Compliance Officer (Securities) recruitment
Day to Day Responsibilities Include: Process regulatory and exchange requests focusing on Listed Options. Coordinate and respond to regulatory options related exams and reviews. Assist with the creation, enhancement and review of options related surveillances. Conduct options related desk and branch reviews Focus on routine regulatory reporting, such items as LOPR, BlueSheets, etc. Develop positive working relationships with regulators to facilitate communications with NUSA. Assist in the preparation of advice and information to staff on Read more […]
Senior Vice President – Legal recruitment
ResponsibilitiesThe 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 globallyThe 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 […]
Sr Paralegal-Asst CorpSecrtary recruitment
He/she will be responsible for preparing the board, audit and shareholder meeting notices, agendas and materials in conformity with the group’s procedures and in compliance with the entities’ organizational documents. He/she will be responsible for helping to ensure that the Firm subsidiaries comply with applicable corporate governance laws, rules and regulations and their organizational documents. He/she will also be required to draft meeting minutes and written resolutions, as well as various other board documents. He/she will be responsible for researching and preparing all filings required Read more […]
IP Technology Counsel recruitment
Working at Moody’sOur views matter. So will yours.The views of each Moody’s employee matter and, collectively, those views contribute to our ability to serve credit-sensitive markets worldwide. Diverse opinions are encouraged and leverage the depth and breadth of experiences that our employees bring to work each day. We expect Moody’s employees to be accessible and collaborative and, in return, Moody’s offers a work environment that promotes intellectual curiosity, analytical rigor and collegiality. Our people and our environment uphold our core values of integrity, insight, intellectual leadership, Read more […]
MSSB Compliance Project Manager recruitment
Position Category: Legal/CompliancePosition Title: MSSB Compliance Project ManagerJob Level: ProfessionalLocation: USA – NJ – Jersey CityEducation Required: Refer to Position DescriptionPosition Description:As a member of the Strategic Initiatives Team within the Morgan Stanley Smith Barney Compliance Department, the Project Manager (Manager/Director Level) is responsible for gathering detailed business requirements, analyzing technical/functional requirements, participating in and/or organizing key meetings within a project and liaising with IT to help drive technology solutions for the MSSB Compliance Read more […]
Senior Associate – Compliance recruitment
Wilshire Associates, a leading global independent investment consulting and services firm, provides consulting services, analytics solutions and customized investment products to plan sponsors, investment managers and financial intermediaries. Its business units include, Wilshire Analytics, Wilshire Consulting, Wilshire Funds Management and Wilshire Private Markets. With ten offices on four continents, Wilshire Associates and its affiliates are dedicated to providing clients with the highest quality counsel, solutions and services. Job Description: Wilshire Associates is looking to hire a Senior Read more […]
Compliance Testing Vice President recruitment
Position Category: Legal/CompliancePosition Title: Compliance Testing Vice PresidentJob Level: Vice PresidentLocation: USA – NY – New YorkEducation Required: Bachelors DegreePosition Description:Global investment management firm seeks Compliance Professional to work as a member of the MSIM Compliance Department focusing on 38a-1 and 206(4)-7 Compliance Testing• Develop, implement and execute risk-based compliance testing to review and assess the effectiveness of the firm’s policies and procedures in compliance with Rules 38a-1 and 206(4)-7, including developing remediation plans for gaps identified Read more […]
Attorney for Corporate Treasury and Disclosure recruitment
Position Category: Legal/CompliancePosition Title: Attorney for Corporate Treasury and DisclosureJob Level: Vice PresidentLocation: USA – NY – New YorkEducation Required: Doctorate DegreePosition Description:Counsel within Company Law assisting Corporate Treasury and Financial Reporting team on the following matters:• Counsel to Corporate Treasury in connection with worldwide corporate finance activities, including the Firm’s securities programs in the global markets, both structured and unstructured (including SEC-registered, Rule 144A and Regulation S), MTNs and Guarantees• Interaction with Read more […]
Inquiries Group Analyst recruitment
Position Category: Legal/CompliancePosition Title: Inquiries Group AnalystJob Level: Vice PresidentLocation: USA – NY – New YorkEducation Required: Bachelors DegreePosition Description:Act as the Assistant Manager for the group that researches, analyzes and responds to regulatory inquiries from the SEC, CFTC and SROs relating to possible federal laws and SRO/Exchange rule violations; handle inquiries that involve the analysis of complex trading data to distill the information into responses regarding trade executions and order handling; interact with business unit personnel, traders, technology Read more […]
Director Legal Counsel – Investor Solutions & Equity Derivatives Sales recruitment
1. Serve as Legal point person for U.S. structured notes business, including registered and 144A notes and certificates of deposit linked to various asset classes such as equities, rates, commodities, currencies, indices, and registered and unregistered funds.2. Manage legal aspects of structured notes transactions, including (1) drafting and reviewing deal documentation and marketing materials and (2) participating in presentations of new products to relevant internal committees.3. Review and provide advice on proposed new products, including potential legal, regulatory and reputational risks.4. Read more […]