Futures Compliance Officer
Position Description Provide compliance coverage across multiple businesses for futures and cleared OTC derivatives activity. Conduct regulatory training. Interact and manage relationships with regulatory agencies. Create, implement and maintain policies and procedures. Provide oversight, strategic direction and compliance monitoring for exchange based and cleared activity. Assist with regulatory exams and investigations. Oversee completion and submission of multiple exchange membership applications. Provide front and back office guidance on compliance and regulatory requirements on a wide range Read more […]
Wealth Management Compliance Surveillance Analyst
Position Description The Wealth Management Regional Surveillance Analyst performs oversight of the Firm’s retail business. This is accomplished through the review of specialized exception reports, alerts, and reviews of branches’ actions on certain issues. The Regional Surveillance Analysts are responsible for the surveillance and oversight of: Mutual Funds, Options, Insurance Products, Structured Investments, Active Accounts and FA trending. Skills Required Bachelors Degree 1-3 years relevant work experience Possess a basic understanding of the financial services industry Strong interpersonal Read more […]
Mktg Support Services Delivery Manager Job
Mktg Support Services Delivery Manager (Job Number: 1308367)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 Read more […]
Snr Financial Analyst Pricing Job
Snr Financial Analyst Pricing (Job Number: 1306374)DescriptionThe Pricing Team is responsible for producing financial analysis to strict deadlines for all existing and potential clients of BNY Mellon EMEA Asset Servicing, plus all new services for existing clients. The products covered are the full suite of global Asset Servicing products, including: Custody, Investment Accounting, Performance and Risk Analytics, Fund Accounting, Transfer Agency, Marketing Support Services, Trustee / Depotbank / Depositary, KAG Services, Derivatives 360 and Middle Office.The role also involves working closely with Read more […]
Chief Compliance Officer Investment Advisor (CCO IA)
AIG Life Retirement has an opportunity for an Investment Adviser Chief Compliance Officer in Atlanta, GA. The high-performing professionals we serve rely on the resources we offer as a part of one of America’s largest networks of independent financial advisers. Our customer-driven approach is focused on meeting the unique demands of businesses. Performance objectives in this position are as follows:* Responsible for compliance with SEC rule 206(4)-7 of the Investment Advisers Act of 1940, FINRA rules, state securities laws, and related securities/ERISA/insurance regulations for all Corporate Registered Read more […]
Risk/ Compliance Manager
Our client urgently requires an experienced Risk/ Compliance Manager with a background in Commercial Banking advantageous. Key Responsibilities Include:- Working closely with Unit Heads and key Stakeholders across all sectors of the organisation with regard to Risk and Compliance matters Ongoing surveillance and monitoring of the the Risk Management Framework ensuring it complies with internal policies and regulation Continuous improvement and testing of Internal Controls while maintaining open communication channels to Senior Management Working with local regulators and overseas offices to manage Read more […]
Project Manager – Compliance – Operations
Alexander Ash is acting as an agency for the purpose of this advert. Please also view our website for other similar opportunities; http://www.alexanderash.com/banking-jobs.php Exposure and good understand of BPM, Lean and Six Sigma methodologies Core deliverables of the project include building a dedicated process improvement function in Compliance Operations consisting of analysis, project delivery and cultural components. Travel to Mexico 1 week per month Please send your CV to maria.vavoulas@alexanderash.com Read more […]
Senior Regulatory Compliance Manager
Our client, a Global Financial Institution is looking for a Senior Regulatory Compliance Manager to provide guidance and advice on all aspects of regulatory compliance across their businesses globally. The individual would help to develop and maintain regulatory standards to enhance and protect the reputation of the firm. Duties include: Manage Global Risk and Regulatory Compliance teams regarding upstream regulatory risk. Responsible for ensuring the effective and timely implementation of new regulatory requirements across the global function. Develop an appropriate policy and framework to manage Read more […]
Senior Legal Manager
Harvey Nash is working on a superb In-House Legal opportunity for a leading Financial Services company based in Edinburgh. Our client is seeking a Senior Legal Manager to join the business where you and your team will focus on providing commercial regulatory advice to all product areas across the business. This is a senior role that will allow you exceptional exposure across the organisation. As a Senior Legal Manager, you and your team will provide risk-based, focussed and commercial regulatory legal advice. You will act as an internal advisor in the business who is able to identify regulatory Read more […]
Project Manager – Law Firm / Legal IT
Project Manager – Law Firm / Legal IT – Documentation Management System (DMS) My client, a leading Investment Bank, requires an experienced Project Manager with a track record in Documentation Management system’s (DMS) project delivery.The ideal candidate will have solid experience working within the ‘Magic Circle’ of law firms, preferably with exposure to one or more of the following Documentation management systems;- Hummingbird / OpenText- Worksite / Filesite ( iManage Suite)- Elite / LaserFinche- Documentum / SharepointWe are looking for an astute and well presented Project Manager with strong Read more […]