Project Manager
This role is in the Compliance Financial Crime Risk (FCR) IT team, within the HTS Global Banking Markets (GBM) IT department. The Compliance FCR IT team is based in HK, London, Paris, NY and Pune.The role will mainly support GBM Compliance, which in turn supports GBM business globally. This role will require direct interaction with senior Compliance and business stakeholders.The successful candidate will be responsible for the Market Abuse Surveillance (MAS) programme. The main objective of MAS is to provide centrailsed management of all GBM Compliance trade surveillance activities, globally. Read more […]
Experienced Corporate Investigator
Within this role you will be responsible for investigating allegations involving employees, third parties and vendors. You will also perform sales practice related investigations involving agents or brokers appointed to sell the firm’s financial services products. You will partner with local, state and federal law enforcement to file cases and pursue fraud perpetrators on behalf of the firm.You must possess:* BA or BS required.* At least 5 years investigative experience in a corporate fraud department or a regulatory compliance role. Prior experience working for FINRA preferred.* Must have Read more […]
Experienced KYC Analyst
KYC Analyst will be responsible for a specific number of portfolios each quarter to review and ensure the existing client meets all the current KYC and AML requirements, to include but not limited to:* OFAC/WorldCheck screening * Ensure the integrity of the information and documentation is correct and in good form * Review and adhere to SG Global KYC Policy AML/OFAC policies and procedure * Apply all CIP regulatory requirements to clients * Maintain a working relationship with the business line * Have the ability to use judgment when reviewing a client to ensure all issues and concerns are managed Read more […]
VP Bank Regulatory Compliance
Responsibilities:* Research, analyze and explain new/updated regulations affecting the firm and its’ functions. * Draft and develop various controls, procedures and policies to maintain compliance with all regulations. * Interact with various regulatory agencies – FDIC, FRB, etc. * Manage the Federal Reserve exam process including inquiries, follow-up, etc. * Status tracking and reporting of various issues. * Lead training events which will provide continuous education on up-to-date regulations.We are looking for an individual who can demonstrate a passion for compliance. In addition you will be Read more […]
VP Securities Compliance Officer
Within this role you would advise on including trade reporting, underwriting, Rule 10b-18 buy back programs, Reg. SHO, securities lending, best execution, mark-ups/mark-downs, testing and monitoring.You would be responsible for the following:Conduct surveillance of equity transactions for the market abuses and compliance with supervisory requirements.Advise on globally branded research issues including Rule 2711, Reg. AC, and developing appropriate disclosures and disclaimers.Advise on Rule 15a-6 and administer procedures controlling activities of foreign affiliates in the US.Advise on equity capitalmarket Read more […]
Senior Compliance Testing Officer
Our client is a well-established international financial institution and is investing resources in its Compliance Testing and Control function. You will be performing periodic testing reviews of the compliance control framework. The objective of these reviews is to ensure compliance with internal and external policies and procedures and with laws and regulations. Focus will be on control activities within and across the business lines, and in related support activities. Please contact us for more information.
Sales and Advertising Compliance Analyst
The Compliance Analyst will be responsible for assisting in the compliance reviews of mutual fund and SMA marketing material, coordinate and monitor FINRA filings, act as a liaison between marketing and legal/compliance, and ensure all regulatory comments are addressed. The qualified candidate will possess: * At least two years of of compliance experience * Strong knowledge of broker-dealer and investment advisor advertising rules * Excellent communication skills
Mutual Fund Attorney
As the Mutual Funds Attorney you will report into the Head Attorney of the Investment Group and be responsible for the following tasks:* Provide legal advice and support on issues relating to registered (open close-end) funds, index ETFs, model-based programs, and sub-advisory relationships with particular emphasis on contracts, distribution, product development, marketing, and sales practices. * Assist in preparation of materials for board meetings; attend board meetings and draft minutes. * Draft organizational documents, board actions, investment management agreements and service contracts. * Read more […]
Testing Compliance Officer
Within this role you would assist with the following acitivies: * Management and execution of compliance monitoring activities on a risk-assessed basis and escalating any exceptions and/or issues. * Ongoing development and implementation of a comprehensive compliance program. * Performance of the annual risk-assessment of laws and regulations in support of the compliance testing and monitoring framework. * Annual policies and procedures reviews and revisions and development of new policies and procedures, when applicable. * Monitoring of all regulatory changes, ensuring communication of new requirements, Read more […]
Structuring / Transaction Associate
Responsibilities: * Reviewing, marking-up and tracking the progress of confidentiality and non-disclosure agreements * Evaluating and providing a timely response to numerous different KYC requests related to both private investments and public investments * Working with the appropriate companies to form foreign and domestic entities as needed for new investments. Drafting and filing the applicable IRS tax forms and elections * Staying abreast of, and maintaining an understanding of new and existing US tax rules related to such forms and elections * Working with joint venture partners to get invoices Read more […]