Transfer Agency, Compliance Manager
Our CompanyState Street Corporation (NYSE: STT) is the world’s leading provider of financial services to institutional investors including investment servicing, investment management and investment research and trading. With $24.37 trillion in assets under custody and administration and $2.09 trillion in assets under management at December 31, 2012, State Street operates in 29 countries and more than 100 geographic markets and employs 29,660 worldwide. For more information, visit State Street’s website at www.statestreet.com.Promoting a culture of excellenceWith more than 29,660 employees across Read more […]
Institutional Bank Compliance Lead
Position Category: Legal/CompliancePosition Title: Institutional Bank Compliance LeadJob Level: Vice PresidentLocation: USA – NY – New YorkEducation Required: Bachelors DegreePosition Description:Morgan Stanley seeks a senior level compliance officer to lead compliance coverage for institutional lending and capital market activities, as well as provide lead coverage for Transaction with Affiliates (Reg W), Insider Lending (Reg O) and Anti-Tying regulations in Morgan Stanley’s U.S. banking entities.Skills Required:Job responsibilities:• Providing advice and guidance to institutional lending and Read more […]
Investment Adviser Compliance Analyst
To satisfy the needs of our growing client base, Hamilton Lane is looking to hire a Compliance Analyst. The candidate should have an interest in learning the daily compliance functions of an SEC-registered investment adviser. This position will report to our Director of Compliance.Primary Responsibilities: • Track Code of Ethics reviews and certifications using online system. • Creating, testing and revising procedures. • Researching verifying performance analysis. • Assist in preparing regulatory reporting, foreign licensing and application filings. • Assist in preparing for Read more […]
Compliance Officer | Fund | CF10/CF11
Compliance Officer | Fund | CF10/CF11 My client, a small and growing fund based in London, are currently seeking a compliance officer to join their team. Responsibilities include: *Managing regulatory relationships with the FSA, BaFin, NFA SEC *Become a CF10/CF11 under the FSA regime *Keeping up to date with global regulatory developments and updating internal policies and procedures from time to time *Providing periodic compliance reports to Regulatory Bodies and relevant Boards *Implementation and on-going enhancement of the compliance monitoring programme. *Providing accurate and timely Read more […]
Central Compliance Manager / AVP
This is to work with them on a contract basis providing support across individual employee compliance matters such as Personal Account Dealing (PA dealing), outside business interests (OBIs) and the giving and receiving of gifts and entertainment (GE) in the following areas:Helping to evaluate the impact of new financial regulations on central complianceOversee the surveillance/monitoring of central compliance to identify non-complianceAssist with policy review and process improvements for central complianceOwn the maintenance of the policies and procedures for central complianceBuild relationships Read more […]
Legal Documentation, Investment Management
High calibre individual with a strong legal background/qualification and practical experience of the investment management industry sought by this leading global house.The role is legally focussed and will concentrate on the drafting and negotiation of Investment Management Agreements and other client contractual documentation. This will involve working closely with client relationship, operations, risk and compliance teams to ensure adherence to all relevant regulation and legislation, management of new client take-on, managing process flows and controlling all client data, whilst ensuring the Read more […]
Quality, Training and Compliance Manager
A well established Asset Management firm is looking for a Quality Training and Compliance Manager with previous experience in monitoring, regulatory advice as well as TCF.The role holder will have previous exposure with TC regulatory framework and will provide support and advise to the Investment team, enhancing a compliance internal culture assisting in the monitoring activity, providing detailed compliance reporting of customer interactions.The role holder will have previous experience in TC regulatory frameworks as well as compliance monitoring and measurement and reporting experience.The candidate Read more […]
Senior Counsel
Description:* General Legal Support Senior Counsel will be responsible for general legal support for the firm’s operations, including attention to confidentiality and non disclosure agreements, leases, contracts for services, and working with the HR team on personnel and employment matters, etc.* Secretarial Functions Senior Counsel will assist with the establishment and maintenance of the current valid existence of all Fund entities, all corporate entities, and all other entities established by the firm. In addition, when requested, Senior Counsel will be responsible for all meeting minutes.* Read more […]
Senior Counsel
Description:* General Legal Support Senior Counsel will be responsible for general legal support for the firm’s operations, including attention to confidentiality and non disclosure agreements, leases, contracts for services, and working with the HR team on personnel and employment matters, etc.* Secretarial Functions Senior Counsel will assist with the establishment and maintenance of the current valid existence of all Fund entities, all corporate entities, and all other entities established by the firm. In addition, when requested, Senior Counsel will be responsible for all meeting minutes.* Read more […]
Chief Compliance Officer
This is a wonderful opportunity for an experienced Bank Regulatory Compliance professional for oversight of federal and state requirements for the branch and its various entities. You will be responsible for the ongoing development, implementation and management of the compliance program. You will oversee a small team.Responsibilities include: * Supporting the development of, and monitors, the regulatory/ compliance risk profile of NY branch * Ensuring compliance with the Anti-Money Laundering Laws and OFAC regulations for the U.S. * Oversee all regulatory matters and coordinates with global Read more […]