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Legal Counsel, Energy Compliance
Legal Counsel, Energy Compliance – The Role: The job holder will be required to manage a portfolio of compliance activities including: promotion of compliance culture, giving advisory opinions, supporting financial crime/market conduct programs, conflicts management, providing compliance training, applying knowledge of energy and financial commodity products, approving new business initiatives, policy development, and assessing applicable forthcoming UK and EU financial legislation in conjunction with Regulatory Affairs and Legal. The job holder will be expected to contribute to the compliance Read more […]
Compliance Officer, Energy Compliance
The role will also have a significant monitoring and surveillance component, including system configuration, development and testing within the system development lifecycle. To meet the challenges and demands of this role it is likely that the job holder will have acquired significant relevant wholesale financial services and energy market experience and strong IT skills to meet the demands and challenges of a varied role. p p pThe role will have significant interaction with the firm’s trading and origination business as well as the firm’s support and control functions. p p pThe job holder’s Read more […]
Director of Compliance/Legal
THIS ROLE IS BASED IN NEW JERSEYPrimary ResponsibilitiesWork with Senior Management to promote a culture of complianceReview the adequacy of the Firm’s policies and procedures and the effectiveness of their implementation (e.g. code of ethics governing the personal trading practices of all employees, trade allocation, best execution, surveillance of communications, etc.)Update the Firm’s policies and procedures as a result of changes in business activities or operationsProvide training to all employees about the compliance culture and systems in placeMonitor changes to applicable laws, rules and/or Read more […]
Director of Compliance/Legal
THIS ROLE IS BASED IN NEW JERSEYPrimary ResponsibilitiesWork with Senior Management to promote a culture of complianceReview the adequacy of the Firm’s policies and procedures and the effectiveness of their implementation (e.g. code of ethics governing the personal trading practices of all employees, trade allocation, best execution, surveillance of communications, etc.)Update the Firm’s policies and procedures as a result of changes in business activities or operationsProvide training to all employees about the compliance culture and systems in placeMonitor changes to applicable laws, rules and/or Read more […]
Compliance Manager I Job
Compliance Manager I (Job Number: 1304800)DescriptionThe qualified candidate will assist in the development, implementation, and administration of Pershing’s Privacy and Data Protection Compliance Program (the “Program”). The Program covers all aspects of customer data protection and confidentiality. The candidate will provide leadership, training, and management over the Privacy Compliance Program. They will collaborate with professionals in the Legal Department, People Services Human Resources Department, Information Technology, Global Security Department, and other business units to verify Read more […]
Experienced Transaction Monitoring/OFAC Compliance Officer
Responsibilities: * Review reports/alerts generated by the SAMS (Suspicious Activity Monitoring System) Model * Review in-process transactions flagged by the OFAC filter for review * Assist in assuring compliance issues are monitored * Assist with preparing statistics for monthly AML group. * Assist in ensuring compliance with all FinCEN Regulations, specifically 314(a). * Prepare reports for OFAC reporting (ie Report of Rejected/Blocked Transactions) * Conduct OFAC and PEP checks for new account documentation (CIP) * Review customer files for KYC and Customer Due Diligence (CDD). * Review alerts Read more […]
Monitoring and Testing Compliance Associate
Within this role you will have the opportunity to work within their testing group and assist with the execution of the monitoring and testing activities of the bank, including but not limited to testing and monitoring reviews of specific lines of business and their compliance with the necessary rules, policies and regulations, as well as surveillance activities. You must possess: * Bachelor’s degree * Knowledge of SEC and FINRA regulations * 2-5 years prior compliance monitoring and testing experience or audit, securities sales and trading or back office experience. * Series 7 and 63 preferred Read more […]
VP Compliance Testing
Key Tasks and Responsibilities of the role include, but are not limited to: * Conducting a testing risk assessment covering BSA/AML, OFAC and Corporate Compliance. * Designing and executing a testing plan. * Serving as a back up to the training manager. * Ability to convert policy requirement into effective testing modules. * Supporting in the delivery of compelling audits that inspire confidence in the company’s ability to deliver its strategy by taking responsibility for areas of work on audit engagements as a member of the audit practice. *Design, delivery and facilitation of up skilling Read more […]
COMPLIANCE MANAGER / SENIOR MANAGER
Our client is a global investment management company with an unparalleled reputation across the Asia Pacific region. It provides companies, institutional investors and high-net-worth clients with asset management services worldwide. With the continued growth of the organization, the need has arisen to recruit a high caliber professional to join their Compliance team in Hong Kong.Provide compliance advisory to the business. Implement investment compliance procedures and policies in accordance with all regulatory requirements and internal guidelines. Assist in liaison with local and overseas regulatory Read more […]
RISK & COMPLIANCE CONSULTANT
Description:An exciting new opportunity has become available within a highly successful asset management firm to work within their Risk and Compliance function. Within this role you will be expected to carry out assurance work in all areas of the business. For this role you must be an experienced individual (with experience in assurance and regulatory compliance) to be able to hit the ground running.Core Responsibilities:To produce robust and challenging assurance reports for senior management and to discuss your findings and proposed actions at director and executive committee levelTo provide Read more […]