Paralegal – Delaware Investments, A member of Macquarie Group recruitment
The Paralegal provides legal support for the Delaware Investments business based in Philadelphia.MAJOR RESPONSIBILITIES:· Prepare contracts, investment guidelines or operational procedures for institutional separate account clients, sub-transfer agent and networking relationships, wrap or managed accounts and other counterparties. · Perform contract administration functions for clients, vendors and external parties.· Prepare materials for Board meetings and shareholder meetings. · Assist with corporate secretarial matters; prepare minutes, maintain stock ledgers, prepare unanimous written Read more […]
AVP Compliance Officer recruitment
The RoleThis will include analyzing exception and resolving issues as appropriate but also to support the team and contribute to driving best practice and defining the supervisory process.You will bring to the table a familiarity with commonly employed trading strategies and have a working understanding of SRO and SEC regulation.Reporting to a strong leader this opportunity exists in an organization that’s is doing well, is growing and offers its employees the opportunity to take on a diverse and broad role. This role will likely evolve and you will get involved in key projects.ExperienceThis is Read more […]
Compliance Registration Analyst recruitment
Position Category: Legal/CompliancePosition Title: Compliance Registration AnalystJob Level: ProfessionalLocation: USA – MD – BaltimoreEducation Required: Bachelors DegreePosition Description:Join Morgan Stanley’s Institutional Regional Processing Center in Baltimore, Maryland. We have an exciting Analyst opportunity within the Legal and Compliance Division’s Registration Department. The Registration Department performs all registration-related activities on behalf of Morgan Stanley Smith Barney, Morgan Stanley Co., LLC, Morgan Stanley Investment Management and its securities professionals. The Read more […]
Equity Guideline Surveillance recruitment
Position Category: Legal/CompliancePosition Title: Equity Guideline SurveillanceJob Level: Analyst/AssociateLocation: USA – NY – New YorkEducation Required: Bachelors DegreePosition Description:Morgan Stanley Investment Management (MSIM) is a global provider of superior investment products and services to institutional clients across multiple asset classes. MSIM Compliance supports all aspects of the investment management business including: providing information to Portfolio Managers and Trading to aid in investment decisions with respect to adherence to client and regulatory guidelines and restrictions. Read more […]
Guidelines Compliance Analyst recruitment
Job ID: 12863Position Description: This is a challenging and exciting opportunity to work within the Legal/Compliance department managing investment guidelines in the company’s proprietary compliance management environment – ACE. Primary responsibilities will include interpreting investment restrictions from various sources and creating rules within the compliance environment. An individual in this position will have frequent interaction with Account Management as well as the various teams both within Legal and Compliance and across the firm. Additional responsibilities include responding Read more […]
VP-Futures Compliance recruitment
This candidate will focus on the advisory, monitoring, and surveillance of the futures business.ResponsibilitiesProvide advisory coverage for the futures sales trading desk on transactions, trade issues, compliance policies and procedures, and regulatory requirementsFrequent interaction with senior partners from sales trading, risk, operations, IT, and legalActive pragmatic involvement with business partners on new product initiatives to drive compliance issues and considerationsConduct monitoring and surveillance of tradesInteract and manage relationships with regulatory agenciesProvide compliance Read more […]
Chief Compliance Officer – Private Investment Funds recruitment
Position is responsible for the ongoing implementation, administration and review of investment advisory compliance programs of several affiliated registered investment advisors managing private investment funds to ensure regulatory and fiduciary obligations are met. Functions will include:• Advising senior management on the establishment and maintenance of an effective culture of compliance within the firm.• Becoming involved in analyzing and resolving significant compliance issues that arise.• Ensuring that the steps in the firm’s compliance process – risk identification, establishing Read more […]
Attorney recruitment
Essential Functions:• Responsible for covering mutual funds and closed-end funds, wrap products, institutional, sub-advised funds and alternative investments.• Responsibilities will include drafting and negotiating investment management, wrap and other contracts. Reviewing all legal documentation, marketing materials and RFP’s. Assisting the legal team with product formation, handling various regulatory issues, preparing materials for various Board meetings, maintaining the Firm’s Form ADV and other projects and assignments that arise in the course of supporting the Firm’s businesses.Desired Read more […]
Six Compliance Positions with a Top Investment Bank recruitment
Control Room Compliance OfficerOur client seeks a Control Room Compliance Officer who would be responsible for enforcing procedures designed to prevent and detect the misuse of material non-public information and managing conflicts for the Firm. Qualifications • Ability to understand and apply regulation applicable to the Control Room function, including, but not limited, to SEC 10b(5)-1 • Knowledge of use of proprietary and vendor-based applications Regional Anti-Bribery Corruption Officer Our client seeks a Regional Anti-Bribery and Corruption Officer who will be responsible for co-coordinating Read more […]
Head of Compliance – Foreign Bank recruitment
The RoleReporting to the GC and as Head of Compliance for the Bank you will be responsible for the ongoing development, implementation and management of the compliance program. You will oversee a team of 3.You must have strong experience liasing with the Federal Reserve and ideally had a demonstrated track record working for a foreign bank.ExperienceThe ideal candidate will have:Proven knowledge of Compliance/Legal matters at high level in the Financial industry. Bank Regulatory experience is a must Proven qualification in managing Regulatory affairs with Government examinersProven experience Read more […]