Tax Compliance Manager – Contractor – MFG MIRA recruitment
Macquarie Group is a global provider of banking, financial, advisory, investment and funds management services. At Macquarie we offer you the experience and freedom to grow your career whilst making your mark within a highly successful organization. Key to our success is the entrepreneurialism we encourage in all our people. We give you the opportunity to progress your career as quickly as you can demonstrate your ability. Macquarie’s business is structured into six operating groups and five support groups. Macquarie Funds Group (MFG) is Macquarie Group’s funds management business. MFG is a full-service Read more […]
Head of Financial Holding Company Compliance Monitoring and Testing recruitment
Position Category: Legal/CompliancePosition Title: Head of Financial Holding Company Compliance Monitoring and TestingJob Level: Vice PresidentLocation: USA – NY – New YorkEducation Required: Masters DegreePosition Description:The position is responsible for standards, governance, and reporting on Compliance monitoring and testing functions, globally. Responsibilities include: • Overseeing team of testers to execute testing on certain enterprise-wide compliance controls, including: o Test development and execution o Workpaper review o Issue of final report • Working with IT to develop Read more […]
Investment Officer III – 8433/JH recruitment
The IO III’s duties center on assisting senior managers with (1) strategic and tactical directions of the real estate investment program, (2) selection of managers, portfolios, and allocations; (3) negotiations of manager agreements; (4) directing the work of lower level staff in support of the Real Estate Investment Portfolio.Investment Officer (IO) III Minimum qualifications (MQs)Five years of increasingly responsible investment analysis experience for a public agency or private financial institution, insurance company, pension fund, endowment fund, investment firm, real estate development Read more […]
Regulatory Analyst recruitment
BNP Paribas (http://www.bnpparibas.com/) has a presence in 80 countries with nearly 200,000 employees, including more than 150,000 in Europe. It ranks highly in its three core activities: Retail Banking, Investment Solutions and Corporate Investment Banking. In Europe, the Group has four domestic markets (Belgium, France, Italy and Luxembourg) and BNP Paribas Personal Finance is the leader in consumer lending. BNP Paribas is rolling out its integrated retail banking model across Mediterranean basin countries, in Turkey, in Eastern Europe and a large network in the western part of the United States. Read more […]
Compliance Officer (Clearing) recruitment
This is an exciting opportunity to join a newly created program in a position designed to offer significant responsibility and growth.Responsibilities include, but are not limited to:Developing and implementing operational procedures for Firm self clearing initiative;Performing reviews to ensure compliance with pertinent rules and regulations, including Rule 3012, Rule 204, and Reg SHO;Liaising with FINRA on regulatory audits pertaining to clearingAdditional responsibilities as should be required as part of Firm self clearing initiative.Ideal candidate will have:Minimum 5 years experience at a Read more […]
Director of Fair Lending – Top Bank – Ohio recruitment
In this role you will partner with the business and specialists to ensure that appropriate reporting mechanisms are in place to monitor compliance with fair lending laws within each of the consumer businesses, having exposure to different business lines. You will be responsible for overseeing the development and execution of statistical models to explain differences in outcomes between protected classes. You will use your knowledge of statistical models to ensure model validation in accordance with firm policies. You will also translate quantitative results to the rest of the business. You Read more […]
Sanctions and OFAC Director recruitment
Our Client, atop tier international financial institution is seeking a Sanctions and OFAC Director to join it’s regulatory risk and compliance team based in New York.Responsibilities of the roles will include:Develop, document and maintain a sanctions and OFAC program for the business units where required.Consult Business Unit Chief Compliance Officer on Corporate policies, procedures and guidelines that are refined to address business, local and global needs.Develop, document and implement an annual sanctions, OFAC and AML training program.Escalate issues and potential violations of policies Read more […]
Regulatory Coordinatore recruitment
This position requires frequent contact and interaction with management of assigned member firms. Essential Job Functions: Review and analyze financial reports and other relevant data to ensure compliance with FINRA and SEC rules and regulations.Understand the regulatory risks of the products offered by and business activities of assigned member firms.Identify member firms’ potential financial or operational difficulties as well as monitor and evaluate mergers, acquisitions, conversions and significant expansions of business.Review and analyze complaints, trends, registration data and other relevant Read more […]
Regulatory Analyst – Market Regulation, Floor Surveillance recruitment
Essential Job Functions:Conduct surveillance of trading in NYSE and NYSE Amex listed securities. Conduct in-depth and timely investigations of trading in NYSE and NYSE Amex listed securities. Perform analysis of trading activity to detect possible violation of rules, policies, and procedures. Interact with member organizations to obtain information and documentation. Examine all related market data and reconstruct trading using various automated tools and other methods. Conduct interviews and depositions of market participants and supervisory personnel. Draft investigative memoranda detailing Read more […]
MSSB Compliance Surveillance Analyst recruitment
Position Category: Legal/CompliancePosition Title: MSSB Compliance Surveillance AnalystJob Level: ProfessionalLocation: USA – NJ – Jersey CityEducation Required: Bachelors DegreePosition Description:The MSSB Regional Surveillance Analyst performs oversight of the Firm’s retail business. This is accomplished through the review of specialized exception reports, alerts, and reviews of branches’ actions on certain issues. The Regional Surveillance Analysts are responsible for the surveillance and oversight of: Mutual Funds, Options, Insurance Products, Structured Investments, Active Accounts and FA Read more […]