Executive Compensation Lawyer
Position Description Candidate Profile: J.D. Class of 2008-2010 with relevant law firm or in-house experiencePosition Description:• Responsible for firm’s executive and director compensation design and documentation, legal, regulatory and tax compliance and disclosure (including proxy statement, Section 16 and Form 8-K disclosures).• Responsible for corporate governance matters relating to executive compensation, including support for the compensation committee of the Board of Directors.• Counsel Human Resources Department, and coordinate with Tax and Finance Departments, in connection with Read more […]
Sr. Financial Analyst
Position Description The Legal and Compliance Division is seeking a bright and highly motivated individual with great attention to details to collaborate with other team members as well as controllers on analyzing and reviewing of expenses and related data. Responsibilities:• Headcount management including reporting and tracking of hires and terminations globally• Assist in the preparation of the division-wide forecast and budgets• Review monthly financial results for all expense line items to ensure accuracy and adherence to budgets and forecasts• Manage/Coordinate the External Legal expense Read more […]
ERISA attorney to support weath managment division
Position Description Seeking a 6 + year ERISA/tax attorney to join the Morgan Stanley Wealth Management division’s ERISA Law group. Attorney will provide legal advice and support for MSWM retirement products and services, primarily MSWM’s various IRA account products, and advise on ERISA fiduciary/prohibited transaction issues. Responsibilities include:(a) legal support for IRA/retirement brokerage accounts (qualified tax), including (i) drafting of IRA documentation (plans, disclosure statements and adoption agreements), (ii) work regarding MSWM’s “non-bank custodian” status, and (iii) tax-reporting Read more […]
MSWM Compliance Special Projects and Communications Analyst
Position Description Reports to the MSWM Compliance Counsel and interacts closely with members of the Senior Management Team. The core areas of responsibility include the coordination of senior management reporting and metrics, department communications, and special projects and regulatory initiatives.Responsibilities include:Developing and maintaining the MSWM Compliance Department website, including working with Department units and other areas to enhance features and develop content Coordinating and providing support for the Annual Compliance Plan, Annual Report, and Risk Assessment processesProducing Read more […]
MSWM Compliance Surveillance Analyst
Position Description The MSSB Regional Surveillance Analyst performs oversight of the Firm’s retail business. This is accomplished through the review of specialized exception reports, alerts, and reviews of branches’ actions on certain issues. The Regional Surveillance Analysts are responsible for the surveillance and oversight of: Mutual Funds, Options, Insurance Products, Structured Investments, Active Accounts and FA trending. Skills Required Bachelors Degree 1-3 years relevant work experience Possess a basic understanding of the financial services industry Strong interpersonal skills Excellent Read more […]
Senior Compliance Officer/Associate General Counsel
An elite and global financial services firm is seeking an experienced attorney to join its team as a senior compliance officer/associate general counsel. The successful candidate will report directly into the Chief Compliance Officer and will be primarily responsible for the development, implementation and maintenance of the firm’s international trade, AML, and anti-trust/corruption programs.Minimum Requirements Include:-JD from top university-8 to 10 years of relevant experience-Prior experience building out a compliance program-Strong understanding of legal and regulatory frameworksTo find out Read more […]
Senior Risk & Control Officer
*** Must be CISM certified ***-Provide information risk guidance to the AM boutiques and interface with Information Risk Management (IRM) on behalf of the business areas. -Collaborate with internal and external audit and control groups and the AM boutiques to drive the closure of information risk related audit issues. -Develop and manage the Service Provider Management program within Asset Management -Collaborate with the AM Information Risk Officers (IROs) to develop procedures to manage risk within the business areas -Assist the AM IROs with the development of program/project plans for the Read more […]
Regulatory Response, Analyst
Do you feel stuck in a job and need a change? Are you a talented business professional with auditing experience? Are you interested in the opportunity to work for an industry-leading company? To be part of a dynamic team that works hard, but has fun doing it? If so, then we may have the solution for you. State Street’s Corporate Audit DepartmentState Street’s Corporate Audit Department carefully recruits staff with a combination of backgrounds, including prior audit experience in internal and external audit practices, information technology, and specialized areas such as regulatory compliance Read more […]
Vice President
Our views matter. So will yours.Further information about “working at Moody’s” is available at our Careers Page at www.moodys.comThe individual will be a leveraged loan and high yield bond covenant specialist in the Americas, and will be based in New York:* Will work under considerable time pressure in meeting deadlines for covenant reports on new leveraged loan and new bond issuance. * Will produce reports on existing loans and bonds and ultimately have responsibility to review and approve reports drafted by junior staff. * Must be capable of accurately summarizing complex structures in accessible Read more […]
Director
Candidate will review bank entities, the bank holding company, related businesses and support areas to assess Compliance with federal, state, and company banking laws, policies, rules and procedures. Responsible for monitoring residential mortgage lending as well as securities based lending activities, deposits and transactional banking within Residential mortgage lending, securities based lending together with deposits and transactional banking for clients represent one of our key drivers to acquire and retain client relationships. Residential financing will be available only in the United States.Core Read more […]