Senior Compliance Associate recruitment
As Senior Compliance Associate you will be responsible for identifying and mitigating compliance risks, working with the CCO and partners of the firm to drive forward the compliance program. You will be expected to look across new business initiatives and investment products and respond to inquiries from regulators. In addition you will also act as manager and mentor to team members. We are seeking an individual with excellent experience from either a hedge fund, investment advisory firm or investment bank. SEC auditing experience would be advantageous and you must have a strong academic record. Read more […]
Lawyer recruitment
Position Description:Wellington Management is one of the world’s premier investment management organisations. We are a global, privately owned firm that is 100% focused on managing money for institutional investors and mutual fund sponsors. We are headquartered in Boston with ten affiliate offices in the United States and around the world. We have a diversified, balanced, and growing business. Our clients are based in over 40 countries – more than one third of them are domiciled outside the US – and in total they have entrusted us to manage in excess of US$650 billion of their assets. On their Read more […]
AML Investigations Manager recruitment
Position Category: Legal/CompliancePosition Title: AML Investigations ManagerJob Level: ManagerLocation: USA – NY – New York (485 Lex Ave)Education Required: Bachelors DegreePosition Description:Assists with compliance with USA PATRIOT Act and Office of Foreign Assets Control requirements relating to MSSB. Conducts daily review and analysis of surveillance items flagged as potentially suspicious transactions or exceptions. Investigates potentially suspicious activity arising from account surveillance, branch escalations and Grand Jury Subpoenas. Drafts and assists with filing of Suspicious Activity Read more […]
Compliance Associate I – Banking & Trust recruitment
Be a part of something extraordinary. Make your knowledge stand out and stand for something. TIAA-CREF (Fortune 100 financial services company) is the leading retirement provider for people who work in the academic, research, medical, government and cultural fields. With over $460 billion in assets, we serve and are trusted by 3.7 million active and retired customers across 15,000 participating institutions. Compliance Associate – Banking Trust This position will report to the Chief Compliance Officer of TIAA-CREF Trust Company, FSB (the Bank) and is critical for supporting the trust and fiduciary Read more […]
Senior Capital Markets Advisory Compliance Manager for Leading Investment Bank – USA recruitment
This role offers senior compliance professionals a great opportunity to work in a space which is rapidly expanding due to the increase of regulations across the banking and finance industry. This means that the role comes with the guarantee of fast career progression and excellent bonus pools as the group has already proven hugely successful over the last 18 months. The role will report directly into the Head of Capital Markets Compliance and will have a dotted reporting line into the CCO and CRO. This means that successful candidates will get ample senior management facing as well as exposure Read more […]
AML Compliance Officer recruitment
Your duties will include, but are not limited to:* Review and evaluate internal controls and procedures for complyingwith AML/KYC and OFAC regulations.* Review and revise policies and procedures applicable to AML/KYCCompliance and conduct Risk Assessments; * Perform anti-money laundering monitoring and testing;* Develop and implement appropriate internal controls to monitorday-to-day compliance with all applicable Regulations and Guidelines.* Respond to inquiries from Front Office personnel and the New AccountOpening Team regarding appropriate CIP/KYC for clients providing high level guidance Read more […]
Senior Technology Counsel – Financial Services recruitment
This role offers an opportunity to add significant value to a successful business by taking ownership of the tasks at hand. You will be given the autonomy to apply your sharp legal skills and appreciate the tangible results of your efforts. Responsibilities will include, but are not limited to: Draft, review and advise on IT agreements, license agreements for software and data, procurement and vendor contracts, master service agreements for management consulting services, non-disclosure agreements, subscription agreements for market data and purchase agreements for IT products;Management of Read more […]
Investment Banking Compliance recruitment
Specifically, this will be an AVP level position reporting into the Director of Investment Banking Compliance. The job will require the compliance lawyer to advise business units as to rule and regulations revolving corp finance, syndicate, loan offerings and securities offerings. It is imperative that the compliance officer hold a JD have some experience with transactions. please apply if you feel you have relevant background. Matt
AVP of Anti-Money Laundering recruitment
Major responsibilities: • Coordinate the daily work of analysts on the team • Conduct investigations of suspicious activity, including transaction monitoring, OFAC reporting and SARs • Perform on-going reviews of existing AML and financial intelligence policies procedures to identify areas of improvement Requirements: • At least 3 years of AML compliance experience • Experience managing a team • CAMS certification is highly preferred
Compliance Officer (Regulatory Reporting/Data Analyst) recruitment
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