Commodities focused Trade Surveillance Compliance Officer for Leading Energy Trading House | New York, USA
Commodities focused Trade Surveillance Compliance Officer for Leading Energy Trading House | New York, USA Salary – Excellent compensation + benefits bonus Description A leading US based energy trading house is looking to add a senior trade surveillance specialist to report directly into the CCO and liaise directly with the front office. The roles responsibilities will be primarily based around building and maintaining the trade compliance program and monitoring the extensive trading activity across the derivatives and physical energy markets. The role will have regular liaising with the Read more […]
Senior OFAC Sanctions Compliance Officer required for a leading investment bank in New York
Description A leading global investment bank is seeking a strong senior regulatory compliance officer to specialise in the OFAC sanctions space. The role will be required to aid in the development and maintenance of the OFAC sanctions programme. The role will report directly into the Head of Regulatory Compliance and be required to liaise with various senior managers from a multitude of business lines. This will allow ample senior management exposure resulting in increased career progression. Key Requirements5+ years experience within a regulatory compliance group focussing on OFAC SanctionsExcellent Read more […]
Hedge Fund Compliance Officer
Responsibilities: This position will focus on the following primary responsibilities: • Support buy side research activities including the use of consultants, interactions with the sell side, surveillance of electronic communications, trading activity and internal research write ups • Work closely with the Firm’s portfolio managers, research analysts and traders to gain an understanding of and rationale for certain trading activity • Provide ongoing support to front office professionals. Serve as a point of contact for front-office in the event they may have received potentially material Read more […]
Chief Compliance Officer
Responsibilities: The Chief Compliance Officer is responsible for identifying and managing industry regulatory compliance issues and the impact it may have on the firm’s trust group, the Registered Investment Adviser and the BSA/AML program. The ideal candidate will develop and maintain internal compliance policies and procedures; work with regulatory agencies to resolve problems and implement new regulatory procedures. Must be knowledgeable of OCC and SEC rules and regulations and able to execute an annual plan that is in compliance with these rules and regulations. Work with clients, Read more […]
Head of Regulatory Compliance (Ref No. HRC/DK180613)
Our client is a leading global financial services business with strong presence in the region. They are seeking an experienced candidate with sound regulatory knowledge to fill their newly created vacancy as Head of Regulatory compliance. As a lead and key member in this role, the incumbent will oversee implementation of an effective risk monitoring program to mitigate risks and enhance key regulatory relationships. You will be required to design, implement and oversee a process to track regulatory developments and enforcement trends, analyse impact to the Group and generate timely, relevant alerts Read more […]
Client On-Boarding Specialist
Principal RolesClient On-Boarding Single Point of ContactCustomer On-Boarding Set-UpMaintenance RequirementsAt least 3 years of professional experience in client on-boarding in financial marketsExperience working with external clients and supporting internal teamsComputer and systems literateBA/BS Degree CompetenciesUnderstanding of AML and KYC documentation requirements and structure of trading counterpartsExperience with client screening tools, e.g., Complinet, World-Check, etc.Strong analytical skills with the ability to analyze complex structuresExcellent written and verbal communication Read more […]
Senior Manager, Group Regulatory Affairs & Advocacy
The Team Group Regulatory Affairs and Advocacy supports various business units across the CBA Group by providing accurate, commercial and timely advice on regulatory change (domestic and international) at both consultation stage and implementation stage. The Opportunity Working with the Executive Manager, you will have the opportunity to closely influence the development, implementation and maintenance of the CBA Group’s response to regulatory change and policy development in alignment with our vision and business objectives. What will success look like? Monitoring regulatory change and preparing/co-ordinating Read more […]
Anti-Money Laundering Monitoring Manager (Ref: AMLM-Efin)
Nanyang Commercial Bank, LtdGet ReadyGoing for GreatAccumulating over 60 years experience on our solid foundation in Hong Kong and Greater China, we succeed and create our brilliant story throughout the region. As the first foreign bank branch in Mainland, we grasp the opportunity to grow along with the economic reforms. With our well-versed China business intelligence, we continue to expand our network proactively but prudently.Inheriting our “People Focus” tradition, we strongly believe in the philosophy of talent investment. Here, we respect your career development with enormous support Read more […]
Risk and Compliance Manager
This attractive opportunity exists in a commercially focused Superannuation Fund driven to deliver exceptional service and returns for its members. Reporting to the Head of Risk Compliance you will play an integral role in supporting, developing and monitoring the Risk Compliance activities across the organisation.You will be an experienced Risk Compliance professional that has deep knowledge across the Superannuation industry; this includes knowledge of the prudential standards governing the industry and The Corporations Act.You will play an integral role in the ongoing development of the compliance Read more […]
VP
The Vice President for Compliance will focus on how anti-money laundering (AML) and BSA policy within the firm will impact the asset management, trading, and asset servicing business lines. The VP will interact daily with those units to determine overall compliance strategy and how AML, as well as other regulatory changes on the horizon, can best be managed. This person must have a keen understanding of OFAC, risk review, as well as the laws and regulations of other countries in theAmericas.Responsibilities:- Manage a staff of AML specialists in the U.S.- Strategically identify areas where changes Read more […]