Chief Compliance Officer – Foreign Bank recruitment
The RoleYou will oversee a team of 6 compliance professionals. This Foreign Bank has been under a Cease and Desist order however, has made great steps forward and has been commended in recent months by the Federal Reserve for the steps forward it has made. However, naturally the business is looking for an individual with exceptional experience in managing the relationship with the Fed and who can continue the efforts and further develop the Compliance function in to a world class program.You must have strong experience liaising with the Federal Reserve and ideally had a demonstrated track record Read more […]
Chief Compliance Officer – Real Estate recruitment
• Responsible for overall compliance policies and issues relating to certain Asset Management Group real estate businesses (i.e., Global Real Estate and Affordable Housing Group) (“GRE”) globally. • Conduct periodic reviews of GRE businesses and existing compliance policies and procedures to determine if such policies and procedures address GRE’s business operations. Collaborate with the AMG CCOs, AIG Internal Audit team and GRE General Counsel to develop additional GRE policies and procedures to add and/or supplement such existing compliance policies and procedures. • Application Read more […]
Chief Compliance Officer – Broker Dealer recruitment
Chief Compliance Officer – Broker DealerDescription:• Implement a supervisory system, including the updating and drafting of written supervisory procedures, anti-money laundering procedures and a business continuity plan• Review and process registration requests and updates, including filing of Form U-4 and Form U-5• Review email communications• Update and implement process for annual review required under Rule 3012. Report results of review to the firm’s President and Board of Directors• Review and approve correspondence and marketing materials distributed by registered representatives Read more […]
Chief Compliance Officer – Broker Dealer recruitment
The Chief Compliance Officer (CCO) will be responsible for the following:* Develop and maintain supervisory procedures. * Monitor new regulatory mandates, rules, and requirements * Main point of contact with regulators, and auditors.* Act as point of contact for the Investment Advisory business.* Serve as the Anti-Money Laundering (AML) Officer. * Develop procedures to ensure compliance with all continuing education requirements for firm and individuals.* Draft a compliance plan and perform an annual compliance risk assessment.* Review employees brokerage statements, e-mail, and IM Messages. The Read more […]