Trading Compliance Officer recruitment
The RoleThe organization has a very people centered philosophy and employees are valued and encouraged to present new ideas in order to push the business forward. Key responsibilities will include but not be limited to:Daily trade surveillance, employee trade and restricted list monitoring for the Equities and Fixed Income Trading desks. Review of Exception Reports and TRACE reportingAddress day-to-day trading, sales, and compliance questions on new and existing regulations and respond to regulatory inquiries.This is the perfect opportunity for an individual who has a foundation of experience but Read more […]
Structured Products Attorney recruitment
As the in-house attorney, you will be responsible for:- Serving as key legal advisor to the business on its range of securities offerings, with particular emphasis on structured products. – Providing legal advice to business partners on the SEC-registered offerings, prospectuses, disclosure approach, marketing materials and methods, websites, new product review and product suitability.- Have familiarity with the design and launch of proprietary indices, index methodologies, and related rules and regulations.- Drafting, reviewing and negotiating key transaction documents, including dealer agreements, Read more […]
Deputy AML Due Diligence Manager recruitment
Position Category: Legal/CompliancePosition Title: Deputy AML Due Diligence ManagerJob Level: Vice PresidentLocation: USA – NY – New York (485 Lex Ave)Education Required: Bachelors DegreePosition Description:- The Deputy AML Due Diligence Manager (‘Deputy’) assists the AML Due Diligence Manager with the oversight of the team of analysts responsible for Enhanced Due Diligence reviews of new and existing clients.- The Deputy also helps oversee reviews of Politically Exposed Persons and various periodic client reviews.- The Deputy provides subject matter expertise regarding legal and regulatory client Read more […]
Senior Compliance Auditor recruitment
Position Title: Senior Compliance AuditorWorking Location: US – New York, NYEmployment Status: Full-Time RegularRequired Experience: 5 yearsRequired Education: Bachelors DegreeTravel Required: 10 Job ID: 1841Position 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 […]
Head of Core Company Compliance recruitment
Position Category: Legal/CompliancePosition Title: Head of Core Company ComplianceJob Level: Executive DirectorLocation: USA – NY – New YorkEducation Required: Masters DegreePosition Description:Responsibilities include:• Developing and maintaining the Morgan Stanley Code of Conduct and related global policies• Overseeing the Policy framework, including distribution of the monthly Compliance bulletin to business units globally and the maintenance of the Legal and Compliance online portal• Writing the Annual Compliance Plan, which sets forth the key global risks for the year and the associated Read more […]
Equities: Sales & Trading, Prime Brokerage & Stock Loan Compliance Officer recruitment
Position Category: Legal/CompliancePosition Title: Equities: Sales Trading, Prime Brokerage Stock Loan Compliance OfficerJob Level: Executive DirectorLocation: USA – NY – New YorkEducation Required: Bachelors DegreePosition Description:Provide Compliance support for equity sales and trading desks, including stock loan and prime brokerage, as well as support functionsDesign applicable training for business unit personnelAssist in the design and maintenance of written supervisory procedures as prescribed in NASD 3010 and 3012Assist in regulatory reviews, audits and other examinationsCommunicate Read more […]
Consumer Compliance Bank Examiner – Financial Institution Supervision recruitment
Overview Compliance Examinations conducts specialized supervisory activities at state member banks, bank holding companies, and certain U.S. Branches and agencies of foreign banks to determine compliance with consumer protection laws and regulations including the Community Reinvestment Act (CRA). The department also investigates consumer complaints filed against state member banks Responsibilities Conduct supervisory activities to determine banking organizations’ compliance with regulations and statutes related to consumers including fair lending and CRA Assess compliance risk management programs Read more […]
Investment Officer – 8445/JH recruitment
The IO I will carry out specific assignments related to operational event escalation process. The IO I will also assist in reviewing the reporting of compliance as well as regulatory and operational requirements from external investment advisors and money managers. In addition, the IO I will perform specific tasks to support a proactive, comprehensive, and consistent approach to a centralized internal operational investment controls and compliance function within INVO.Investment Officer (IO) I Minimum qualifications (MQs)• Equivalent to graduation from college preferably with major work in Read more […]
Dodd-Frank Compliance Specialist recruitment
This firm is seeking a consultant to design and develop solutions related to the evolving regulatory compliance landscape.ResponsibilitiesDraft and develop internal policies and procedures in response to regulatory developmentsReview current business practices against regulatory requirements to ensure that discrepancies are proactively identified and addressesWork on various business projects with compliance implications Monitor and interpret new regulatory developments to determine their impact on the firmAd hoc projects related to the implementation of Dodd-FrankSkills Required JD is a plusSuperior Read more […]
Exchanges Representative 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 […]