Regulatory Services Consultant
The Regulatory Services Consultant is responsible for: preparing and negotiating the service agreements, and any ancillary documentation necessary for Putnam to contract with a client; implementing amendments; performing comprehensive reviews of plan documents for legal/operational issues and assisting clients to move to the Putnam Prototype documents; consulting with internal and external clients regarding best practice plan design; assist with assessment of certain error correction methodology. Acts as consultant and technical resource in working closely with sales, marketing, relationship Read more […]
Fraud Surveillance/AML Specialist
PEAK6 Investments, established in 1997, is a leading financial institution in Chicago with a demonstrated track record of success in proprietary trading. Specializing in inventory and risk management, PEAK6 Investments employs state of the art technology and proprietary tools and is thoroughly committed to building the next generation of automated trading systems and businesses. PEAK6 is constantly expanding its commercial focus to include leading-edge initiatives in the hedge fund, online media, retail options brokerage and institutional trading segments.Voted Chicago’s Best and Brightest Employers Read more […]
COMPLIANCE SPECIALIST
Our clients include corporations, pension plans, insurance companies, foundations, endowments, central banks, official institutions and mutual fund advisors. In the U.S. we have offices in Boston, Chicago, New Jersey and New York. We have an excellent career opportunity for a Compliance Specialist with Finance or Accounting experience in our New York City office. This individual will be responsible for assisting the Chief Compliance Officer in various regulatory compliance and operational risk matters. This is a mid-level role requiring full participation in maintaining, updating, developing Read more […]
Regulatory Coordinator – Member Regulation, Sales Practice
Regulatory Coordinators monitor and evaluate the financial and operational and sales practice condition of member firms through continuous communication with member firm management and the review and analysis of regulatory filings and other data obtained from member firms. This position requires frequent contact and interaction with management of assigned member firms. Essential Job Functions: Review and analyze financial reports and other relevant data to ensure compliance with FINRA and SEC rules and regulations. Understand the regulatory risks of the products offered by and business activities Read more […]
Compliance Manager – Fund Manager – $120
This market leading Fund Management firm requires a Compliance Manager to join their existing compliance team. The role will involve providing advice and guideance to the business and associated entities in order to satisfy all external regulatory obligations and client contractual requirements.Duties will entail -To consider the implications of client contractual, legislative and regulatory requirements on the operation of the funds management business and undertake compliance monitoring procedures as necessary in the fulfilment of these compliance requirementsEnsuring that all boutique funds Read more […]
ERI Project Mgr Job
ERI Project Mgr (Job Number: 1310860)BNY Mellon is a global investments company dedicated to helping its clients manage and service their financial assets throughout the investment lifecycle. Whether providing financial services for institutions, corporations or individual investors, BNY Mellon delivers informed investment management and investment services in 36 countries and more than 100 markets. BNY Mellon can act as a single point of contact for clients looking to create, trade, hold, manage, service, distribute or restructure investments. Additional information is available at www.bnymellon.com.Risk Read more […]
OPS Workflow Coor
OPS Workflow Coor – UIT (Job Number: 1311773)DescriptionPosition may be responsible assisting with the supervision of the daily operation for one or more of the following: Option changes, unitholder redemption requests, transfers, maturity processing, account maintenance requests, and/or the review of all these types of transactions. May also be responsible for inputting all money movement transactions received for the UIT and ETF division, which includes processing wire instructions for input and release. May also include processing of all incoming and outgoing mail within timeframes, resolving Read more […]
CAAG Reconciliation Analyst Job
CAAG Reconciliation Analyst (Job Number: 1311914)BNY Mellon is a global investments company dedicated to helping its clients manage and service their financial assets throughout the investment lifecycle. Whether providing financial services for institutions, corporations or individual investors, BNY Mellon delivers informed investment management and investment services in 36 countries and more than 100 markets. BNY Mellon can act as a single point of contact for clients looking to create, trade, hold, manage, service, distribute or restructure investments. Additional information is available at Read more […]
UIT Adm Custody Admin Job
UIT Adm Custody Admin (Job Number: 1307010)BNY Mellon is a global investments company dedicated to helping its clients manage and service their financial assets throughout the investment lifecycle. Whether providing financial services for institutions, corporations or individual investors, BNY Mellon delivers informed investment management and investment services in 36 countries and more than 100 markets. BNY Mellon can act as a single point of contact for clients looking to create, trade, hold, manage, service, distribute or restructure investments. Additional information is available at www.bnymellon.com.BNY Read more […]
Quantitative Policy and Market Analysis Associate
Overview: The Markets Group of the Federal Reserve Bank of New York implements monetary policy on behalf of the Federal Reserve System and acts as fiscal agent for the U.S. Treasury. The Portfolio Analytics (PA) staff within the Markets Group focuses on portfolio analysis as it relates to monetary policy functions and risk analytics. PA is currently seeking a Quantitative Policy and Market Analysis Associate/Senior Associate to contribute to analysis of the SOMA holdings and related policy matters with a focus on agency mortgage-backed securities. The ideal candidate has strong programming and Read more […]