Director of AML Compliance recruitment
Responsibilities: Head-up teams investigating potential fraud and money laundering activities Act as SME for compliance and AML initiatives and investigations.Identify gaps in current AML processes; then design and implement process improvementsEdit and author the group’s policies and proceduresInitiate and lead investigations, documentation and QC of various activitiesLead initiatives for continuous training and development of the AML team and related line of business employeesConduct risk assessments for both clients and internal processes and controlsEvaluate and analyze statistical dataRemain Read more […]
Senior Auditor, Sr. Director recruitment
Position Title: Senior Auditor, Sr. DirectorWorking Location: US – New York, NYEmployment Status: Full-Time RegularRequired Experience: 7 yearsRequired Education: Bachelors DegreeTravel Required: 0 Job ID: 1728Position Description: Fitch Ratings is a global rating agency committed to providing value beyond the rating through independent and prospective credit opinions, research and data. Offering a world of knowledge and experience behind every opinion, we transform information to deliver meaning and utility to investors, issuers and other market participants. Fitch Ratings’ global expertise draws Read more […]
VP KYC Policy recruitment
In this role you will be tasked with interpreting KYC and AML policy and regulation, ensuring that business policies and standards are updated appropriately. You will act as an advisor to the business and the KYC onboarding teams in relation to interpreting guidelines and developing policy.Key to your success will be your ability to foster and develop relationships with the KYC compliance teams and deliver bespoke training.This role will have a direct impact on business processes so is seen as a critical role within the business.The successful candidate will have a minimum of:Degree educated. Advanced Read more […]
KYC / Client On-Boarding – AML Compliance Team recruitment
This is a Customer Due Diligence function and we need a candidate with 3 – 5 years of experience with KYC / On Boarding. Strong Knowledge of: – KYC – AML – Client On-Boarding – Customer Due Diligence At least 3-5 years of experience in the above functions
Municipal Securities Compliance recruitment
Position Category: Legal/CompliancePosition Title: Municipal Securities ComplianceJob Level: Vice PresidentLocation: USA – NY – New YorkEducation Required: Bachelors DegreePosition Description:Position DescriptionThis individual will provide advisory compliance support for the Municipal Securities Division. Candidate will be expected to advise on MSRB, FINRA, and SEC rules, regulations and interpretive guidance, as well as applicable internal policies and procedures. Candidate must demonstrate ability to effectively review and analyze complex situations and apply judgment to resolve issues in Read more […]
Chief Compliance Officer recruitment
JOB DUTIES/RESPONSIBILITIES:• Maintain and update the Written Supervisory Procedures.• Review/monitor internal processes for compliance with company’s policies and procedures.• Oversee compliance of retail brokerage and investment banking business.• Oversight of written and electronic correspondence.• Oversee brokers under heightened supervision.• Research possible compliance violations and recommend corrective action.• Provide training to employees on regulatory and compliance issues.• Review advertising and sales literature to ensure compliance with FINRA and SEC.• Oversee Read more […]
Senior AML Transaction Monitoring Officer recruitment
The RoleKey tasks will include but not be limited to:Monitor and review transactions, in order to identify and investigate potential suspicious activityAs the AML transaction monitoring expert you will assist and advise the technology team in the further development and design of software enhancements to the monitoring and case management system.Make recommendations and challenge existing ways or working to maximize investigative capacity and accuracyPerform quality assurance and track and monitor statistical trendsExperienceThe successful candidate will have a minimum of 5 years plus experience Read more […]
Compliance Consultant recruitment
This role has the potential to be converted in to a full time CCO position. Responsibilities: Assist in developing and maintaining broker dealer and ATS compliance policies and procedures Monitor the Firm’s Continuing Education requirements and conduct annual compliance meetings and training as appropriate. Monitor and review the Firm’s electronic communications including email, Bloomberg chats, Instant Messages, etc. Maintain and enforce the Firm’s AML program and conduct OFAC, FINCEN and SAR reviews on a periodic basis. Maintain and coordinate all aspects of the Firm’s Business Continuity Read more […]
Germany based – Junior Investment Funds Lawyer recruitment
Profile: The candidate must be an investment funds junior lawyer fluent in German and English.Requirements: The succesful candidate must: Have obtained his law degree in GermanyHave from 1 to 3 years experience in a law firm or bank in Germany or Luxembourg as a lawyer specialist in the investment funds areaBe fluent in German and English. Fluency in French would be a major advantageBe eager to learn and be trained by senior professionalsbe proactive, reliable, motivated and a team workerExperience in Luxembourg and knowledge of the Luxembourg market is considered as a major advantageKeywords: Luxembourg, Read more […]
Contracts Administrator / Negotiations Rep – Government recruitment
The CompanyBloomberg, the global business and financial information and news leader, gives influential decision makers a critical edge by connecting them to a dynamic network of information, people and ideas. The company’s strength- delivering data, news and analytics through innovative technology, quickly and accurately- is at the core of the Bloomberg Professional service, which provides real time financial information to more than 300,000 subscribers globally. Bloomberg’s enterprise solutions build on the company’s core strength, leveraging technology to allow customers to access, integrate, Read more […]