Chief Compliance Officer
Chief Compliance Officer Our client’s mission is to achieve investment management excellence through disciplined and innovative investment strategies. Building on extensive experience in varied and volatile economic and market environments, they believe these strategies, constantly updated and effectively employed, can potentially reduce risk and achieve strong results. From research into the past, to the realities of the present and the prospects for the future, analysis is the centerpiece of their time-tested investment practice. The Chief Compliance Officer communicates regularly with Read more […]
Private Equity Compliance Associate
Key Responsibilities will include:? Assist in monitoring large equity positions (including convertible debt positions) of publicly traded issuers? Assist in removing names from the Restricted List (discuss authority to modify restrictions and clear trades)? Assist in adding names to the BX Approved List? Assist with Cross Trade/Principal Trade issues? Assist with documentation and resolution of trade errors/Investment Restrictions breaches? Attend all Hedge Fund Meetings? Respond to inquiries regarding Restricted List entrieso Clarifications on notes/commentso Section 13, 16 and Form 144 filings? Read more […]
AML Consultant
Our client, a large Broker dealer and RIA is currently looking for an AML consultant with 5+ years experience on a contract basis for it’s San Diego office, the position is an initial 3 month contract but there is a strong likelihood of extension. . Responsibilities of the role include:Offering advice on AML and Fraud regulation.Conducting investigations as designated by senior managementServe as a go-to resource for peers and junior staffServe as go-to resource for advisorsPrepare draft reports to senior Compliance managementPerform other duties as assignedThe client can only accept 1099 contractors Read more […]
VP, Branch Admin Manager
Department OverviewBarclays is a major global financial services provider engaged in personal banking, credit cards, corporate and investment banking, and wealth and investment management. With over 300 years of history and expertise in banking, Barclays moves, lends, invests and protects money for customers and clients worldwide. As a leading global wealth and investment manager, Barclays provides international and private banking, wealth planning, trust and fiduciary services, investment management, brokerage services and research to private and intermediary clients across the world. Additionally Read more […]
Senior Compliance Associate
Candidate MUST: -Have extensive compliance experience within a registered investment advisor, with a very strong understanding of the act of 1940 -Have strong experience filing monthly, quarerly and annual compliance reports -Have experience with general trading/asset management compliance. -Be a driven, self-starter Compensation will be very competitive
Director of Compliance
The individual will also have opportunities for professional development.ResponsibilitiesThe Director of Compliance will report to the COO. The individual will work closely with the COO, Partners, and other Senior Management to assist with a variety of tasks including, but not limited to:Developing and Managing the compliance program and business proceduresUpdating the firm’s compliance manual, systems and control documents on an ongoing basisLiaising with affiliates on broad compliance policy issuesKeeping abreast and informing the overall team of applicable regulatory changesProviding guidance Read more […]
Senior Equities Compliance Officer
This market leading global investment bank requires a senior equities compliance officer to lead compliance advisory across the Equities Division. The role will be responsible for guidance and training to the business in order to satisfy all internal and external regulatory requirements.The role will have interaction with the broader markets and investment banking compliance teams, so a broad skillset and IB background is welcomed.Duties will entail -Compliance advisory to the Equities business to avoid breaches of relevant internal and external regulationsMonitoring of Equities trading activities, Read more […]
Counsel – Regulatory Practice & Policy
FINRA is seeking a well-qualified individual for our Counsel opening in Washington, DC. To be considered for this position, please submit your resume through our career site at www.finra.org/careers – no phone calls, please. Job Summary: Render legal advice and support in connection with the complete life cycle of the adoption of new regulatory initiatives, and serve as subject matter resource in one or more areas of legal expertise. This is senior-level professional work in which incumbents are defining their assigned roles, increasing their skills, and working under general guidance. Essential Read more […]
Financial Operations Examiner – Member Regulation, ROOR
Conducts on-site examinations and assesses Floor member and member organization’s financial and operational condition and compliance with securities rules and regulations. Essential Job Functions: Examine and analyze financial, operational and sales practice compliance of Floor members and member organizations.Reviews trading floor activities of member firms to ensure compliance with SRO and SEC rules and regulations.Examines members and member organization books and records to verify that their activities are in compliance with applicable rules and regulations.Reviews member firms financial Read more […]
Manager, Internal Audit
Reporting directly into the head of internal audit you will be required to establish and maintain effective relationships with the senior management panel. In accordance with the IA methodology you will be required to lead and participate in assignments offering subject matter expert guidance in order to implement agreed improvements across the business units. In addition you will need to manage the performance and professional development of your team members In order to apply for this role it is essential that you have a proven track record as an audit manager within retail banking/ sales Read more […]