AML Associate recruitment
Responsibilities include: – Create monthly/weekly metrics and ad hoc reports- Create productivity reports- Answer field inquiry related questions about AML transaction monitoring- Conduct QA on weekly inquiries being sent to Client Service Officers- Conduct QA on transaction monitoring alerts- Maintain and update procedures accordinglyRequirements- Bachelor Degree in a relevant discipline e.g. Economics, Finance, Business and/or Law- Minimum of 3 years experience in finance, banking or legal.- Excellent written and verbal communication skills- Knowledge of Anti Money Laundering systems preferred- Read more […]
Senior Control Room Compliance Officer sought by leading Investment Bank – New York recruitment
The role offers strong compliance candidates a great opportunity to work with one of the US’s fastest growing groups within investment banking. The growth of the firm and their rapid expansion is highlighted by the fact that the compliance group has doubled in size over the last 18 months. This aggressive recruitment will continue throughout 2012 with this role being turned into a management position with headcount to hire later this year. The position offers not only great career progression but also a huge amount of exposure to multiple areas of the business, with regular facing with front Read more […]
AML Anti-Fraud Specialist recruitment
Instead of applying to this ad directly, please email me if you qualify: ben.gordon@roberthalffsg.com My client, a large international bank is seeking experienced in preventing fraud incidences and detecting and mitigating incidences when they do occur. The right person has experience working with OFAC and Sanctions regulations with a focus on fraud related matters. Duties: • Lead the effort to prevent, detect, and mitigate fraud incidences and maintain a log of Fraud escalations and dispositions when they do occur. • Investigate fraud related issues and liaise with appropriate departments Read more […]
Associate Compliance Administrator (1928) recruitment
The Associate Compliance Administrator position requires continual attention to detail (including in reviewing documents, inputting and proofing); excellent “people” skills with personnel throughout the entire organization; the ability to handle multiple tasks from different persons at one time; the ability to prioritize; excellent communication skills; and solid computer skills including complete knowledge of Microsoft applications. Position must be able to work autonomously with general supervision and within a team on special nonrecurring and ongoing projects. Independent judgment is Read more […]
Subsidiary Governance Paralegal/Corporate Secretary recruitment
Key duties are as follows: Supporting corporate governance framework for US subsidiariesActing as Corporate Secretary or Assistant Corporate Secretary, and assisting in coordinating corporate secretarial activities, for regulated and unregulated US subsidiariesPlanning and preparation of materials for Board and Committee meetings, preparation and drafting of resolutions and minutes, and maintenance of corporate minute booksAssisting with preparation of corporate and other regulatory filingsPreparing documentation for indemnity for directors and officersProviding assistance and guidance, responding Read more […]
AML/KYC Officer recruitment
International bank is seeking a KYC Specialist to join its New York team. The ideal candidate with have at least 5 years of AML/KYC experience, ideally at a small or mid-sized financial institution. Responsibilities include: – Monitoring transactions for potential money laundering or other suspicious activities and escalate as necessary – Develop and improve upon existing IT reporting systems for use during surveillance and account opening – Review and revise AML/KYC policies procedures to reflect best practices and changing regulations Requirements: – At least 5 years of AML/KYC experience, Read more […]
Subsidiary Governance Paralegal recruitment
Duties include the following: * assisting with planning and preparation of Board and Committee meetings, preparation of resolutions and minutes and maintenance of corporate minute books. * assist in providing guidance to directors of US subsidiaries in managing the governance responsibilities of the US subsidiary Boards. * prepare and file state annual and other corporate filings, including interface with functional partners as necessary. * support the corporate secretarial function for US subsidiaries. * assist in implementing structural changes and initiatives affecting Read more […]
Compliance Associate (Principal) recruitment
We are actively seeking a Compliance Associate to monitor all business activity and ensure the firm remains in compliance with its policies, procedures and industry regulations.Key responsibilities of the position include:Review proprietary and personal trading.Review transaction reporting and client account files.Provide guidance and education to firm employees on industry regulations and best practices.Review internal and external communications including sales and marketing literature, advertisements and educational materials.Research securities industry rules and regulations.Attend local industry Read more […]
KYC Analytst recruitment
A large international bank is seeking a KYC Analyst to support KYC requirements for Global Banking Markets and Commercial Banking for new and existing customers, across multiple business lines, ensuring AML Regulations and policies and procedures are maintained and adhered. • Prepare KYC profiles in accordance for sign off in accordance with the Group Policy, KYC ID Matrix, local regulatory requirements and Sign Off Authority. • Analyze the risk associated with the client and provide approval from a technical perspective prior to seeking Relationship Management approval. • Read more […]
AVP/VP – Control Room Surveillance recruitment
The primary function is to conduct surveillance against Employee, Customer and Proprietary Accounts to detect potential insider trading, market abuse, and/or violations of the Firm’s Trading Policies, as well as project-based work. • Conduct daily surveillance of Proprietary, Customer and Employee’s trading activities to ensure compliance with the Firm’s Watch Restricted Lists, Front-running and Insider Trading policies. • Perform research and investigations to identify the reason for potential violations. • Document research results and escalate violations and/or suspicious Read more […]