Compliance Officer
The Company: J.P. Morgan is a leading global financial services firm with assets over $2.1 trillion and operations in more than 60 countries. The firm is a leader in investment banking , financial services for consumers, small business and commercial banking, financial transaction processing, asset management and private equity. Information about J.P. Morgan is available at www.jpmorganchase.com The Department: The global Compliance Department provides a broad range of regulatory and compliance services and advices. This includes regulatory interpretation and analysis, advising on the interpretation Read more […]
EMEA Compliance – Global Financial Crimes – Compliance Officer
EMEA Compliance – Global Financial Crimes – Compliance Officer – VP Description The Role The Europe, Middle East Africa (EMEA) Financial Crimes team is responsible for Anti Money Laundering (AML) monitoring, providing advice for KYC requirements and sanctions screening for all EMEA booked activity across the Corporate Investment Bank (CIB) businesses. The team’s role is part of the financial crime objective to: · Identify suspicious activity and report to law enforcement · Prevent clients being on boarded or being maintained that create money laundering or reputational risk to JPMC · Read more […]
Legal Assistant, Senior Associate
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 $25.74 trillion in assets under custody and administration and $2.15 trillion in assets under management as of June 30, 2013, State Street operates globally in more than 100 geographic markets and employs 29,225 worldwide. For more information, visit State Street’s website at www.statestreet.com.Promoting a culture of excellenceWith more than 29,225 employees across 29 countries, Read more […]
Regulatory Paralegal
Job ID: 13930Position Description: ESSENTIAL DUTIES AND RESPONSIBILITES • Assist in preparing regulatory filings, including fund registration statements, prospectuses, Statement of Additional Information for PIMCO’s proprietary ’40 Act Funds.• Prepare and draft statutory prospectuses and summary prospectuses using a content management system.• Coordinate responses to various information requests, including regulatory and client requests. • Work with account management to produce responses to sub-advised 15(c) due diligence questionnaires.• Production of documents related to account openings Read more […]
Director of OFAC / FCPA Sanctions & Anti-Corruption for Leading Financial Institution | USA
Director of OFAC / FCPA Sanctions Anti-Corruption for Leading Financial Institution | USA Description A leading financial institution is looking to add a Director into their central compliance function focussing on the OFAC / FCPA sanctions and anti-corruption space. The role will report directly into the Managing Director heading the group as well as the Global CCO. The roles responsibilities will include:Managing a team of sanctions analysts and ensuring their development and training Serve as bank’s subject matter expert and central point of contact for OFAC / FCPA operations and policy. Read more […]
Senior Strategic Analyst, Global Banking Regulatory Affairs
Are you expert in regulatory affairs, policy economics in Global Banking? TFPL are looking for a specialist in Banking Financial Markets to take charge of a team with a particular remit to consider the future of banking and capital markets. This is to advise our client in the light of rapid change in the geo-political and regulatory landscape. You will be principally involved in analysing and interpreting the likely evolution of the competitive landscape. This will include likely changes within major financial institutions in response to required compliance, and analysing shifting attitudes towards Read more […]
Knowledge Manager, Financial Institutions
A Knowledge Manager with a genuine interest in Financial Institutions is required to improve the uptake for a specialist consulting team covering financial institutions of all types, banks, capital markets and insurers, related risk and regulation, and trends and developments in the Financial Services market segment. The post will be based in New York City, and will be a highly visible role where success will be clear for all to see. You will enjoy the support of an established global team, enabling you to deliver exactly the right mix of alerts, sharing forums, thought leadership and social Read more […]
In-House Legal Counsel
Primary Purpose of Role: Responsible for advising on a range of legal issues affecting the following business areas, ultra high net worth clients, derivatives, foreign exchange and private investments. Provide back up to the General Counsel with regard to discretionary and advisory investment management and financial advisory business and other general corporate issues. Behaviours, Actions and Responsibilities: Achieving Results: Negotiate, draft, vet and interpret legal documents, agreements. Analyse and provide advice on cross border legal issues such as customer solicitation, provision of investment Read more […]
MLRO – Global Wealth Manager
MLRO – Wealth Asset Manager – London An opportunity has arisen for an MLRO at a leading global wealth and asset manager that provides International private banking, wealth planning, trust and fiduciary services, investment management, brokerage services and research to private and intermediary clients across the world. Responsibilities will include:Providing leadership to the business on all matters relevant to financial crime prevention across jurisdictions, including escalating significant matters promptly, providing additional information, analysing and interpreting legal, regulatory and internal Read more […]
Director, Regulatory Affairs
Director Regulatory Affairs – FS Firm – London A top financial service firm inLondonis seeking a Director of Regulatory Affairs to focus onUK, EU US regulations such as Dodd Frank and Emir. Reporting to the Managing Director within Group, this is an exciting opportunity to manage senior relationships with the regulators, manage the development of regulatory policy, respond to supervisory initiatives and change; and brief and prepare senior management for senior level engagement with regulators.Responsibilities:Provide expert advice on the regulatory implications of specific regulatory changes Read more […]