Compliance Director, Enterprise Services Job recruitment
Compliance Director, Enterprise Services-712933 Description Director The Staff Compliance Team is recruiting for a Compliance associate to provide Compliance advisory support for Enterprise Services, which includes Digital, Brand, IT, and Payments. In addition, support for Global Finance and Corporate Areas, including HRCRE, CRG, and Risk Management is needed. The associate will be responsible for identifying, assessing, and documenting compliance risks and associated controls within new areas/initiatives such as mobile and existing processes touching E-Commerce/digital and payments processing. Read more […]
Investment Advisor Compliance Officer recruitment
Major Duties and Responsibilities• Involved in all aspects of the investment advisory business from a compliance stand point• Design and implement robust enterprise-wide compliance program to identify, monitor, review, and test areas of regulatory compliance risk• Manage the Code of Ethics program• Interface with senior business and investment leaders on a daily basis to provide regulatory guidance on investment transactions and respond to regulatory inquiries regarding firm activities• Participate in audits and assist in the management of regulatory examinations• Perform employee Read more […]
Junior Compliance Associate recruitment
A boutique broker-dealer is seeking a junior compliance associate to join their Legal Compliance department. This person will have direct contact with both the Chief Compliance Officer and General Counsel. Responsibilities will include: – Assisting in trade reporting and employee trading activities – Prepare for branch audits – Assist senior executives in preparation for regulatory exams – Provide administrative support to the General Counsel Requirements: – Familiarity with OATS – Experience with TRACE reporting – Series 7 a plusPlease send your resume/CV to Larry Florio at Larry.Florio@roberthalf.com Read more […]
Compliance Analyst – Alternative Investments recruitment
Outstanding opportunity to join the team of a leading alternative investment firm! Hatteras Funds, based in Raleigh, North Carolina, is seeking a talented professional with the necessary experience and skills to successfully assist with management of compliance programs and initiatives for our firm. We are expanding our compliance team and this new position will be based in our Raleigh office. Our Mission:Hatteras Funds’ mission is to provide unique alternative investment solutions for financial advisors and their clients. We believe that all investors should have access to the same sophisticated Read more […]
Senior Regulatory Counsel recruitment
As a senior regulatory consultant you must be authoritative and confident in your identification of potential outstanding and forseeable issues. You must be able to advise the General Counsel and Senior Management on the priority order and develop a work flow in accomplishing the completion of this project. Legal or compliance project management experience does help.Specific tasks may include assessing the internal legal and compliance needs, blue-printing new policies and procedures, re-drafting of the policies and procedures , revising and correcting ADV forms 2a/2b, as well as providing assistance Read more […]
Controller recruitment
REPORTS TO: General Manager FUNCTION: Financial executive for the division EXEMPT POSITION PRIMARY RESPONSIBILITIES: Provide timely and accurate financial information Closing records—month, quarter, annualOutlook (forecast) revenue and income semi-monthlyAnnual plan (budget) and 5-yr planDepartment budget analysesFinancial reports and trends for day-to-day business managementManage all financial, accounting, and IT operations including accounts receivable and payable, inventory, billing, collections, payroll, and auditing. Train and supervise two-person accounting Read more […]
Managing Director, Global Chief Compliance Officer recruitment
Background to Role CME Group is committed to ensuring the consistent implementation and/or operation of global compliance programs consistent with pertinent laws, rules, regulations, and governing regulatory bodies for CME Group and its subsidiaries. In order to achieve this, the CME Group is looking to hire a Global Chief Compliance Officer who can own and lead this development. This role will help design, build and drive the implementation of global ethics and compliance programs for CME Group. This role will also focus on the refinement of existing ethics and compliance programs and development Read more […]
Municipal Securities Compliance Officer recruitment
The Municipal Securities Compliance Officer will be expected to advise on MSRB, FINRA, and SEC rules, regulations and interpretive guidance, as well as applicable internal policies and procedures. Candidates must demonstrate ability to effectively review and analyze complex situations and apply judgment to resolve issues in a timely manner with minimal supervision. Candidates should be proficient in time management and able to initiate and manage projects.Job Responsibilities * Provide Compliance support for municipal sales and trading desk and Public Finance, as well as related support functions * Read more […]
Banking Compliance recruitment
It is vital that the candidate have a strong understanding of Federal Reserve rules and regulations. The business lines this position cover revolve around lending and credit products. The compliance officer also will be responsible for training, policies and procedures etc. If you feel that you possess the requisite background, please feel free to apply to this add. I will be sure to get back to you in a prompt manner. Matt
Top Tier US Based Consultancy seeks SVP Compliance Officer – AML/CTF Specialist recruitment
The role sits within the central compliance function of the firm and reports directly to the CCO on all major issues. With the regular senior management facing it gives an incredible opportunity for career progression, with the role being made available due to the current holder of the role being promoted to director. The role…. • Regular meetings with the CCO and CRO briefing them on the firms compliance function performance • Training and management of multiple junior compliance officers • Ensuring the continued development and management of the compliance framework • Monitoring Read more […]