Archive for August, 2013
Hedge Fund Compliance Attorney
The Compliance Officer is primarily responsible for day-to-day implementation and maintenance of compliance program including, among other things, the development of compliance policies, procedures and processes, conducting the risk assessment analysis, supervising portfolio compliance and other compliance testing, reviewing marketing materials, and reviewing and analyzing applicable laws and regulations for impact on the firm’s compliance monitoring function. Key responsibilities include: • Assist in the development, implementation and maintenance of compliance policies, procedures and processes. • Read more […]
Editor
Sidoti is looking for an editor. An experienced sell-side analyst, with at least 5 years of analyst experience, who wants to make the move to the managerial side. Licenses 7, 63 and 16 are required and CFA designation is recommended. The ideal candidate must have proven writing and oral presentation skills, with strong grammar and composition ability. Job will first center on considerable editing/restructuring of morning meeting notes and research reports to ensure the quality of the written product. Ideally, the position will evolve into helping the research director run the department; Read more […]
Compliance, Audit and Risk Specialist
Other duties include, but not limited to: • Liaising with outside auditors engaged to support the firm’s internal audit, control assessment and other engagements • Ensuring timely, accurate and on-budget completion of internal audit engagements • Tracking and closure of open audit recommendations • Creation of board and management reporting materials • Coordination of risk management efforts with a focus on driving operational risk improvements • Tracking and analysis of incident reports and errors • Maintenance of firm risk management assessment matrices • Tracking of open risk Read more […]
European Rates Market Risk Manager – Senior VP
My client, a leading Tier 1 US Investment Bank has a requirement for a Senior VP Market Risk Manager to work on their European Rates Trading Desk.The successful candidate will join a Front Office Team responsible for Market Risk Management for the European Rates Business.This role will have a small team of Analysts working for them, so people management experience is required.Requirements:- Minimum of 7 years experience in Market Risk- Excellent understanding of Rates Trading – European Rates product knowledge preferred- People management experience- Numerate degree (Masters preferred)- Strong Read more […]
MARKETING & COMMUNICATIONS ASIA
To develop, manage and implement marketing and profiling campaigns to promote the investment offerings, support sales generation and increase brand recognition. Work with the Head of Marketing Communications, Asia to develop impactful thought-leadership programs to promote strategic themes, and drive implementation in Asia. This involves active engagement with and support to the local territories. Work with marketing resources in Asian territories to ensure locally-driven initiatives related to key global and Asia-wide business themes and investment strategies are coordinated. The aim is to Read more […]
Compliance Manager/Assistant Manager
The Job : Identify and evaluate compliance risks of the operations and business activities of the respective business unit, provide day to day regulatory advice and guidance on rules and internal policies and its latest updates, ensure the business unit in compliance with the law, rules and regulationsReview business processes and new initiatives put forward by the business units to ensure compliance with regulatory requirementsPartner with other Compliance and Legal teams on assessing and measuring compliance and related risks, and developing common standards and practices.Conduct monitoring activities Read more […]
Junior Grains Trader
Junior Physical Grains Trader / Marketer (Wheat, Barley, Soybeans, Corn, Oilseeds By-Products) Agricultural commodities, Sales SE Asia, Purchasing, Selling. Location; Asia – Singapore:We are currently working with a substantial Agricultural commodities trading house, based in Singapore, who are seeking a self-motivated junior grains trader to join their operations in Singapore. The candidate would be responsible for driving sales of Agri-commodities mainly across grains and oilseeds into South East Asia. The candidate should have a good knowledge of this market and should have some key selling Read more […]
Senior Compliance Manager (Singapore)
Key duties and responsibilities: Providing Compliance support to the Equity Corporate Finance, Capital Markets and Research businesses,Providing Compliance support to the Equity Corporate Finance, Capital Markets and Research businesses:•Implement appropriate compliance infrastructure and controls •Perform risk assessments, and provide efficient and practical advice •Pro-active risk identification of regulatory changes or business developments •Development and maintenance of compliance policies and procedures •Provide advice on new product and new business structures •Supervision Read more […]
Director-Natural Catastrophe Risk (PhD) Insurance Analytics
This is a Senior Role that will lead a group that is designing and implementing a structured process for independent review, testing, reliability, approval and documentation of Cat Risk Models and Insurance Analytics. The role will manage at team that will examine everything from data use, to model setup, to the development of key assumptions to how the model is utilized for effective decision making. The Candidate will use best practices (OCC-2011-12) and advanced statistical modeling and data mining to replicate and review Nat Cat risk models and will manage large scale data to improve the data Read more […]
Sr. Loan Underwriter
Global Financial institution is looking to add a Sr. Loan Underwriter responsible for consumer credit. This person will be part of the private banking business responsible for serving high net worth clients. Individual responsibilities for this role include pre-screening transactions; conducting all due diligence on crew credit requests (credit analysis, financial statement analysis, meet with perspective clients); prepare and negotiate structuring recommendations with the firms credit policy; make approvals or decline recommendations to credit approvers; work with legal counsel to prepare, Read more […]