Compliance – Global Financial Crimes
JPMorgan Chase Co. (NYSE: JPM) is a leading global financial services firm with assets of $2 trillion and operations in more than 60 countries. The firm is a leader in investment banking, financial services for consumers, small business and commercial banking, financial transaction processing, asset management, and private equity. The Global Financial Crimes Compliance (GFCC) organization within JPMorgan Chase Co. is responsible for assisting in the development, implementation and oversight of the JPMC GFCC Program.General ResponsibilitiesThis position is responsible for implementing AML/Sanctions Read more […]
Head of Trade Surveillance
Principal Responsibilities: The role holder will have distinct responsibilities predominantly across the following areas – Compliance Monitoring: To conduct and manage the team in daily, weekly monthly monitoring of front office trading activities with the aim of meeting the business regulatory obligations with respect to Market Abuse, Best Execution and Conflicts Monitoring. Surveillance Monitoring: To conduct and manage the team in daily, weekly, monthly surveillance monitoring and testing activities with the aim of detecting and preventing fraudulent or suspicious trading activities Read more […]
Law Partner (Capital Markets/ M&A)
JD – Law Partner (Capital markets/ MA)Our client is a reputable and aggressively growing mid-sized law firm with an impressive track record across Asia over the last decade.They are now seeking an experienced lawyer to join their Capital Markets/ MA team and have set aside the finances to invest further in this growing practice. The candidate will join them as a competitively salaried Junior Partner with a view towards making Equity Partner in the near – mid future.They are now inviting expressions of interest from Capital Markets/ MA Partners who might be interested in making a switch to a growing Read more […]
Assistant Account Manager
Accounts Fund Management:Responsible to manage accounting function including finalisation of accounts.Monitor the working capital.Implement and review internal control systems for the entire gamut of company’s activities.Assist in making annual budgets, review and control of the same.Review and control cost overheads and raising the alarm for big variancesAssist in compliance and co-ordination of all applicable statutory laws and audit.Responsible for preparation of MIS reports as agreed by the managementEnsure any financial data is available at any time for review and analyses.System ControlAssist Read more […]
Information Security Manager (VP/AVP)
Job Description: Responsible to perform Data Privacy Risk Control Assessments, incident management.Ensure information risks are identified, assessed, mitigated and controlled through the deployment of a sustainable information risk management program.Work closely with Information Technology to ensure that technical changes are designed and implemented appropriately.Provide support and guidance to the business on a broad range of Information Risk based issues, as required.Keep up to date with changes in laws and regulations in the region, and ensure the firm remains compliant with the ever changing Read more […]
Compliance Examiner – Member Regulation, Sales Practice
Job Summary: Examiners review or investigate risk areas of broker-dealers, and allegations of wrong-doing or other non-compliant conduct to protect investors and ensure the integrity of the U.S. financial markets. This position requires excellent analytical and communication skills, consistently high productivity levels and work quality (frequently under tight deadlines), and a strong commitment to ensuring that the securities industry operates fairly and honestly. Essential Job Functions: Conducts examinations and other reviews related to FINRA member firms’ finances Read more […]
Associate Director, Supervisory Economist
The Division of Trading and Markets (TM) is seeking an Associate Director, Supervisory Economist for (Broker-Dealer Risk Oversight); the duty station for this position may be either New York, NY or Washington, DC. The Division of Trading and Markets mission is to establish and maintain standards for fair, orderly, and efficient markets. It regulates the major securities market participants, including broker-dealers, self-regulatory organizations (such as stock exchanges, FINRA, and clearing agencies), and transfer agents. Salary Range: SO-01, $158,265- $238,030 (NY); SO-01, Read more […]
Trade Advisory & Compliance Manager for Highly Successful Energy House – NY Tri
The firm are looking for a highly motivated and commercial individual who will monitor and advise the traders on a daily basis in order to streamline the business and promote the success of the firm overall. Required skills and experience include; MSc Level Academic Degree in a financial or mathematical fieldExpertise in compliance with knowledge of energy marketsExperience within a trade monitoring and advisory positionExcellent communication skills with previous exposure to a trade floor environment
Trade Advisory & Compliance Manager for Highly Successful Energy House – NY Tri
The firm are looking for a highly motivated and commercial individual who will monitor and advise the traders on a daily basis in order to streamline the business and promote the success of the firm overall. Required skills and experience include; MSc Level Academic Degree in a financial or mathematical fieldExpertise in compliance with knowledge of energy marketsExperience within a trade monitoring and advisory positionExcellent communication skills with previous exposure to a trade floor environment
Vice President- Compliance
Moody’s is an essential component of the global capital markets, providing credit ratings, research, tools and analysis that contribute to transparent and integrated financial markets. Moody’s Corporation (NYSE: MCO) is the parent company of Moody’s Investors Service, which provides credit ratings and research covering debt instruments and securities, and Moody’s Analytics, which offers leading-edge software, advisory services and research for credit and economic analysis and financial risk management. The Corporation, which reported revenue of $2.3 billion in 2011, employs approximately 6,100 Read more […]