Head of the Control Room (McGraw Hill Financial)
Job DescriptionMcGraw Hill Financial is a high-growth, high-margin benchmarks, content and analytics company serving the capital and commodity markets.We are home to some of the most iconic brands in finance and business, including: Standard Poor’s Ratings Services, SP Capital IQ, SP Dow Jones Indices, Platts, J.D. Power, McGraw Hill Construction and Aviation Week. Our independent credit ratings, indices, analytics, price assessments and research provide clients with the essential intelligence to manage risk and identify opportunities to grow.These offerings are essential to clients and are deeply Read more […]
Junior Product Management Role (Mutual Funds)
Role ResponsibilitiesAssist in the team responsible for the evolution and ongoing product management of the Client’s mutual fund ranges.Undertake a range of technical product management tasks as directed by the Senior Manager.Assist Product Managers with Prospectus updatesAssist with Fund closures/mergersDevelopment of business case to support share class launches/closures and liaison with other partiesProvide routine Board reportsDeliver Fund registrations as required and agreed by the Product ManagerResponsible for answering general product queries from other business areas. Specifically Read more […]
Compliance Analyst
Job ID: 13152Position Description: POSITION DESCRIPTION:This is a challenging and exciting opportunity to work within the Legal/Compliance department, supporting PIMCO’s proprietary compliance software – Automated Compliance Environment (ACE). Primary responsibilities will include the creation and automation of rules based on investment guidelines. The candidate will need to ensure that the guideline interpretations of account’s restrictions are accurately reflected in ACE. In addition, this role requires participation in numerous analytical/technical ad hoc projects aimed at automating account Read more […]
Portfolio Compliance Analyst/Mutual Funds
Job ID: 13562Position Description: A Portfolio Compliance Analyst is responsible for auditing client accounts to ensure compliance with applicable rules. Responsibilities include analysis of transactions and portfolio holdings with respect to mutual fund regulatory requirements and prospectus guidelines. Analyst researches compliance issues and participates in various ad hoc projects involving frequent interaction with clients, as well as Account and Portfolio Management. Analyst is also involved with process improvements, scenario analysis, and technology testing. Routine compliance analysis and Read more […]
AVP
AVP – Compliance Testing Internal Controls Manager to support business aligned Compliance Groups | Leading Global Investment Bank Location – Boston, USA Salary – 80-100k + bonus benefits Description A leading US investment bank is seeking to expand its regulatory testing and controls group which will sit within the Compliance program and support function. This will be responsible for establishing and overseeing the compliance methodology for the business-aligned compliance teams and so will have a wide exposure across the business with multiple reporting lines. Successful individuals Read more […]
Senior Financial Crime Policy Manager
Our client, a leading global Investment Bank, are looking for an individual to join their Group Financial Crime Compliance team to develop and implement their global anti-money laundering policy for the Group.This role takes lead responsibility to develop Group wide AML policy, and ensure it is used by the business and functions globally. It will involve developing and implementing consistent policy that is understood by the business and functions, seeking their input and working to ensure policy is understood. It will entail providing specialist advice and support on, AML, CTF and sanctions policy Read more […]
Controls & Compliance Manager
Excellent, high profile opportunity to suit strong people manager with excellent knowledge of the UK regulatory regime and proven process improvement/change management experience gained from the financial services industry. The preferred candidate will ideally come from a securities or corporate finance house, investment firm or relevant trade body, or regulatory organisation and will demonstrate proven experience of leading and motivating diverse teams in a change environment. A good understanding of regulation/compliance or control functions attention to detail is essential and will be complemented Read more […]
Bank Regulatory Compliance
Description • Manages compliance efforts for the Company as they relate to Fair Lending and other banking regulatory and policy requirements. • Performs ongoing monitoring and testing for compliance with consumer financial protection laws. • Analyzes existing and proposed legislation and helps businesses develop and implement procedures to meet these requirements. • Validates controls or project plans to facilitate compliance with laws, rules and regulations. • Assists with implementation or risk-based monitoring and testing programs. • Performs ongoing statistical analysis Read more […]
Compliance Consultant 3
Job Description Wells Fargo Funds Management Group (FMG) is the 11th largest mutual fund family in the US with over $220 billion in assets under management. FMG falls under Wells Fargo Asset Management division of Wholesale Banking. We are seeking a Compliance Consultant for the Risk and Compliance department to assist with distribution compliance of complex products including 3c funds, hedge funds, hedge fund of funds, and LUX SICAVs. The individual will be responsible for the following items:- Provide compliance and regulatory advice regarding complex product specific requirements, Read more […]
General Counsel
The General Counsel will play a key role in developing the firm’s legal framework, strategy and infrastructure to enable, and scale with, the rapid growth of the business. Responsibilities of this critical function include managing a wide range of business-related legal matters; regulatory reporting, corporate governance, compliance, client and vendor transactions, contract review and various other diverse corporate matters.The successful candidate will have a Juris Doctor, be admitted to the New York State Bar and possess a minimum of 7-10 years of law firm and in-house experience. Candidates Read more […]