and experience with res...
Vice President of Records Management sought to manage the Global Records Management team within the Corporate & Investment Banking (“CIB”) Information Risk Management (“IRM”) team. The Records Management team performs a Governance, Advisory and Conformance Testing function responsible for ensuring that CIB adheres to Group IRM Policy and Minimum Standard, by working in partnership with the Busines...
Global investment bank seeks a Privacy and Information Risk Governance & Privacy Professional to join their Information Risk Management (“IRM”) team. The ideal candidate will perform a Governance, Advisory and Conformance Testing function responsible for ensuring that Cooperate and Investment Banking adheres to the local laws and regulations, and Group policies, by working in partnership with the...
A major investment banking firm is seeking a AVP Anti-Money Laundering Analyst to be responsible for ensuring: • Compliance with policies, procedures and US regulations for the Correspondent Banking and Corporate Banking line of business in relation to AML surveillance. • The Bank meets its statutory obligations for reporting suspicious activity. • This will involve investigation of suspicious act...
Our client, one of the largest financial services providers in the world, is seeking and VP Regulatory Compliance professional to serve as point of contact, in the preparation of Annual Compliance Reports, including, but not limited to, Futures Commission Merchant and Swap Dealer. MAIN DUTIES • Establish quarterly reporting / meeting framework to support Annual Compliance Reports • Work with Senio...
Outstanding opportunity with NY based Investment Manager to assist Portfolio Managers and Trading in investment decisions with respect to adherence to client and regulatory guidelines and restrictions. This individual will be responsible for the daily surveillance of fixed income separately managed accounts mutual funds and the following: Utilize Blackrock Aladdin to monitor accounts for complianc...
Create and update consumer policies for rapidly changing consumer compliance regulations, provide consumer compliance training, independent testing, and risk assessment of the bank’s consumer compliance management system. Coordinate with regulatory agencies such as CFPB and OCC. Job Duties: • Create and update consumer policies for rapidly changing consumer compliance regulations. • Provide consum...
Our client, a major global financial services provider seeks a Portfolio Trading Surveillance Manager, VP to perform the following: • Responsible for building the investment advisory compliance program and implementation of Charles River and other trade order management and compliance applications. • Manage and mentor a team of compliance professionals. • Attend committee meetings and work with se...
Responsibilities: • Implement, maintain, and manage IA Compliance Program. • Supervise the IA compliance unit. Report directly to the IA Chief Compliance Officer. • Work closely with business to ensure regulations and firm policies are well understood and incorporated into workflow. • Help to limit the firm’s regulatory and reputation risk and reinforce the firm’s culture of compliance. • Develop...
A top-tier ratings agency, seeks a Compliance Analyst to assist, manage and maintain the following: • Tracking and Monitoring Employee Personal Securities Brokerage Account Statements and Trade Confirmations • Ongoing surveillance and "spot checking" of personal trading account activity to detect trading exceptions under Bulletin 13 with the appropriate escalation • Ability to review trading activ...
Responsibilities Provide Compliance support for equity sales and trading desks, as well as support functions: IT, Risk, Operations, controllers, finance Provide advisory support to traders, sales traders, supervisors, Risk and IT on regulatory rules: Reg NMS, Reg SHO, OATS, Rule 5320, trade reporting, Rule 605/606, riskless principal Communicate with traders and supervisors to assess risk and re m...
The role of the VP, Training Development is to develop training courses and communications designed to instill the appropriate level of knowledge around Compliance-related policies and procedures by all staff globally. The VP, Compliance Training Development will partner with compliance, regulatory affairs and legal staff, policy content owners, business managers, learning organizations and others...
Our client, one of the largest and well known financial services providers in the world is seeking a Bank Regulatory Compliance Officer to join their Bank Regulatory Compliance (BRC) advisory team. The team provides US bank regulatory compliance coverage for the firm’s investment banking and Wealth management businesses and activities impacted by U.S. Banking rules and regulations. The BRC group p...
Opportunity to join our clients Bank Regulatory Compliance (BRC) advisory team in providing US bank regulatory compliance coverage for the firm's Investment Banking and Wealth Management businesses and all activities impacted by U.S. Banking rules and regulations. Responsibilities • Provide support and advice to compliance colleagues and businesses on applicable State/Federal US banking rules/regu...
The Compliance Change Management Team is a newly established function within Compliance which will perform key project management roles for all Compliance initiatives, including the Compliance Control Framework program, integration of Central Compliance functions in new hubs and delivery of strategic regulatory projects. The Compliance Officer - Change Management will be involved in a broad range...
Our client, a major investment banking firm seeks a Central Compliance Officer to lead the implementation of the target operating model in establishing new Business As Usual (BAU) procedures for the various groups within Central Compliance. The functions of the Central Compliance team includes: Licenses and Registrations, Personal Account Dealings, Private Investments, Outside Affiliations, Gifts...
One of the largest financial services providers in the world is seeking an Financial Crime Compliance Enhanced Due Diligence Professional to assist in the management of anti-money laundering (AML), anti-bribery and corruption (ABC) and sanctions risks associated with prospective customers across Corporate and Investment Bank in the Americas region. The ideal candidate will advise compliance manage...
Lead compliance coverage officer for U.S. Finance Division. Report to global compliance coverage head for Operations, Finance and Technology Divisions. Primary coverage areas include: • Customer protection-related processes for the firm’s U.S. institutional and retail broker-dealers, including regulatory reporting (e.g. FOCUS), net capital requirements under Securities Exchange Act (SEA) Rule 15c3...
Top global New York based financial services firm seeks a VP in their Legal Department to support their Institutional Asset Management division. Position requires knowledge of the Investment Advisers Act of 1940. Candidate should have the ability to work well in a fast paced, interactive environment. Possess good business judgment as well as legal expertise/judgment. Knowledge of Investment Compan...
Well known and highly regarded information services company is seeking a SVP of Compliance Product Solutions. The position reports directly to the Chief Product Officer. DUTIES AND RESPONSIBILITIES In parting with other departments (e.g., Marketing, Technology, Sales etc.); oversee the design of effective strategies that result in high growth and successful execution. Develop the overall Complianc...
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©2013 Monster - All Rights Reserved U.S. Patents No. 5,832,497; 7,599,930 B1; 7,827,125 and 7,836,060 MWW - Looking for Monster Cable? - V: 2013.1.5.22-311