AML Compliance Analyst
The ideal candidate for this position has experience with AML compliance requirements and risk-based audits.Key Skill Responsibilities:Coordinating AML surveillance results and inquiries with appropriate business line management and team members.Conducting comprehensive compliance reviews and risk assessments of business activities, practices and controls; identifying and mitigating potential areas of compliance vulnerability and risk, developing and implementing corrective action plans for resolution of problematic issues, providing guidance to business leaders and compliance staff on how to Read more […]
HEDGE FUND ATTORNEY
Our client is a well established institutional financial firm who is in need of an attorney to support their hedge fund and institutional business. The indivdual in this position will work with the General Counsel and be responsible for all contract negotiations with their clients and third parties. The position also involves managing any types of regulatory inquiries from a legal perspective, working with their compliance group. Qualified candidate must have a JD with at least 3+ years experience in a hedge fund or asset management firm or an investment bank where they were responsible for Read more […]
Bloomberg Vault Senior Sales Representative Job
Bloomberg Vault Senior Sales RepresentativeJob Requisition Number: 36763United StatesNew York – USAThe GroupSince the launch in 2010, Bloomberg Vault has been adopted by more than 550 enterprises, managing petabytes of enterprise communications, social media, voice, mobile, and file-based data – letting clients reduce both regulatory risk and operational overhead. As a reflection of the rapid market adoption, Gartner Research recently ranked Bloomberg Vault as a challenger in the 2012 Enterprise Information Archiving `Magic Quadrant. Bloomberg Vault is part of Bloomberg Enterprise Solutions that Read more […]
Vice President
This is a highly visible role with responsibility for liaising on regulatory issues across the bank’s infrastructure and with external regulatory bodies on any related inquiries. The position entails regular interaction with senior management, compliance, regulatory finance and treasury teams. The VP will be responsible for ensuring all reports and presentations for both senior management in market risk and for US regulators are prepared properly and in a timely matter. They will ensure the team is kept up to date with new regulation and analysis and how it impacts credit risk exposure for the Read more […]
Infrastructure Transactional/Private Funds Attorney
Position Description Looking for a lawyer with 7-10 years of experience to provide transactional and fund support to private investment funds, primarily one investing in infrastructure assets and potentially other similar funds. The lawyer should have experience either directly with infrastructure investing or otherwise with MA and/or project finance transactions. The lawyer would assist an investment team and coordinate with outside counsel through investment and divestiture processes. In addition, the lawyer would be responsible for advising the fund on legal issues relating to fundraising Read more […]
Senior Consumer Compliance Specialist
Position Description General Job Description: Morgan Stanley seeks a Senior Compliance Coverage Specialist to help support the High Net Worth Banking/Lending Compliance Lead’s oversight and administration of the following regulatory and fair lending compliance activities associated with the Morgan Stanley US Banks’ lending products and services: (i) project fulfillment; (ii) monitoring and testing; (iii) advertising, marketing and training material reviews; (iv) fair lending activity coordination; and (iv) advice and guidance.Job responsibilities:• Review business requirement documents, functional Read more […]
VP
Position Description The VP – AML Officer will work with the ISG Americas AML management team and focus on strategic projects and process improvements, as well as assist in managing the daily operations of the ISG team in the Americas. The role will also act as the central liaison for ISG Americas in dealing with other regional AML teams, as well as interactions with Operations, IT and business support functions. Skills Required – Previous minimum 5 years of AML Compliance experience in a Securities Broker-Dealer required. – Excellent organizational and process management skills – Extensive experience Read more […]
ISG AML Coverage Manager
Position Description Major investment bank seeks AML Group Coverage Manager specializing in institutional securities group AML compliance. The role serves as the Head of AML Compliance for the institutional securities group (e.g., sales and trading, fixed income/institutional equities, prime brokerage, investment banking and capital markets, etc). Responsibilities include: development and oversight of internal and business facing AML-related policies and procedures; ongoing analysis of new AML laws, rules and regulations; providing advice and guidance to the business on its AML obligations; oversight Read more […]
Regulatory Exams Professional
Position Description Manage and coordinate all aspects of regulatory examinations by SEC, FINRA, state regulators, and other exchanges. Responsibilities include responding to requests for documents and information; communicating with regulators regarding document requests, areas of review, and potential findings; identifying and analyzing potential findings; communicating with senior management in LCD, business, and risk regarding exam status, potential findings, and remediation; and drafting formal responses to findings. Skills Required 3 – 5 years of experience handling regulatory examinationsExperience Read more […]
Director/Manager in Financial Holding Co. Monitoring and Testing
Position Description The Morgan Stanley Financial Holding Company Monitoring and Testing Legal and Compliance Group is responsible for planning, executing and reporting/escalating of regulatory, adhoc and enterprise wide compliance-based reviews covering various businesses such as Investment Management, Wealth Management, Institutional Securities, Global Political Activities Group, Human Resources and Operations. These reviews focused on evaluating controls and compliance with rules, regulations and Firm policies and procedures. Responsibilities include:• Assist in the development of risk based Read more […]