Chief Compliance Officer recruitment
Responsibilities:Provide leadership, strategic direction and administration over all aspects of the Compliance departmentPrepare, communicate and document all Compliance policies and proceduresFormulate and communicate department strategies and objectivesPerform departmental management duties including selection, performance management and employee developmentDevelop and communicate strategic vision that effectively manages and minimizes risk, establishes proper controls and supports business initiatives and protects the firm from legal and regulatory riskSupervise the headquarters Compliance department Read more […]
Chief Compliance Officer recruitment
This is a new role reporting to the CRO. The role will involve full responsibility for implementing the Bank’s Regulatory Compliance program for all European operations including overseeing regulatory reporting, dealing with the Central Bank and assisting the CRO in advising the business units on new regulations and compliance requirements. Candidates should be degree qualified with a minimum of 8 years’ experience within a compliance/risk/internal control department of an EU financial services firm. A strong working knowledge of the main compliance and regulatory requirements for a European Read more […]
Chief Compliance Officer recruitment
The chief compliance officer is expected to assume increasing levels of responsibility over time. The position will allow for significant growth opportunities in a collaborative environment. The chief compliance officer may also assume the position of chief legal officer depending on candidate qualifications.Immediate responsibilities will include:ongoing development and implementation of firm’s policies and procedurescompliance risk assessment and monitoringmonitoring and management of all changes in regulatory environmentpreparation of all regulatory filingslegal document work with external Read more […]
Chief Compliance Officer recruitment
Small Foreign Bank Branch seeks Chief Compliance Officer, CCO.Responsibilities:The primary responsibilities of the Senior Vice President and Head of Compliance Division are:Review and update, on an ongoing basis, all Compliance policies and procedures for the New York Branch.Coordinate with the Head Office to ensure that New York Branch policies and procedures are compliant with the Banks regulations and requirements.Make certain that the New York Branch complies with applicable Federal Reserve and New York State banking regulations and manage day-to-day activities of the Compliance function.Assume Read more […]
Chief Compliance Officer recruitment
JOB DUTIES/RESPONSIBILITIES:• Maintain and update the Written Supervisory Procedures.• Review/monitor internal processes for compliance with company’s policies and procedures.• Oversee compliance of retail brokerage and investment banking business.• Oversight of written and electronic correspondence.• Oversee brokers under heightened supervision.• Research possible compliance violations and recommend corrective action.• Provide training to employees on regulatory and compliance issues.• Review advertising and sales literature to ensure compliance with FINRA and SEC.• Oversee Read more […]
Chief Compliance Officer recruitment
Sucessful and fast growing Retail Broker Dealer/Investment Adviser is seeking experienced Chief Compliance Officer (CCO). The candidate should have at least 5 years of investment banking regulatory D experience as well as Series 79 or willing to pass the test within 30 days. Additionally, Investment Adviser experience is preferable. The Chief Compliance Officer will be responsible for the development, operation, review and enhancement of the Retail Broker Dealer compliance systems, policies, and procedures. The candidate should be diplomatic, self-starter, hands-on and ability to accomplish Read more […]
Chief Compliance Officer recruitment
As CCO, your role will include the following (note circa 80% will be CCO and 20% GC):*Oversee and monitor the implementation of the compliance program*Manage investor compliance advisors*Responsible for annual compliance review*Negotiate counterparty agreements*Manage external legal counsel*Negotiate and review commercial contractsPreferred candidate will have the following:*J.D*Minimum of 3 years experience as a CCO in a hedge fund environment*Experience in the compliance of an Investment Advisor and Broker Dealer (FINRA)*Experience at an SEC-registered firm; successful SEC audit experience Read more […]