Archive for April, 2013
Structuring / Transaction Associate
Responsibilities: * Reviewing, marking-up and tracking the progress of confidentiality and non-disclosure agreements * Evaluating and providing a timely response to numerous different KYC requests related to both private investments and public investments * Working with the appropriate companies to form foreign and domestic entities as needed for new investments. Drafting and filing the applicable IRS tax forms and elections * Staying abreast of, and maintaining an understanding of new and existing US tax rules related to such forms and elections * Working with joint venture partners to get invoices Read more […]
Mutual Fund Attorney
As the Mutual Funds Attorney you will report into the Head Attorney of the Investment Group and be responsible for the following tasks:* Provide legal advice and support on issues relating to registered (open close-end) funds, index ETFs, model-based programs, and sub-advisory relationships with particular emphasis on contracts, distribution, product development, marketing, and sales practices. * Assist in preparation of materials for board meetings; attend board meetings and draft minutes. * Draft organizational documents, board actions, investment management agreements and service contracts. * Read more […]
Sales and Advertising Compliance Analyst
The Compliance Analyst will be responsible for assisting in the compliance reviews of mutual fund and SMA marketing material, coordinate and monitor FINRA filings, act as a liaison between marketing and legal/compliance, and ensure all regulatory comments are addressed. The qualified candidate will possess: * At least two years of of compliance experience * Strong knowledge of broker-dealer and investment advisor advertising rules * Excellent communication skills
Senior Compliance Testing Officer
Our client is a well-established international financial institution and is investing resources in its Compliance Testing and Control function. You will be performing periodic testing reviews of the compliance control framework. The objective of these reviews is to ensure compliance with internal and external policies and procedures and with laws and regulations. Focus will be on control activities within and across the business lines, and in related support activities. Please contact us for more information.
VP Securities Compliance Officer
Within this role you would advise on including trade reporting, underwriting, Rule 10b-18 buy back programs, Reg. SHO, securities lending, best execution, mark-ups/mark-downs, testing and monitoring.You would be responsible for the following:Conduct surveillance of equity transactions for the market abuses and compliance with supervisory requirements.Advise on globally branded research issues including Rule 2711, Reg. AC, and developing appropriate disclosures and disclaimers.Advise on Rule 15a-6 and administer procedures controlling activities of foreign affiliates in the US.Advise on equity capitalmarket Read more […]
Credit Risk Portfolio Manager
The Associate’s primary responsibility will be supporting our client’s investment grade lending business. Critical functions include: * Assessing risk factors with a credit and determining appropriate * Active credit management of a designated portfolio utilizing solid credit and analytical skills * Provide continuous oversight of portfolio names monitoring for potential upgrading, downsizing and credit deterioration with the goal of maximizing net income and reducing credit costs.Breakdown: * 70% Portfolio Management * 15% Credit Underwriting * 15% Other* Bachelor’s degree * MBA or CFA preferred * Read more […]
AVP-Credit Risk
• Ensure compliance, operational risk controls in accordance with regulatory standards and policies; and optimize relations with regulators by addressing any issues. • Risk analysis and monitoring • Regulated Fund portfolio reporting • Interface with sales/trading, and Relationship Management • Negotiation of credit terms in documents, in conjunction with the Documentation team • Make credit recommendations based on analysis of counterparty information as to risk rating, limit size, margin and legal document terms Observation of Internal Controls • Maintain internal control standards, Read more […]
Head of Program Delivery, Capital Markets
Main Responsibilities * Responsible for three work streams across multiple lines of business in capital markets covering people management, financial management and project management. * Fully responsible for both strategic initiatives and active project management of enhancements and developments on existing systems. * Building strong relationships with internal stakeholders to drive requirements, future integrations, architecture strategy and efficiency programs. * Financial management: ensuring that all financial reporting is cycles are fit within a formal project management format * Directly Read more […]
VP
As a senior leader within the Equities Compliance Team you will be responsible for managing compliance, supervisory and surveillance programs for all equities trading business (supporting 35 traders). Establish, enforce and maintain the supervisory programUsing your strong knowledge of equities trading, proprietary trading models and order handling protocols you will provide guidance to the business on market structure.Provide compliance support in conducting the 3012 and 3013 process reviews as well as the Market Access Rule 15c3-5.Manage business and technology development projects to ensure Read more […]
Interim Regulatory Counsel
Our client is looking to on-board a Interim Regulatory Counsel to provide support for a regulatory compliance project and a maternity leave.The responsibilities will include: * Participating in project planning meetings * Communicate regularly with North American legal counsel to ensure consistency across the project. * Review risk descriptions as they come through and assess regulation applicability. * Participate in regulation applicability and risk assessment meetings. * Provide regulatory support to internal lawyers on specific questions. * Help map various compliance rules and regulations Read more […]