Registration Project Manager recruitment
Position Category: Legal/CompliancePosition Title: Registration Project ManagerJob Level: Vice PresidentLocation: USA – NY – New YorkEducation Required: Bachelors DegreePosition Description:The Registration Department performs all registration-related activities on behalf of Morgan Stanley Smith Barney, Morgan Stanley Co. LLC and its affiliates (“institutional business or ISG”), Morgan Stanley Investment Management, and their securities professionals. The position will be responsible for the following activities: -Strategic Planning and Project Management-Ongoing project management of Global Registration Read more […]
Global Macro Compliance Officer recruitment
Position Category: Legal/CompliancePosition Title: Global Macro Compliance OfficerJob Level: Vice PresidentLocation: USA – NY – New YorkEducation Required: Bachelors DegreePosition Description:- Provide Compliance support primarily for Repurchase Transactions and Bank Resource Management – Provide general support for Rates products – Design applicable training for business unit personnel- Assist in the design and maintenance of policies and procedures, manuals, and written supervisory procedures- Assist in regulatory reviews, audits and other examinations- Communicate with traders and supervisors Read more […]
Private Equity & Real Estate Fund Services- Client Financial & Onboarding Product VP recruitment
Private Equity Real Estate Services (PERES) provides outsourced administrative services to private equity funds and institutional limited partners. The business is the market leader and currently services over 200 funds with over $80 billion in committed capital, and over 50 institutional investors with over $145 billion in alternative assets under administration. PERES has more than 200 dedicated finance and technology professionals with offices in New York, Chicago, Dallas, San Francisco, London, Jersey, Luxembourg, and Sydney.J.P.Morgan provides award-winning administration solutions for the Read more […]
FATCA Business Analyst recruitment
Education and Experience Required: • Working knowledge of the Foreign Account Tax Compliance Act (FATCA)• Bachelor’s Degree (business, finance or accounting preferred)• 10+ years related experience in financial services analysis• Banking background with strong product knowledge• Recent experience writing business requirements – current role or within the previous 3 years• Proven experience in meeting tight deadlines and multi-tasking in a fast paced environmentKey Tasks and Responsibilities of the role include, but are not limited to:• Work with project team to collect Read more […]
Director–Compliance for Commodity Derivatives recruitment
Enhance, implement and maintain an effective regulatory compliance program over the CD activity, with particular focus on physical gas and electricity trading, as well as financially settled contracts of all commodities. Perform risk-based functions by: Working on the trading floor each day Researching regulatory compliance issues and rule changes Writing and having readily accessible, Compliance policies, procedures, manuals, results and actions that evidence implementation and effectiveness Providing extensive training and ad hoc advice to senior managers, sales, trading, and support areas Read more […]
Director / Compliance – Regulatory Support and Legislative Change Management recruitment
Position Category: Legal/CompliancePosition Title: Director / Compliance – Regulatory Support and Legislative Change ManagementJob Level: DirectorLocation: USA – NY – New YorkEducation Required: Bachelors DegreePosition Description:Morgan Stanley is a global financial services leader with three core businesses – Institutional Securities, Asset Management, and Global Wealth Management. Global Wealth Management is offered by the Morgan Stanley Smith Barney (MSSB) franchise, which has one of the world’s largest network of Financial Advisors and current total assets of 1.7 trillion as of April 21, Read more […]
Chief Compliance Officer – Foreign Bank recruitment
The RoleYou will oversee a team of 6 compliance professionals. This Foreign Bank has been under a Cease and Desist order however, has made great steps forward and has been commended in recent months by the Federal Reserve for the steps forward it has made. However, naturally the business is looking for an individual with exceptional experience in managing the relationship with the Fed and who can continue the efforts and further develop the Compliance function in to a world class program.You must have strong experience liaising with the Federal Reserve and ideally had a demonstrated track record Read more […]
AML Due Diligence Manager recruitment
Position Category: Legal/CompliancePosition Title: AML Due Diligence ManagerJob Level: Executive DirectorLocation: USA – NY – New York (485 Lex Ave)Education Required: Bachelors DegreePosition Description:-The AML Due Diligence Unit Manager (“Manager”) oversees the team of analysts responsible for Enhanced Due Diligence reviews of new and existing clients. -The Manager also oversees reviews of Politically Exposed Persons and various periodic client reviews. -The Manager provides subject matter expertise regarding legal and regulatory client due diligence requirements. -The Manager also assists Read more […]
Surveillance Director – Member Regulation recruitment
Job Summary:Surveillance Directors are leaders who ensure that regulatory programs identify and address current and emerging risks at broker-dealers. Leveraging FINRA’s cutting-edge surveillance technologies and data capture, and active management of professional staff, Surveillance Directors manage and monitor the analysis and assessment of FINRA member firms’ finances, operations, sales practices, controls and systems. This position requires an in-depth understanding of broker-dealers’ business models, products and practices; excellent leadership, analytical and communication skills; consistently Read more […]
Compliance Officer – Long Island recruitment
ResponsibilitiesOversee all private placement compliance mattersPrepare necessary due dilligenceMaintain and update Written Supervisory Procedures (WSP’s)Develop Regulatory Continuing Education TrainingMaintain and update when necessary employees CRDPerform AML monitoring and testingRespond to FINRA regulatory inquiriesOversee e-mail account surveillanceResearch and respond to investigations and complaintsRequirementsPossess a clean U-4 with the following licenses: Series 7, Series 24, Series 55, and Series 99Minimum of 3 years experience working in a compliance department of a firm whose products Read more […]