Fixed Income Compliance Officer recruitment
This is a great opportunity for a fixed income compliance professional to join a dynamic surveillance group at a leading, global investment bank.The Fixed Income Compliance Officer will be responsible for:* Analyzing fixed income transaction alerts and exception reports* Provide reports to upper management* Ensuring that the bank is in compliance with applicable rules and regulations* Working with the audit team and regulators * Keeping policies and procedures currentThe ideal candidate will meet the following qualifications:* Series 7 * Excellent knowledge of fixed income products * Knowledge Read more […]
Branch Bank Compliance Officer recruitment
Reports to the NY Branch CCOMonitor suspicious activity alertsSuspicious activity investigationsSARs draftingOFAC reviewsPrepare monthly compliance report summariesReview Bank product notesConduct regulatory researchCoordinate regulatory examsGather documentation for exams and internal auditsExecute testing for compliance’s technology applicationsLiaise with Global Headquarters regarding subpoenas and inquiriesReview and revise current AML procedure manualReview and revise current AML policy manualContinuously update and amend various compliance manualsDevelopment and draft new compliance policy Read more […]