Operations Business Analyst, Market Operations Monitoring and Analysis
The Markets Group at the Federal Reserve Bank of NY manages the size and composition of the Federal Reserve System’s balance sheet consistent with the directives and the authorization of the Federal Open Market Committee (FOMC), supports debt issuance and debt management on behalf of the U.S. Treasury, provides foreign exchange services to the U.S. Treasury, and provides account services to foreign central banks, international agencies, and U.S. government agencies. The Market Operations Monitoring and Analysis (MOMA) function within the Markets Group is establishing a partial split operation at Read more […]
VP-Head of Core Compliance
Position Description Morgan Stanley is a global financial services leader with three core businesses – Institutional Securities, Asset Management, and Global Wealth Management. Global Wealth Management is offered by Morgan Stanley, which has one of the world’s largest network of Financial Advisors and current total assets of 1.7 trillion as of April 21, 2011. Morgan Stanley has expanded its suite of world-class banking and lending products for Morgan Stanley Financial Advisors and their clients. In addition to our comprehensive financial services, which include brokerage, investment advisor, financial Read more […]
Consulting Group Capital Markets Funds CCO
Position Description The Consulting Group Capital Markets (CGCM) Funds is a mutual fund complex with assets under management between $6 and $7 billion. The mutual fund complex has a portfolio of 11 funds with 23 sub-advisers. The CCO for the CGCM Funds is responsible for the following:• Oversight and maintenance of a full Investment Company Act of 1940 compliance program for the Funds;• Ongoing, extensive due diligence on all sub-advisers and major service providers, including the Funds’ custodian/administrator/accounting firm, transfer agent, pricing vendors, and proxy voting vendors;• Quarterly Read more […]
Revenue Assurance Operations Manager
Major work streams: Contract reviews: identification of revenue optimisation within existing contracts and processes; Usage calculation and reporting: process design or upgrade to optimise usage reporting; Internal consultancy: provide advice and support for cross-departmental internal customers as required, including standardisation and re-deployment of processes Role Overview This position is to lead the internal review aspect of the Revenue Assurance function. The remit is broad, and will require interaction across the business, including Sales, Legal, Finance and Product. The majority of Read more […]
Compliance Manager
You will be responsible for supporting the Head of Strategy Investment Banking Compliance in all day to day matters. Responsibilities Coordinate with Markets Compliance Strategy Execution team for matters impacting on all of Product Compliance. Support the Compliance projects change agenda, including the compliance enhancement program, as it impacts Private Side Research compliance. Devise strategy and provide single point of coordination for Private Side Research Compliance. Assist in establishing a global support model for Private Side Research Compliance and provide streamlined consolidation Read more […]
Conduct Risk Senior Manager
This senior role will looking to hire an experience compliance professional with leading conduct risk analysis experience developing medium term strategy under a Head of Conduct Risk. Accountable for maintaining the conduct risk framework working closely with the head of monitoring to perform assurance activities 6 months + Senior Compliance Professional with FSA or large Corporate Bank background preferred Big 4 Background also advantageousHays Specialist Recruitment Limited acts as an employment agency for permanent recruitment and employment business for the supply of temporary workers. By applying Read more […]
Head of Anti Money Laundering
The team has responsibility for defining, writing and maintaining the Groups AML Policy Standard, ensuring it’s maintained and developed to reflect prevailing and emerging regulation, legislation and risk appetite so we’re compliant in all AML related matters. The team provides SME advice to divisional AML teams and other Group functions on a day-to-day basis in response to varied AML policy queries. They liaise with government, regulators, trade bodies, legislators and where appropriate, lobbies on behalf on the RBS Group to ensure new laws / regulations affecting the AML environment remain practical Read more […]
Compliance Officer – Hedge Fund (part
This is a varied and challenging role with responsibilities including (but not limited to): Monitoring activities in the UK office for consistency with the firm’s global compliance program Managing all compliance activities in line with FCA regulatory requirements Outlining and monitoring the Firm’s AIFMD compliance strategy Managing regulatory relationships in the UK Overseeing and ensuring accurate and timely reporting to regulators in the UK and Europe. Assisting with the maintenance and implementation of a global risk-based monitoring and testing program Keep up to date with current and Read more […]
FMTS KYC Specialist- Pittsburgh Job
FMTS KYC Specialist- Pittsburgh (Job Number: 1312925)BNY Mellon is a global investments company dedicated to helping its clients manage and service their financial assets throughout the investment lifecycle. Whether providing financial services for institutions, corporations or individual investors, BNY Mellon delivers informed investment management and investment services in 36 countries and more than 100 markets. BNY Mellon can act as a single point of contact for clients looking to create, trade, hold, manage, service, distribute or restructure investments. Additional information is available Read more […]
Director of External Reporting
Primary Duties and Responsibilities: • Prepare all externally-used financial statements, financial disclosures and reports, including SEC filings (mainly Form 10-Q and Form 10-K) • Oversee the XBRL filing initiative • Assist in the research and application of technical accounting guidance and in the preparation of position papers to ensure compliance with GAAP and SEC rules and regulations • Assist in the creation of process and procedures to ensure timeliness of reporting • Prepare procedural, disclosure and general form checklists • Interact with external auditors for quarterly reviews Read more […]