Vice President, Compliance Officer, Boston, MA
Vice President, Compliance Officer, Boston, MAThe compliance group is responsible for establishing and overseeing the compliance methodology for the Business-aligned Compliance teams, generating compliance reports, managing projects across the Business-aligned Compliance teams and performing centralized testing for certain regulatory controls. Manage oversight reviews to evaluate various aspects of the Business-aligned compliance oversight programs.Review controls and documentation completed by the Compliance teams to ensure they conform with the methodology.Produce and present training materials Read more […]
Front Office Advisory
We are currently looking for a senior risk advisory candidate to advise on all aspects of its Fixed Income, Currencies and Commodities (FICC) business lines globally. Your main responsibilities will be: Advising the FICC Sales and Distribution desks, providing cover for wider trading and structuring desks when required.Working on projects with the business, providing regulatory input.Guiding the business on the regulatory rules and changes relating to business proposals plans.Developing close working relation ships with front office and other relevant infrastructure staff including legal, operations, Read more […]
Head of Compliance, Regulations & Risk required by Proprietary Trading client based in Chicago
The successful candidate will need to ensure the firm’s compliance with all SEC, FINRA, CFTC and other rules and regulations by providing necessary advice, training and risk assessment pertaining to all of the firm’s proprietary trading activities. The position is responsible for implementing a wide range of policies procedures regarding regulatory and compliance business activities. This position will work closely with CEO and the Senior Management. The ideal candidate will have experience in the following areas: • A background in electronic trading for domestic and international institutional Read more […]
In-house Legal Counsel
Macquarie Corporate and Asset Finance (CAF) provides innovative and traditional capital, finance and related services to clients operating in selected international markets. With offices in Australia, New Zealand, Asia, North America and Europe, Corporate and Asset Finance specialises in:Leasing and asset financeTailored debt and finance solutionsAsset remarketing, sourcing and tradingDue to ongoing growth of our corporate lending business a lawyer is sought to join the prudential team in London to assist with providing coverage across EMEA.You will be responsible for:integrated legal support to Read more […]
Regulatory Risk Lawyer
The Risk Management Group (RMG) is an independent, centralised unit responsible for assessing and monitoring risks across Macquarie. This includes market and liquidity risk, credit risk, compliance risk and operational risk. RMG personnel liaise closely with all operating areas to ensure risks are understood and properly managed.Due to ongoing growth of our business a regulatory lawyer is sought to join the regulatory risk team in London within Compliance to assist with providing coverage across EMEA.You will be responsible for:integrated regulatory support to Macquarie’s business divisions across Read more […]
AML Sanctions Compliance Manager
A rare opportunity for someone to join a leading Domestic bank in an exciting, engaging and varied Compliance role. This senior role, offers the chance to join a reputable global bank in a highly coveted position. The successful candidate must have exposure to Global Sanctions, AML and an in-depth understanding of regulatory Compliance within Banking. Main Responsibilities:The designing, implementing and embedding of Compliance frameworksOversight and direction of AMLSupporting the Merchant Portfolio on areas of key risks and framework weaknessesEngage and effectively communicate with management Read more […]
Director | Audit | Compliance and AML EMEA | Investment Banking
Director | Audit | Compliance and AML EMEA | Investment Banking My client, a leading Global Investment Bank are currently seeking a director level Audit professional to provide the internal audit organisation with regional management and leadership over risk based auditing and reporting methodologies. This positions reports directly into the Chief Auditor of Global Compliance and is responsible for the management of audit delivery for AML/BSA compliance and regulatory compliance audits covering institutional clients, consumer businesses, and the Compliance Unit, AML operations and control functions Read more […]
Technology Compliance Officer
Key responsibilities will include:We are seeking a versatile Compliance Officer who is experienced, intelligent, eager, personable, independent, assertive and able to work in a fast-paced, time-sensitive, stressful financial and technological environment. The position will report to the Deputy Chief Regulatory Officer/Chief Compliance Officer. The job responsibilities include the following: Providing compliance and regulatory advice to the Technology and Product Management areas of the firm; Testing and validating systems infrastructure for compliance with the exchanges’ rules and applicable Read more […]
Director, Risk Assessments & Testing
Evaluating and responding to new and changing federal, state, local and administrative regulations;Interacting with regulators and others in response to relevant inquiries and requests;Designing and implementing appropriate training and awareness materials for business areas;Monitoring and testing business areas for compliance with internal policies and procedures;Guiding business areas in the development of their procedures to comply with Firm policies;Evaluating compliance programs established by Firm and its subsidiaries;Providing guidance to senior management and other business unit Read more […]
Chief Risk Officer
We are a global financial services firm with activities in over 25 countries and 85 of the world’s securities exchanges. We offer a broad range of products and services to professional market participants.We have offices around the world, operating in Sydney since 1998; other main offices are located in Hong Kong, Singapore, Amsterdam and Chicago. The Chief Risk Officer (CRO) is a newly created role based in our Sydney office and will have responsibility for the Risk function in Japan, Singapore, Hong Kong and Australia. This role will sit on the Regional Management Team and report to our Read more […]