Archive for April, 2013
PhD Statisticians for Tier 1 Investment Bank
Tier 1 investment bank is currently searching for a Postgraduate degree candidate with a strong theoretical background in either pure/applied/statistical mathematics is strictly required to join a team of PhD Statisticians to focus on probability models and data analysis.The successful candidate must demonstrate excellent mathematical ability. They should also be able to demonstrate a knowledge of and interest in financial markets.Exceptional communication required as Interaction with all key stakeholders is an important component of the role addition to quantitative skills. Deadlines are tight Read more […]
Quantitative Researcher
Background:My clients are world-renowned quantitative hedge funds and proprietary trading firms based in New York and London with exceptional historical returns. Most are at the forefront of high frequency trading and only hire exceptional people. They believe that keen insights and innovation are imperative for creating solutions to the complex problems that need to be solved in order to trade profitably in modern global markets.Across the board their emphasis is on hiring exceptional talent with a passion for turning gigantic data sets into tangible information. Several hires over the past Read more […]
Senior Compliance Officer
Senior Compliance Officer – Investment ManagementThe Role: This role is going to suit an ambitious compliance person with lots of energy, personality and gravitas as the successful applicant will be working across the business and closely with senior management in a broad role.* Providing compliance advice to all business areas ensuring relevant awareness. * Assist the Head of Compliance with regulatory visits * Review and maintenance of policy and procedures * Compliance input in relation to new product launches * Regulatory change and development advice across the business, including senior Read more […]
Manager, Corporate Governance
Prestigious financial institution seeks an experienced and effective people manager with a solid grounding in corporate governance , ideally gained from a banking or other financial services environment to undertake a high profile and externally facing line management role.This is a multi-faceted corporate governance role requiring the successful candidate to be responsible for process analysis and continuous improvement in a complex documentation-centric environment whilst managing relationships with a wide variety of internal and external stakeholders and representing the firm at a range of external Read more […]
Audit Manager
This is an excellent opportunity that will allow you to work closely with a highly regarded team of Financial Crime specialists who have built a strong reputation within the business and can offer you the scope to learn and progress your career.You will be responsible for providing high quality audit expertise and skills specifically in regards to Sanctions and Financial Crime risk. You will be involved with a portfolio of audits which are complex and cross divisional, helping test internal controls, agreeing control improvement and providing independent assurance in order to enhance the control Read more […]
Supervisory Principal
Essential Functions:1. Review and approval of new account applications, reviewing transactions on a trade blotter, review and approval of variable annuities, mutual funds, and securities transactions for suitability and documentation, advisor email and client correspondence.2. Confirm that all required account documents are provided to and obtained from a customer, and maintain and retain branch books and records in the OSJ branch office for the required retention period.3. Provide assistance during annual inspection of OSJ branch office. Respond to branch deficiency letter and take steps Read more […]
Supervisory Principal
Essential Functions:1. Review and approval of new account applications, reviewing transactions on a trade blotter, review and approval of variable annuities, mutual funds, and securities transactions for suitability and documentation, advisor email and client correspondence.2. Confirm that all required account documents are provided to and obtained from a customer, and maintain and retain branch books and records in the OSJ branch office for the required retention period.3. Provide assistance during annual inspection of OSJ branch office. Respond to branch deficiency letter and take steps Read more […]
Sr. Examiner
The Sr. Examiner position is responsible for independently conducting announced and unannounced on-site inspections of assigned LPL Financial branch offices. The branch exams are focused on the sales practices of each individual advisor and the books and records requirements of each office to ensure adherence to compliance with all applicable regulations. The Sr. Examiner will consult with branch managers, advisors and support staff and provide direction on maintaining branch offices in accordance with federal and state regulations, FINRA and other SRO regulations and LPL Financial policies and Read more […]
Sr. Examiner
The Sr. Examiner position is responsible for independently conducting announced and unannounced on-site inspections of assigned LPL Financial branch offices. The branch exams are focused on the sales practices of each individual advisor and the books and records requirements of each office to ensure adherence to compliance with all applicable regulations. The Sr. Examiner will consult with branch managers, advisors and support staff and provide direction on maintaining branch offices in accordance with federal and state regulations, FINRA and other SRO regulations and LPL Financial policies and Read more […]
Examiner
The Examiner position is responsible for independently conducting announced and unannounced on-site inspections of assigned LPL Financial branch offices. The branch exams are focused on the sales practices of each individual advisor and the books and records requirements of each office to ensure adherence to compliance with all applicable regulations. The examiner will consult with branch managers, advisors and support staff and provide direction on maintaining branch offices in accordance with federal and state regulations, FINRA and other SRO regulations and LPL Financial policies and procedures. Read more […]