AML Team Leader recruitment
Main Function:The job holder will be responsible for ensuring:Compliance with policies, procedures and US regulations for the Correspondent Banking and Corporate Banking line of business in relation to AML surveillanceThe bank meet its statutory obligations for reporting suspicious activityThis will involve investigation of suspicious activity from alerts generated by surveillance systems with SAR reporting as appropriateMain Responsibilities:Process Activity – 90%Act as team lead for analysts who conduct AML investigations from alerts generated from Mantas using internal/external research toolsConduct Read more […]
Sr. Financial Analyst recruitment
The Senior Financial Analyst will be a critical member of complex projects and must have analytical, financial modeling and project management skills. Because a large portion of Treliant’s clients are financial institutions, the successful candidate must have experience analyzing financial institutions, preferably at the Financial Institutions Group of a major bank. The Senior Financial Analyst will coordinate the work of project teams, analyze and model financial institutions and portfolios, and create understandable reports/summaries from data and other sources of information which can be Read more […]
US Compliance Manager recruitment
Reporting into the General Counsel Partner you will be responsible for ensuring the firm operates in compliance with SEC regulations, work with senior stakeholders/regulators to identify compliance deficiencies and liaise with the trading, technology and operations departments to assist with the implementation of compliance programs. This high profile position requires an excellent understanding of the securities industry. You must have the credibility gravitas to face-off with senior stakeholders and be confident in an environment that covers high frequency trading. Due to the specific nature Read more […]
Inquiries Group Assistant Manager recruitment
Position Category: Legal/CompliancePosition Title: Inquiries Group Assistant ManagerJob Level: Vice PresidentLocation: USA – NY – New YorkEducation Required: Bachelors DegreePosition Description:Act as the Assistant Manager for the group that researches, analyzes and responds to regulatory inquiries from the SEC, CFTC and SROs relating to possible federal laws and SRO/Exchange rule violations; handle inquiries that involve the analysis of complex trading data to distill the information into responses regarding trade executions and order handling; interact with business unit personnel, traders, Read more […]
Senior Compliance Associate – Control Room recruitment
Responsibilities include:* Managing daily monitoring of employee trades, including pre post trade clearance, exceptions, appeals, and resolution tracking; * Applying the organizations policies and procedures to assess employee securities transactions and holdings for potential conflicts;* Managing and maintaining restricted lists; research securities, such as global equities, bonds, and mutual funds, for assignment to restricted lists;* Provide support of employee securities trading classifications, restricted lists and exempted securities;* Research and review of equity positions and other Read more […]
Senior Compliance and Risk Officer recruitment
– Management of the compliance and risk team. – Well versed in state rules and regs as they apply to banking practices. – Oversee the operational risk practices for the firm. – Have a strong background with banking Compliance – 10 years experience in banking, 7 years experience within compliance and risk management. – CRCM is preferred. – BA is a must. Higher education is a plus.
Head of Trading Compliance recruitment
The RoleThis is a broad based role where you will need to exercise your natural leadership capabilities and have the ability to balance the strategic and transactional. Key responsibilities will include but not be limited to:• Provide proactive advice to the Equity Sales and Trading business in addition to addressing day to day questions and provide regulatory guidance on new product and service development.• Investigate escalated trade surveillance alerts• Lead, guide and develop a team of initially 4 Compliance professionals and be responsive for driving and reviewing their performance• Respond Read more […]
Sr. Compliance Manager recruitment
Reporting to the Chief Compliance Officer (CCO), the role of the Senior Compliance Manager is to support the CCO with oversight and management of a compliance team and compliance program for several trading businesses including options market making, proprietary, and client trading. Responsibilities will include, but are not limited to, developing, documenting, maintaining, implementing and overseeing the necessary and diverse compliance policies and procedures and supervisory structure for a diverse organization. The ideal candidate for this position must be experienced with SEC and broker-dealer Read more […]
VP Negotiator recruitment
JOB SUMMARY: To serve as counsel in a group of lawyers and associated professionals who support the Firm’s derivatives businesses. The role involves structuring, drafting and negotiating legal documentation and advising on legal, regulatory and reputational issues arising from initiation to termination of derivatives counterparty relationships. The role also involves (a) working with GC colleagues in other units in connection with transactions involving derivatives, (b) coordinating and overseeing outside counsel (where involved) and (c) coordinating with credit, compliance and other control Read more […]
Governance Specialist recruitment
NPA Specific Tasks:Review new NPAs for Reg W impact and regional policy compliance;Perform detailed analysis of monthly NPA MIS reports (aging, signoff reports, post-implementation reviews, etc.) for identification of control issues and for reporting to the NPAOC;Develop tracking tool/database to document reviews completed and results, including reporting of breaches to Group process and Risk ExCo;Develop and maintain mechanism to demonstrate resolution of NPAOC points and follow-up of conditions surrounding approvals given;Develop an excellent knowledge of the New Product Approval Database (NPAdb) Read more […]