Assistant Legal Counsel
Six Month ContractSome careers have more impact than others.If you’re looking for a role where you can continue to make an impression, take the next step at HSBC where your contributions will always be valued.Offering a diverse range of legal skills and jurisdictional experience across the full range of countries and territories in which our businesses operate, Group Legal plays an important role in the day-to-day and long-term planning activities of all of our businesses around the world. Responsible for providing comprehensive legal advice to senior management and all Group functions, the team Read more […]
Risk Compliance Analyst
$25B Asset Manager focused on Fixed Income is looking for a Risk Compliance Analyst to work closely with the trading desk and middle office, analyzing the portfolio for risk, and making sure portfolios are compliant with investment guidelines. This is an AVP level role, and ideal candidate MUST HAVE 4+ years risk management experience in FI, and compliance experience is a plus. Must be detailed oriented with outstanding written and verbal communication skills. MS in hard science or finance required. C#, SQL and VBA. Read more […]
Senior Vice President & Regional Director, Member Regulation, Sales Practice
Job Summary:Lead, manage and direct the overall operations of the South Region’s District Offices, including its core regulatory programs pursuant to FINRA guidelines and requirements, including leading and participating in national strategic and tactical initiatives. As a senior-level manager and FINRA officer, represent FINRA and Member Regulation before various constituents internally and externally. The South Region’s regulatory jurisdiction covers approximately 820 member firms in the jurisdiction of four District Offices located in Atlanta, GA; Boca Raton, FL; Dallas, TX; and New Orleans, Read more […]
Senior Risk and Control Officer
This individual must provide proven information risk analysis and remediation, audit management, and program/project management skills. The Senior Risk and Control Officer must be able to review information risk gaps, provide adequate business solutions, and effectively manage and drive the mitigation of risks within the AM business.Qualifications: College Degree or Equivalent financial services work experience. 7 years experience. 10+ preferred. Fluency in English. Certified in Risk and Information Systems Control (CRISC) and/or Certified Information Security Manager (CISM) are preferred. Ideal Read more […]
Control Group Analyst
Position Description Sales Trading coverage team is focused on Watch List and front-running surveillance of employee and principal trading activity in the context of strategic transactions the Firm is advising on, including MA transactions and capital markets transactions, but is also responsible for Watch and Restricted List maintenance, certain conflicts checks, necessary communications with CGMI on MSSB related conflicts and similar communications with MUMSS. Skills Required – Recent law school graduate or 3 – 5 years of experience working in the financial industry with a focus on compliance, Read more […]
Compliance Assessment Group
Position Description Planning, preparing and executing regulatory and compliance-based reviews for Sales and Trading, Investment Banking, Research, Commodities, Futures, Prime Brokerage, Bank Resource Management and Operations Divisions. These reviews include desk, branch and targeted assessments, which are primarily focused on evaluating controls and compliance with rules, regulations and Firm policies and procedures. Also will assist the team in the development of risk based assessment programs, conducting information gathering sessions with Business Unit personnel (including management and support Read more […]
AML Contract 3 Months
Role ResponsibilitiesCarry-out financial investigations and transactions analystImplementation of fraud detection and sanctionsSupport the oversight of the AML compliance frameworkWrite and present reports to Senior StakeholdersRole RequirementsIn-depth understanding and exposure to Financial InvestigationsAccounting background preferred but not essentialFinancial Services ExperienceStakeholder engagementGood communication skillsFor more information and a confidential discussion please call Elizabeth Floyd on 02 8251 2100To find out more about Huxley Associates please visit www.huxley.com Read more […]
KYC Director
KYC Director6 Month Contract£600 to £700 per dayLondon This is an opportunity is for a senior level KYC subject matter expert with hands on operational management experience to work with onshore and offshore operations within this UK based bank. You will be working to provide areas of the business with a single global on-boarding and account maintenance service. It requires a proven ability to support the development of business activities while robustly applying risk management disciplines and controls and steering teams through material business changes. You will have been exposed to managing Read more […]
Chief Compliance Officer/GC
Major Prop Trading Firm is looking for a Chief Compliance Officer/General Counsel. The CCO/GC will be responsible for overseeing and managing all regulatory, legal, and compliance matters for the firm and will ensure the firm’s compliance with all FINRA, CFTC, SEC and other rules and regulations by providing necessary advice, training and risk assessment pertaining to all of the firm’s proprietary trading activities. This person is responsible for implementing all required policies and procedures regarding regulatory, legal, and compliance business activities. The person holding this position Read more […]
VP & Director Gifts & Entertainment Compliance
Key responsibilites will include:• Act as liaison and coordinator between key constituents in Operations, Global Marketing, Technology, Finance, and Compliance with respect to building a new global gift and entertainment system. • Play a lead role with Compliance Technology staff to design a new, global system and process to handle pre-approval, surveillance, and exception handling for client gifts entertainment requests. A key aspect of this initiative will be development of reporting to identify trends in gift and entertainment activity. Lead the testing and implementation efforts of Read more […]