Seeking Bank Examination Supervisors and Bank Examiners recruitment
Our Client is hiring Bank Supervisors and Bank Examiners across all experience levels, from Team Managers through staff levels.This is an opportunity to work in a collaborative and stimulating environment, with excellent benefits and flex-options. The qualified candidate will have a minimum 5-10 years’ experience either as a Bank Examiner, or with a Banking Regulator, with broad compliance experience, including CRA, Fair Lending, Truth in Lending, HMDA etc. If the candidate is applying for a Supervisory role, the candidate should have experience as a team leader or supervisor and demonstrate Read more […]
Vice President – Legal recruitment
Responsibilities The SVP, for the Commercial Group (“CG”) will join our New York office, working with the team that is responsible for issuer relations, business development and pricing issues for all Moody’s ratings business globally The successful candidate will be responsible for addressing all legal issues within the CG for all lines of business including corporate finance, financial institutions, public finance and structured finance. The SVP will be the CG’s official liaison to Moody’s General Counsel’s office, Regulatory Affairs and Compliance whenever an issue arises which implicates interaction Read more […]
Junior Compliance Officer recruitment
A prominent private equity firm is seeking a Junior Compliance Officer to join its growing team. This is an exciting opportunity to join a well-established alternative investment company and gain exposure to a growing field. Requirements: – Bachelors degree required – At least 1-2 years of buy-side regulatory experience – Experience with personal trading is a big plus – Excellent communication skills
Compliance Risk Officer recruitment
This is an exciting and unique opportunity to be a part of an incredibly high performing area of the business and partner with project teams supporting the development and implementation of newly designed internal Compliance controls and systems. Key Responsibilities will include, but are not limited to:* Designing, implementing and executing ongoing testing and monitoring of internal controls that support risk assessment processes* Identify and develop controls that are required in the risk assessment* Be a Regulatory Subject Matter Expert (SME) on rules and regulations pertaining to Investment Read more […]
OFAC Sanctions Specialist recruitment
A major international financial institution is seeking an OFAC Sanctions subject matter expert to join its compliance department. This role will require extensive knowledge of global and U.S. sanctions guidelines and regulations as well as the ability to work quickly and independently. Responsibilities: – Oversee the U.S. sanctions program – Stay up-to-date on regulatory developments, both internationally and within the United States, that may impact sanctions guidelines – Create and maintain necessary policies procedures to ensure OFAC sanctions reporting requirements are met Requirements: Read more […]
RIA Compliance Officer recruitment
POSITION CONTENT 1. Plans, manages and directs the operation and development of the Firm’s RIA compliance functions. Scope includes: maintaining and monitoring policies and procedures for compliance with relevant regulation and industry best practices; maintain Firm’s ADV Part II, schedule F and other disclosure documentation; reviewing home-office compliance with relevant investment advisory regulations, oversight of the exception reporting process, and reviews and approves advisory agreements and 3040 transactions.35% 2. Reviews RIA contracts, disclosure documentation and marketing Read more […]
Compliance Advisor – Investment Management and Investment Advisors recruitment
Our Client, a globally recognised professional services organisation, is seeking a talented compliance manager to assist it’s investment advisors arm on an interim basis, though the initial contract length will be 3 months extensions are highlyy likely. The successful candidate will be responsible for advising Investment advisors on their regulatory obligations as listed belowResponsibilities will include:Existing Compliance Program TestingDeficiency Assessment and Gap AnalysisExamination SupportCompliance Program Development ImplementationSEC and State Registration ProcessingCompliance Program Read more […]
VP – Research Compliance recruitment
This position provides the genuine opportunity to gain broader compliance exposure and be heavily involved in projects, while maintaining a substantial level of visibility within the business. Our client has an unrivalled reputation in the market for providing their employees with a stimulating and collegial working environment. The key tasks will include, but are not limited to:Review and approve Equity Research;Draft and implement policies and procedures in line with SRO rules e.g. 2711, and regulatory developments;Chaperone research communication;Review Marketing and Sales MaterialYou will Read more […]
AML Compliance Associate recruitment
Responsibilities• Review monitoring system generated alerts on Actimize• Investigate the account activity for potentially suspicious activity, including but not limited to structuring and high risk wire activity, etc. from inception to completion (90-100 alerts per week)• Draft and file suspicious activity reports (SARs) in a clear and concise manner• Communicate in a clear and logical manner and at all levels; including but not limited to our Bankers when further information is warranted about Signature bank clients• Conduct enhanced due diligence research on Lexis/Nexis; Google etc.• Read more […]
Litigation Associate recruitment
Please submit your cover letter, resume and writing sample. Qualifying candidates will be contacted. Thank you.