Head of Advisory & Client Services recruitment
ISS Corporate Services (ICS) understands corporate governance. Since 1997, corporate issuers have leveraged our expertise in executive compensation, governance ratings, capital structure, voting trends and corporate governance research to build shareholder value through strong governance programs.ICS’ global client base extends to more than 1,400 companies each year located in the U.S., Canada, U.K., Europe and Japan, as well as other established and emerging markets worldwide. These industry leaders leverage ISS Corporate Services’ resources, tools and advisory services to help them design, Read more […]
Control Room – VP recruitment
Main FunctionAssist the US Control Room with the following daily responsibilities listed below. Main DutiesMain Responsibilities • The establishment and maintenance of Chinese Walls throughout organisation• Advise public and private side management with respect to Chinese Wall crossing requests• Performing core Control Room functions relating to investment banking and research related matters including transaction updates and materiality analysis• Review and approve equity and debt research reports against the Watch Read more […]
Bank Regulatory Compliance Officer – Foreign Bank recruitment
The roleIn addition you will establish and maintain the regulatory compliance and training program for Branch officers and employees. The role reports directly to and works very closely with the CCO of the New York Branch. Other key tasks may include but not be limited to:Monitor compliance with applicable Federal and New York State laws and regulations;Conduct regular compliance reviews of those areas affected by regulations;Keep abreast of changes in the law and new regulations through seminars, conferences, compliance committees, external training and publications;Coordinate and develop plans Read more […]
Regulatory Coordinator – Member Regulation – Dallas, TX recruitment
Essential Job Functions:• Review and analyze financial reports and other relevant data to ensure compliance with FINRA and SEC rules and regulations.• Identify member firms’ potential financial or operational difficulties as well as monitor and evaluate mergers, acquisitions, conversions and significant expansions of business.• Review and analyze complaints, trends, registration data and other relevant data.• Provide FINRA management with current firm information and assist FINRA management in resolving problem situations.• Act Read more […]
Government and Political Activities Compliance Officer recruitment
Position Category: Legal/CompliancePosition Title: Government and Political Activities Compliance OfficerJob Level: Vice PresidentLocation: USA – NY – New YorkEducation Required: Refer to Position DescriptionPosition Description: This individual will provide advisory coverage within the Global Government and Political Activities Compliance group for activities relating to interactions with U.S. government officials and entities. This position will involve advice concerning relevant U.S. federal, state and local rules and implementing compliance systems to comply with those rules. Candidate will Read more […]
Principal Counsel – Membership Application Program recruitment
Job Summary: Supervise the day-to-day activities of FINRA Regulatory Specialists and Program Analysts, and review, analyze and coordinate the distribution and processing of FINRA and Regulatory Service Agreement (“RSA”) clients’ new and continuing membership applications. Review business and financing transactions for compliance with relevant FINRA, SEC and Self-Regulatory Organization (“SRO”) rules and State law. Essential Job Functions:Perform technical review of member organizations’ capital contributions and various financing and corporate documents used by member firms in obtaining regulatory Read more […]
MSSB AML Suspicious Activity Monitoring and Investigations Analyst recruitment
Position Category: Legal/CompliancePosition Title: MSSB AML Suspicious Activity Monitoring and Investigations AnalystJob Level: DirectorLocation: USA – NY – New York (485 Lex Ave)Education Required: Bachelors DegreePosition Description:– Assists with compliance with USA PATRIOT Act and Office of Foreign Assets Control sanctions requirements relating to MSSB.– Resolve surveillance items flagged as potentially suspicious transactions or exceptions.– Investigates potentially suspicious activity arising from account surveillance, branch escalations and Grand Jury Subpoenas. Drafts and assists with Read more […]
Banking and Cash Management Attorney recruitment
Position Category: Legal/CompliancePosition Title: Banking and Cash Management AttorneyJob Level: Vice PresidentLocation: USA – NY – PurchaseEducation Required: Refer to Position DescriptionPosition Description:We are looking for an attorney with 5-8 years of banking and cash management experience for our Westchester office. Responsibilities will include:-Negotiating service contracts-Drafting client disclosures-Reviewing marketing materials-Opining on strategic initiatives-Providing day-to-day support for deposit products, including cash sweep investments, and cash management products, including Read more […]
Compliance Manager, FID Compliance Group recruitment
Position Category: Legal/CompliancePosition Title: Compliance Manager, FID Compliance GroupJob Level: ManagerLocation: USA – NY – New YorkEducation Required: Refer to Position DescriptionPosition Description:Compliance Manager, FID Compliance GroupDUTIESMorgan Stanley Co. LLC seeks Compliance Manager, FID Compliance Group in New York, NY to review NSARs and provide comments to the MSIM Legal department on any change in fund strategies. Prepare responses for monthly and quarterly client certifications that are sent out to MSIM clients. Conduct daily surveillance of over 81 fixed income separately Read more […]
Consumer Compliance Officer recruitment
Responsibilities: Inform management and support teams of all key developments related to regulatory consumer compliance and determine the impact of those developments to the Bank. Ensure existing and proposed Bank business practices, policies, procedures, loans, deposits, software systems, documents and disclosures comply with federal and state regulations. Stay abreast of all federal and state regulatory changes related to deposit lending, and privacy. Ensure changes are communicated to and addressed by the Bank’s senior management. Manage the Bank’s consumer compliance Read more […]