Registration Specialist recruitment
Position Category: Legal/CompliancePosition Title: Registration SpecialistJob Level: Vice PresidentLocation: USA – NY – New YorkEducation Required: Refer to Position DescriptionPosition Description:The Registration Department performs all registration-related activities on behalf of Morgan Stanley Smith Barney, Morgan Stanley Co. LLC and its affiliates (“institutional securities group or ISG”), Morgan Stanley Investment Management, and their securities professionals. The Position will be responsible for the following activities: Advisory Support: -Review and interpret regulatory notices for all Read more […]
Vice President, Ethics Office recruitment
Lead and manage a team with responsibility for developing, maintaining and administering policies and processes pertaining to employee conduct (together comprising the “Ethics Office”). The Ethics Office will be responsible for policies relating to all aspects of employee trading; material non-public information; gifts and entertainment; pay-to-pay and lobbyist activities; and outside business activities and affiliations. ESSENTIAL DUTIES AND RESPONSIBILITIES: The following duties are generally representative of the nature and level of work assigned and are not necessarily all inclusive.• Read more […]
Executive Assistant – MSSB Compliance recruitment
Position Category: Legal/CompliancePosition Title: Executive Assistant – MSSB ComplianceJob Level: Executive AssistantLocation: USA – NJ – Jersey CityEducation Required: Bachelors DegreePosition Description:The MSSB Compliance Department is seeking a motivated, dependable and highly organized Executive Assistant to support the Chief Compliance OfficerAdministrative Duties include:Providing telephone coverage – answering executive phones, taking accurate messages, knowing executives’ whereabouts at all times, handling urgent calls with appropriate judgmentMaintain calendars – schedule/reschedule Read more […]
Compliance Analyst (Broker Dealer) recruitment
This individual will have general responsibility for monitoring of day-to-day activities of the broker dealer and assisting in compliance administration matters for the broker dealer. Responsibilities include, but are not limited to, assisting the Chief Compliance Officer of the broker dealer with the ongoing administration of the compliance program. This includes assisting and coordinating the various compliance activities, under the direction and guidance of the CCO-BD to include monitoring compliance calendar, reviews testing, policies procedures, as well as overall compliance program administration. Also Read more […]
Strategic Initiatives and Operations Officer – ISG Compliance recruitment
Position Category: Legal/CompliancePosition Title: Strategic Initiatives and Operations Officer – ISG ComplianceJob Level: Vice PresidentLocation: USA – NY – New YorkEducation Required: Bachelors DegreePosition Description:This individual will report directly to the Head of the ISG Strategic Initiatives group and will interact closely with the Chief Compliance Officer and members of the Senior Management Team. The core areas of responsibility include: daily administrative and operational management of the department, financial administration, headcount and personnel related administration, senior Read more […]
Banking Compliance SVP – Lending recruitment
This position will be working with senior business management to effectively implement new regulations and guidance, to assist product management in adhering to relevant policies, procedures and control requirements.You will be providing internal stake holders to facilitate appropriate and effective compliance with consumer protection, fair lending, privacy and other applicable regulations and regulatory administrative actions. The ideal candidate should acquire:* Strong knowledge of consumer lending compliance, laws and regulations. Mortgage experience preferrd.* 10+ years of experience in a Read more […]
Analyst recruitment
The Securities Industry and Financial Markets Association (SIFMA) brings together the shared interests of hundreds of securities firms, banks and asset managers. SIFMA’s mission is to support a strong financial industry, investor opportunity, capital formation, job creation and economic growth, while building trust and confidence in the financial markets. SIFMA, with offices in New York and Washington, D.C., is the U.S. regional member of the Global Financial Markets Association (GFMA). For more information, visit www.sifma.org. The SIFMA is looking for a bright and enthusiastic individual Read more […]
Institutional Securities Oversight Compliance – Group Manager recruitment
Position Category: Legal/CompliancePosition Title: Institutional Securities Oversight Compliance – Group ManagerJob Level: Executive DirectorLocation: USA – NY – New YorkEducation Required: Bachelors DegreePosition Description:- Manage the Institutional Surveillance Oversight group by providing daily guidance and performing reviews on surveillance work completed by ISO group members.- Communicate with senior members of Compliance and the Business regarding strategic initiatives and surveillance enhancements, metrics, findings, and themes and trends. – Work with the Business Unit and the Compliance Read more […]
Counsel to Residential Mortgage Origination Business recruitment
Position Category: Legal/CompliancePosition Title: Counsel to Residential Mortgage Origination BusinessJob Level: Executive DirectorLocation: USA – NY – New YorkEducation Required: Refer to Position DescriptionPosition Description:Successful applicant will report to senior attorneys advising a national banking association and a U.S. broker-dealer. Specific duties will include: Advising mortgage business and its officers on day-to-day mortgage activities and transactions Managing and/or coordinating with other attorneys and legal personnel providing such advice. Advising mortgage business senior Read more […]
AML Analyst recruitment
The affiliate correspondent accounts maintain multiple sub-accounts, which are used to segregate the activities of their service and include, but are not limited to:Third-party payments in support of correspondent banking relationshipsWhole bank-to-bank settlements (e.g. loans, trading and remittances)Bank payments on behalf of corporate customers of affiliatesThe AML Analyst will be responsible for ensuring compliance with policies, procedures and US regulations for the Correspondent Banking and Corporate Banking line of business in relation to AML surveillance.The AML Analyst will also ensure Read more […]