Head of Compliance
Job Function SummaryThe successful candidate will have a significant regulatory background in the European markets.The candidate will have a strong grasp of rules and regulations, and compliance processes and systemsKey ResponsibilitiesOversee compliance for EuropeFormulate local policies and procedures, and coordinate global compliance initiatives.Responsible for overseeing local regulatory filings and interaction with regulators.Advise senior management on regulatory changes across EuropeManage compliance staff in LondonSignificant interaction with all facets of the firm’s trading and back-office Read more […]
Banking – Senior Litigation Lawyer (6
Leading investment bank in Hong Kong seeks a senior litigator or regulatory lawyer to join its busy APAC legal team.The responsibilities of the position cover contentious and regulator advice including managing litigation cases, providing pre-litigation advice and leading investigations by regulators across Asia.The successful candidate will take on high level of autonomy and responsibility in this position.Applicants require experience with financial disputes and/or regulatory investigations in the Asia region ideally within a major financial institution or leading private practise law firms who Read more […]
Banking – Hedge Fund (4
Global investment management firm invites applicants for a legal counsel position supporting its North Asia operations. The role will be varied covering all areas of its business including but not limited to advising on legal and regulatory issues associated with the hedge fund sector and drafting and negotiating various fund related legal documentation including placement agreements, brokerage agreements and general commercial agreements such as IT and NDA agreements.Lawyers with experience advising hedge funds on equities and prime brokerage law and documentation are encouraged to apply.For an Read more […]
AVP, Anti-Money Laundering Compliance Analyst
• Compliance with policies, procedures and US regulations for the Correspondent Banking and Corporate Banking line of business in relation to AML surveillance. • The Bank meets its statutory obligations for reporting suspicious activity. • This will involve investigation of suspicious activity from alerts generated by surveillance systems with SAR reporting as appropriate. RESPONSIBILITIES • Conduct initial analysis and assessment of alerts generated from Mantas using internal/external research tools. • Accurately document rationale for case closure or escalation as appropriate. • Read more […]
Perl Developer
If interested and highly qualified, please call Matt at 212-244-4220 or email resumes to mkonikowski@futuresgroupit.comElite Investment Bank is seeking a Perl Developer with strong Sybase experience to design and develop applications for the firms Dodd-Frank group. You will be responsible for delivering highly visible strategic solutions and manage all aspects of project lifecycle. If you have experience working with large data sets and efficiently managing data flows on various systems, then this is the opportunity for you.Responsibilities include, but are not limited to:·Design and develop Read more […]
VP, Anti-Money Laundering Compliance, Transaction Monitoring
The Anti-Money Laundering Analyst will assist in investigation of electronic funds transfers and other types of monetary instruments for money laundering, terrorist financing and/or other illegal activities; write suspicious activity reports for filing to the United States Department of the Treasury Financial Crimes Enforcement Network; and execute deep-dive reviews of transaction activity conducted through foreign correspondent bank accounts designated as high risk. Qualifications ? BS/BA required. ? Experience in transaction monitoring, preferably for a correspondent bank; experience in transaction Read more […]
EMEA BCM Manager London
Applicable Experiences in Financial and/or Financial Services Required Omgeo provides back office trading platforms and solutions to the funancial services industry The Role:Planning and TestingOversee the management of business continuity plans for each function of the EMEA region within Omgeo ensuring:Semi-annual updates within business continuity online tool Senior Management approval of plansTesting – alternate site and supporting documentationSuccessful completion of itemized tasks managed by online tool Program AdministrationManage EMEA BCM client due diligence by answering client Read more […]
Investment Compliance
They seek an experienced Investment Compliance professional to support Portfolio Managers and the Investment Compliance Manager across a range of products – predominantly Equity and Fixed Income with the implementation of guideline information for new accounts.Key requirements:Strong academics, bachelors degree minimumSolid background at a well established buy side firmPre/post trade compliance monitoring experienceA critical role within a successful and growing organization. They have a sterling reputation within the industry and promote professional qualifications and development.Mason Blake Read more […]
Head of Strategy for Regulation
This role is to have an in depth yet commercial understanding of global regulation and how it will effect to global business.• Head the regulatory strategy – what will impact the business and set a plan of action • Product – work with the heads of product to ensure they are aware of changing regulation and you have provided and implemented a plan • Programme Management skills to implement strategy across the business units • How regulation will effect this parties and what need to be implemented to ensure best practice across the businessThis is a high profile commercial Read more […]
Regulatory Compliance (Consumer Compliance/AML/Broker Dealer/Asset Mgmt) Mgrs and Sr. Mgrs needed for Global Advisory Firm
Financial Services Office- Regulatory Compliance Managers/Sr. Mgrs We currently are seeking highly motivated Managers and Sr. Mgrs to manage client engagement teams, work with a wide variety of clients to deliver professional services, and lead business development activities on strategic and global priority accounts. Our client’s Financial Services Risk Management (FSRM) practice focuses on financial services risk management, trading, regulatory, quantitative, technology, operations and accounting backgrounds. The breadth of experiences of FSRM professionals enable the practice to Read more […]