Compliance and Administrative Branch Manager – High-Net-Worth Compliance recruitment
The Role of the Compliance and Administrative Manager is to implement and ensure that internal and external policies and procedures are followed at the branch level. Additionally, other Branch administrative functions may be assigned to the Admin Manager. He/she will be responsible for the branch’s overall Sales Practice effort, including but not limited to:• Ensuring adherence to internal policies and regulatory requirements• Accountable to understand and fulfill all responsibilities but not limited to responsibilities identified on Administrative matrix• Develop, implement and modify Read more […]
IB Tech – Compliance & Regulatory Reporting Test Lead – Vice President – New Jersey recruitment
J.P. Morgan is a leader in financial services, offering innovative and intelligent solutions to clients in more than 100 countries with one of the most comprehensive global product platforms available. We have been helping our clients to do business and manage their wealth for more than 200 years and we keep their interests foremost in our minds at all times. This combination of product strength, intellectual capital and character sets us apart as an industry leader. J.P. Morgan is part of J.P. Morgan Chase Co. (NYSE: JPM), a global financial services firm with assets of $2.0 trillion.Compliance Read more […]
Senior Compliance Manager recruitment
The Senior Compliance Officer will be responsible for the following:* Support the Chief Compliance Officer * Advise all business lines as to compliance with applicable laws and regulations* Monitor business activity and employee conduct* Control Room compliance* Electronic Communication Review* Gifts and Entertainment policy* Conflicts of Interest* Project Management The successful candidate will meet the following qualifications:* Advanced Degree (MBA, JD)* 10+ years compliance experience* Experience with project management and software tools* Strong negotiation skills* Series 7 required and Read more […]
Compliance Associate recruitment
Position Responsibilities • Assist in the maintenance of restricted and watch lists;• Assist in tracking/documenting compliance projects, compliance affirmations, reviews, and deadlines;• Assist in the review and production of compliance policies and procedures ensuring that regulatory policies are kept up to date;• Work closely with various teams within the firm to provide analysis and resolution on compliance related matters;• Assist in reviewing personal trading of employees and related accounts – pre-clearance, evaluate trade blotter versus personal trades, and keep files of Read more […]
Compliance Specialist recruitment
Niemann Capital Management, Inc. is a rapidly growing, dynamic RIA firm where every individual makes a valuable contribution to the Company’s success. We pride ourselves on delivering the highest level of service in the Financial Services industry.We offer competitive salaries, employer-sponsored benefits for employees and dependents, 401(k), tuition reimbursement, casual dress and bonus/incentive programs.About the OpportunityWe’re looking for individuals who are interested in long-range career growth and have the strategic ability to plan for their professional futures. We offer a unique culture Read more […]
Senior AML Officer recruitment
The RoleThis is an exciting opportunity to join a business as it experiences growth and where you will have the chance to truly partner with the business. Key tasks will include but not be limited to:Building and maintaining excellent relationships with the business and key stakeholders in order to influence and foster a culture of AML risk mitigationDrive the implementation of AML policies and proceduresProvide specialist AML advice and guidance, mitigating risk and ensuring best practice is followedAnalyze emerging risks in relation to client composition, markets and geographies, products, service Read more […]
Compliance Officer recruitment
Job Description A large foreign bank is seeking a Compliance Officer that will be responsible for transaction monitoring and surveillance at the Bank and Broker/Dealer. They will research alerts and conduct thorough investigations and document results. The person will conduct regular surveillance activity as defined by Bank and Broker/Dealer policy and procedures. They will work with internal systems to complete regulatory reporting (SARs) to FinCEN. Key Responsibilities • Analyze transactions and transaction patterns related to Private Bank client activity to identify specific Read more […]
Compliance Manager recruitment
Founded in 1993, Highland Capital Management, L.P. (“Highland”) headquartered in Dallas, Texas with additional offices in New York and London, is an institutional asset manager specializing in alternative investment strategies. Highland has diversified beyond its historical focus in senior secured bank loans to other core areas including Hedge Funds, 40 Act Funds, Real Estate and Private Equity. Today, Highland manages approximately $23 billion in capital in senior secured loans, high yield bonds, structured products, mezzanine debt and equities. Highland’s global institutional investor Read more […]
Compliance Examiner – Membership Application Program recruitment
We Work to Protect Investors. Join our Team.MAP Examiners review or investigate, in the context of new and continuing membership applications, risk areas of broker-dealers and allegations of wrong-doing or other non-compliant conduct to protect investors and ensure the integrity of the U.S. financial markets. This position requires excellent analytical and communication skills, consistently high productivity levels and work quality (frequently under tight deadlines), excellent collaboration skills, and a strong commitment to ensuring that the securities industry operates fairly and honestly. Essential Read more […]
Head of Litigation based in Luxembourg recruitment
Profile: My client is looking for a head of Litigation to join its team.Requirements: The successful candidate must: Have at least 7 years experience working as a litigation lawyer in law firms or banks based in Luxembourg or France. At least 4 years experience in Luxembourg is essential.Be determined, motivated and able to become the head of the Litigation DepartmentBe Fluent in English and French. Fluency in German would be a major advantagehave obtained the Luxembourg Bar. Any other European Bar would be considered as a significant advantage.To apply, please your CV in Word version to: Compliance@carltonseniorappointments.comKeywords: Litigation, Read more […]