AML Policy
AML Policy Contract Expert required for Large Banking Group!Accountable, within CIB for ensuring compliance with Group AML/STF Policy Standards, CBD AML/STF Standards and local laws and regulationAccountable for ongoing monitoring and reporting of AML/STF activitiesWhilst maintaining appropriate independence, act as a “trusted advisor” to senior executivesAccountable for ensuring that CIB’s AML team has the appropriate resources and capabilitiesFantastic Opportunities x 2 – £300 – 600 per dayHays Specialist Recruitment Limited acts as an employment agency for permanent recruitment and employment Read more […]
Compliance Surveillance Analyst
The successful applicant will be working within the Compliance Surveillance team and will have the responsibility for reviewing, analysing and investigating the alerts that have been generated. Alerts will be targeted for market abuse scenarios as well as other potential breaches of company policy.Your responsibilities will include:Reviewing/monitoring communications that have been generated by employees by instant messenging, emails and other communication channels.Reviewing/monitoring multi asset class trading activity of the companyConducting investigations on the back of the alerts, including Read more […]
AVP, Fraud Risk Management
Our international banking client, a leading institution, is seeking a control-oriented professional to join their risk group, focusing on anti-fraud strategies, primarily as they relate to unauthorized trading. This is a fantastic opportunity to join a high profile, newly created team with a complement of top notch risk professionals. The successful candidate will partner with the front office as well as other areas within the firm to ensure the firm’s fraud risk agenda is implemented and managed effectively. A background spanning trading risk management, internal audit, operational risk Read more […]
Investment Compliance Associate
Our client is looking to build out their investment compliance team with a compliance associate. The Compliance Associate will be responsible for all portfolio compliance monitoring, pre-and post-trade approval, performing compliance review and portfolio analysis, and prepare guideline coding and reporting. The qualified candidate will possess:* Bachelor’s degree* Strong fixed income product knowledge* 2-4 years of experience in financial services with at least one in compliance* Detail orientated Read more […]
Senior Compliance Analyst, Capital Markets| Los Angeles, USA
US financial firm focusing on capital markets advisory is currently seeking an experienced Compliance Analyst to join its Los Angeles office. Due to growth in the business there is an urgent need for compliance professional with extensive knowledge of FINRA and SEC regulations. Responsibilities:Perform reviews of Capital Markets supervisory process to ensure complianceAct as liaison for the business to regulators.Ensure Capital Markets management and personnel are conforming to current rules and regulationsKnowledge of the current regulatory environments and ability to implement this knowledge Read more […]
Regulatory Coordinator
Job Summary: Regulatory Coordinators monitor and evaluate the financial and operational and sales practice condition of member firms through continuous communication with member firm management and the review and analysis of regulatory filings and other data obtained from member firms. This position requires frequent contact and interaction with management of assigned member firms. Essential Job Functions: •Review and analyze financial reports and other relevant data to ensure compliance with FINRA and SEC rules and regulations. •Understand the regulatory risks of the products offered Read more […]
SENIOR ACCOUNTANT
Primary Responsibilities include but are not limited to: • Monthly financial statement closings and account reconciliations • Payroll • Brokerage commission calculations • Management Reporting • Forecasting and budgeting • Year-end audit preparation • Tax compliance liaison • Regulatory filings • Development and implementation of processes and controls Qualifications • BS in Accounting • CPA required • Minimum of 3 years’ experience in public accounting • Strong excel skills • Experience in brokerage or trading a plus To apply please Read more […]
Equities Trading Floor Compliance
Additional responsibilities will include a role coordinating with foreign affiliates on cross-border electronic and algorithmic trading initiatives and activities. The candidate should have experience and a strong working knowledge of US equity markets and rules and regulations relating to electronic trading including but not limited to the Market Access Rule, Trade Reporting rules, Reg ATS, Reg NMS and Reg SHO. In addition, the candidate will: • Lead the Compliance Advisory program to assess the regulatory/compliance controls of the Firm’s Electronic Trading Platform which includes Direct Read more […]
Business Unit Compliance Officer
The ideal candidate will provide advice, training and monitoring relating to the front office, partner with front office and other logistics and control functions to issue spot, identify and manage regulatory and reputational risk. Responsibilities Business Unit Compliance • Coverage responsibility for Prime Services including Futures clearing and execution • Integrate compliance requirements of new rules and regulations including Dodd Frank • Identify Key Risks and Improve Control Framework • Provide Advice and Training to Sales and Trading and Execution • Leverage Partnerships Read more […]
Anti Money Laundering Compliance Officer (AMLCO)
Reporting to the Chief Compliance Officer, the AMLCO will be responsible for leading the firm’s AML program including managing the firm’s fraud investigation activities, training, development of and enhancement to AML related Written Supervisory Procedures, regulatory exams and due diligence related to AML Fraud related activities.Key Skills Responsibilities:Overall responsibility for the firm’s AML Program. The AMLCO will ensure that the firm has AML Compliance procedures which are reasonably designed to achieve and monitor the firm’s compliance with regulatory requirements including Read more […]