Archive for July, 2013
Deputy Head of AML (MSIM)
Position Description Support the head of the MSIM AML group with strategic initiatives while overseeing the day to day activities of the MSIM team. Responsibilities include: handling examinations/audits, risk assessments, drafting of policies and procedures, oversight of SAR process, oversight of surveillance process, oversight of training program, oversight of service providers. Skills Required Candidates should have 5 to 10 years of AML experience. A background with investment advisers is preferred. Strong writing and management skills are a must.
Compliance Monitoring Officer
One of the top Global Investment Management firms in London seeks an AVP level Compliance Monitoring Officer to join their team in the City of London. The firm has an outstanding reputation and has assets under management that value in the trillions. You’d be joining a team that can not only provide career progression but also enormous opportunity to broaden your career horizons. As Compliance Monitoring Officer – your responsibilities would be:• Undertake detailed reviews in accordance with the monitoring programme to assess compliance with applicable rules and regulations; including Read more […]
Senior Counsel for Private Banking and Lending
Position Description Successful applicant will be part of a legal team advising a national banking association and a U.S. broker-dealer. Specific duties will include: Advising senior management its officers on complex transactions and initiatives, managing and/or coordinating with other attorneys and legal personnel providing such advice. Advising the business on legal matters relating to governance, compliance with relevant banking laws and regulations, and operations, on policies and procedures, products and services, marketing materials and disclosures related to complex matters and initiatives.*LI-KR Read more […]
Head of MSWM AML Monitoring, Inquiries and Investigations
Position Description The Head of the Monitoring, Inquiries and Investigations Unit is an integral part of the MSWM AML Management Team. The Unit Head is responsible for managing a team of approximately 25 dedicated personnel charged with conducting the suspicious activity monitoring, investigation and reporting functions required under the USA PATRIOT Act. Specifically, the Unit Head is charged with the following:– advising the business on AML relevant issues related to transactional activity — advising on new product and service roll outs — overseeing all suspicious activity investigations– Read more […]
Equity Guideline Surveillance
Position Description Morgan Stanley Investment Management (MSIM) is a global provider of superior investment products and services to institutional clients across multiple asset classes. MSIM Compliance supports all aspects of the investment management business including: providing information to Portfolio Managers and Trading to aid in investment decisions with respect to adherence to client and regulatory guidelines and restrictions. MSIM’s Guideline Surveillance Team is responsible for providing ongoing support to Investment Teams and Trading with respect to guidelines for Institutional Equity Read more […]
Base III Regulatory Specialist
The Basel III Regulatory Specialist will provide expert support on public disclosure by: Carrying out in-depth reviews, analyses and peer comparisons of published financial information and Pillar 3 reports to identify areas of best practice and develop proposals for improved public disclosure by banks and insurers Generating evidence-based policy proposals on disclosure of regulatory information to complement the focus on accounting-based disclosures in published financial statements; Participating in the development of UK and international strategy on public disclosure of regulatory information Read more […]
Interim Deputy Section 151 Officer
We are currently working in partnership with a leading local authority based in the Midlands. They are now looking to recruit an interim Deputy S151 Officer for a period of upto 4 months, possibly longer depending, who will be responsible for:1.1 Plan, develop and implement strategy for operational management and development, to meet agreed Council performance, service plans, budgets and timescales, including customer satisfaction, cost and performance quality,within the Finance Service.1.2 Establish and maintain appropriate systems for performance management and governance of the Finance Read more […]
Technical Portfolio Specialist/ Assistant Portfolio Manager
Position Description The Global Asset Allocation team at Morgan Stanley Investment Management is looking to fill a Technical Portfolio Specialist/Assistant Portfolio Manager role at the Analyst/Associate level. Past experience is not a prerequisite, but resourcefulness and willingness to learn about and creatively integrate firm operations systems are important.The Global Asset Allocation team applies a top-down macro investing approach across a variety of asset classes, including global stocks, bonds, currencies and commodities. The team manages over $10bn in assets for a diverse range of Read more […]
Financial Analyst
The MIS Production team within the Finance Shared Services organization is responsible for the operational support of the MIS data warehouse. The team’s responsibilities include hierarchy maintenance, data integrity and database management. The team liaises with Finance, Technology and HR to provide forecast and data support. The role requires extensive coordination with the team in India. Role RequirementsProvide functional support for all MIS reporting needsIdentify and track issues; escalate and resolve with the technology teams and/orstakeholdersConduct extensive data reconciliation Read more […]
Associate Director / Director, Public Finance
Fitch RatingsFitch Ratings is a global rating agency committed to providing value beyond the rating through independent and prospective credit opinions, research and data. Offering a world of knowledge and experience behind every opinion, we transform information to deliver meaning and utility to investors, issuers and other market participants. Fitch Ratings’ global expertise draws on local market knowledge and spans across the fixed-income universe. The additional context, perspective and insights we provide help investors make important credit judgments with confidence. Dual-headquartered in Read more […]