Archive for April, 2013
Portfolio PMO
Portfolio PMO – Regulatory ChangeMy client a leading Investment bank based in the City is looking for a Portfolio Senior PMO to join their Business change team on a long term contract asap.The successful candidate will be working on a global reg change programme in a fast paced, challenging environment.Skills:-PMO/Portfolio Manager in investment banking-Knowledgeable of PMO operation; Governance, Methdalogy -Fluent user of SharePoint, Niku, Clarity, MS Project Server -Previously worked on regulatory focused projects -Understanding of change methodologyLondon based contract position.Interviews available Read more […]
Testing Compliance Officer
Within this role you would assist with the following acitivies: * Management and execution of compliance monitoring activities on a risk-assessed basis and escalating any exceptions and/or issues. * Ongoing development and implementation of a comprehensive compliance program. * Performance of the annual risk-assessment of laws and regulations in support of the compliance testing and monitoring framework. * Annual policies and procedures reviews and revisions and development of new policies and procedures, when applicable. * Monitoring of all regulatory changes, ensuring communication of new requirements, Read more […]
VP Bank Regulatory Compliance
Responsibilities:* Research, analyze and explain new/updated regulations affecting the firm and its’ functions. * Draft and develop various controls, procedures and policies to maintain compliance with all regulations. * Interact with various regulatory agencies – FDIC, FRB, etc. * Manage the Federal Reserve exam process including inquiries, follow-up, etc. * Status tracking and reporting of various issues. * Lead training events which will provide continuous education on up-to-date regulations.We are looking for an individual who can demonstrate a passion for compliance. In addition you will be Read more […]
Experienced KYC Analyst
KYC Analyst will be responsible for a specific number of portfolios each quarter to review and ensure the existing client meets all the current KYC and AML requirements, to include but not limited to:* OFAC/WorldCheck screening * Ensure the integrity of the information and documentation is correct and in good form * Review and adhere to SG Global KYC Policy AML/OFAC policies and procedure * Apply all CIP regulatory requirements to clients * Maintain a working relationship with the business line * Have the ability to use judgment when reviewing a client to ensure all issues and concerns are managed Read more […]
Experienced Corporate Investigator
Within this role you will be responsible for investigating allegations involving employees, third parties and vendors. You will also perform sales practice related investigations involving agents or brokers appointed to sell the firm’s financial services products. You will partner with local, state and federal law enforcement to file cases and pursue fraud perpetrators on behalf of the firm.You must possess:* BA or BS required.* At least 5 years investigative experience in a corporate fraud department or a regulatory compliance role. Prior experience working for FINRA preferred.* Must have Read more […]
VP Compliance
The ideal candidate will be able to maintain regulation updates and assess the impact on business and support managers in implementing changes to products, services, systems and operations to ensure and sustain the Reg. W Operating model. The ideal candidate must be able to:* Provide Regulation W subject-matter expertise to business lines in evaluating and assess potential covered transactions relating to Sections 23A or 23BMonitor the development of the Dodd Frank Act pertaining to derivative, repurchase agreement and private equity/hedge fund classification* Assist functions in assessing potential Read more […]
Senior Regulatory Relationship Manager
Responsibilities will include:Facilitating a very strong and positive relationship with the bank’s regulatory by:*Maintaining regular, open and transparent dialogue with the regulators*Coordinating and centralizing the flow of information between the various regulators and the appropriate staff*Ensuring the bank is being responsive to the Regulator’s needs or concerns*Providing timely and accurate reporting of regulatory activity and any noted or emerging issues or themes*Reporting and escalating to Executive Management matters that can negatively impact the relationship with our Regulators*Advising Read more […]
Hedge Fund Oracle Developer
If the candidate has substantial experience and knowledge of LineData’s FundManager system from its database perspective, that will be absolutely great.General:Mid-Senior (8-12 years) level strong Oracle developer.Not project managers/project leads, need a solid hands-on technologist, who can turn around high-quality code quickly without much guidance.Candidate must be comfortable with working in multitasking environment with demanding users who expect things to be delivered “yesterday”Interacting with business users and the existing development team to gather/understand requirements; designing Read more […]
AVP/VP Investment Funds Counsel
You will report directly to the Deputy General Counsel and be responsible for focusing on the legal servicing needs of our portfolio departments, as well as to handle other corporate and securities law matters.You will be responsible for the following primary duties:* Review of deal and financial products documentation and closing of transactions involving investments in portfolio securities for mutual fund and other advisory clients, with particular emphasis on public and private debt and equity offerings of U.S. and non-U.S. issuers. * Responsibility for handling questions from portfolio managers Read more […]
Trade Operations Analyst
Our client is a high performing and well established investment management firm looking to add a trade operations analyst to their support team. This is a fantastic opportunity to join a lean team that has great exposure across the firm and work closely with investment professionals. The responsibilities will include: trade settlements, cash and treasury management, portfolio accounting, liaising with prime brokers and custodial banks, and assist in tax implications and analysis.The Trade Operations Associate should possess:* Three plus years of experience in fund accounting or trade operations * Read more […]