Regulatory Affairs Officer recruitment
A large European Bank seeks a highly talented individual that can grow into a high-level Regulatory Affairs Officer. The ideal candidate will act as subject matter expert regarding regulatory banking laws, maintain communications with various regulators and manage the banks examination process by ensuring that business units are prepared to receive successful examinations. Duties: • Develop into a subject matter expert regarding regulatory banking laws, the current regulatory environment and changes that may have an impact on the bank. • Field and respond to regulatory inquiries and Read more […]
Head of Financial Intelligence Unit recruitment
Main Responsibilities:The candidate will be responsible for day-to-day management of the FIU. This includes the following duties:• Manage execution of financial crimes surveillance and investigations• Manage, train and supervise teams of surveillance analysts who are responsible to investigate AML surveillance alerts as they relate to the Bank’s correspondent banking business• Liase with compliance personnel cross product lines to ensure unusual and suspicious activity is properly investigated and escalated to Financial Crime Compliance• Ensure that Suspicious Activity Reports are Read more […]
Director, Compliance (USA) Job recruitment
Director, Compliance (USA)-709046 Description Summary: Leader in risk management interacting with risk stakeholders and all levels of the organization and Senior Management. Responsible for setting the strategic direction for a team of risk, process and project professionals; developing and managing the risk framework and governance across the Global Finance organization; partnering with key business and functional areas; and, executing on critical risk management projects and compliance activities, usually on tight deadlines. Responsibilities: – Provide risk management consultation and partnership Read more […]
Corporate Counsel recruitment
DepartmentMoody’s Analytics seeks a highly qualified Corporate Counsel to provide support to the U.S. legal function. This position will be based in the New York offices of Moody’s Analytics. The Corporate Counsel US will provide legal support for the company’s sales organization, focusing primarily on commercial transactions, and will also assist with compliance and general corporate matters. Moody’s Analytics, a division of Moody’s Corporation (NYSE: MCO), is the world’s leading provider of credit analysis and related tools, including quantitative credit risk models, credit analysis software, Read more […]
Senior Compliance Officer recruitment
Our client, a global asset management firm is seeking a Senior Compliance officer to join its Manhattan Office. The successful applicant will have extensive knowledge of US Securities regulation and experience in providing direct regulatory advice to Investment Advisors, Broker Dealers and Traders. The client is also interested in applicants with working knowledge of Commodities and Mutual fund regulation as well as SEC examinations and ERISA Law.Responsibilities of the role will include but are not limited to:Providing advice by phone and e-mail to business and compliance colleagues in a large Read more […]
Trust Banking Compliance Director recruitment
RoleThe Compliance Director will be reporting to the General Counsel to ensure the firm’s activities are in compliance with regulatory requirements, the responsibilities will include but not limited to:- Develop, execute and manage legal risk assessments for the trust business- Retain and Manage outside counsel relationships- Coordinate drafting of legal documents, contracts and client agreements with current laws, rules and regulations- Advise on matters regarding new products- Create and assist in the execution of internal compliance function testing and remediation- Compliance coverage to all Read more […]
Commodities Compliance Officer recruitment
Major Responsibilities• Design, enhance and implement effective compliance policies/procedures and monitoring controls in support of expanding trading activities• Develop, build, and manage the compliance program to ensure the firm complies with applicable regulations, including Commodity Exchange Act, Dodd-Frank Act and CFTC regulations• Monitor and report on proposed, current and amended regulatory developments in the United States, Europe and Asia• Liaises with partners in New York and London to assess the business and compliance impact of regulatory changes• Review and monitor Read more […]
Compliance Officer – Transaction Monitoring AND KYC recruitment
Major Responsibilities:Transaction MonitoringAnalyze various transactions using a monitoring system (Norkom) for suspicious/unusual patterns of activityInvestigate these potential high risk activities by researching and liaising with the appropriate internal parties for explanations and discussions on appropriate action Research and resolve items of concern identified through standard activity Monitor and conduct targeted reviews of specific areas of high risk or complexityWhen appropriate, escalate as a SAR recommendationEnsure that all activities are in accordance with internal policies and Read more […]
Compliance Vice President recruitment
CRT Capital Group (CRT) is a Stamford, CT-based broker-dealer that provides security brokerage and research services to over 900 institutional accounts with established counterparty relationships around the world. The Firm caters to asset managers, insurance companies, pension funds, hedge funds and investment firms with a focus on fixed income and equity securities. CRT, formerly known as Credit Research and Trading LLC, was founded in 1989 and employs approximately 150 individuals with a wide breadth and depth of industry knowledge.As part of our ongoing efforts to build a scalable and “best Read more […]
Compliance Attorney recruitment
A Multi-strategy Hedge Fund is seeking a Compliance Attorney that will provide trading counsel to the investment staff. A primary role of this employee will be to vet the information that is received by the analyst team, enforce trading restrictions and escalate matters to the CCO and/or GC as necessary. Duties:• Conduct compliance training and monitor regulatory developments affecting the firm’s trading operation. • Assist with enforcing compliance policies.• Assist with monitoring regulatory developments and updating compliance policies/procedures as required.• Assist with Read more […]