VP, Product Compliance Officer
FUNCTION: The Compliance team is responsible for advising a broad network of branch offices, as well as the different functional units within the firm. The Compliance team works closely with management, sales, trading, operations, technology and other areas to help ensure that the high net worth and advisory businesses comply with Firm policies and procedures as well as the requirements of regulatory authorities, including but not limited to the SEC, FINRA, MSRB and state securities regulators. RESPONSIBILITIES: Provide compliance and regulatory advice regarding the development Read more […]
Compliance Officer
Compliance Officer – Investment Management The Role:· Review and assess the quality of advice given· Provide file review reports and communicate findings· Compliance contact for advisers in the business· Speak concisely, effectively and coherently to all internal clients and external contact· Policy review and amendment.· Assist with development off the treating customers fairly programme.· Staff training and presentation· Build effective working relationships Read more […]
FIU Investigator
The AML Investigator is responsible for reviewing AML alerts for potentially suspicious activity while conducting due diligence through various sources, both internal and external, documenting investigations and its results, and providing initial recommendations and dispositions with supporting reasons. The investigator is responsible for all alerts from beginning to end of the review, which may include presenting the recommendation to the SAR Committee and preparing SARs, while ensuring that the entire process is handled in a timely manner. The investigator is expected to become knowledgeable Read more […]
VP
One of the world’s leading providers of financial services to institutional investors is seeking a VP for Compliance Risk Oversight and Testing. This person will manage a global team of compliance professionals responsible for the execution of the regulatory risk assessment, the controls and testing program, and managing the firm’s relationship with regulators. This position reports to the Global Chief Compliance Officer.Primary responsibilities include: Manage a global team of compliance professionals responsible for the execution of the regulatory risk assessment, as well as the controls and Read more […]
Program Mgr III
Program Mgr III – (Job Number: 1310957)DescriptionThe job holder manages the planning, organizing and implementation of large complex strategic programs (highly visible initiatives crossing multiple disciplines, businesses, and/or organizations). S/he is responsible for the coordinated management of multiple related projects, and in many cases, ongoing operations which are directed toward a common objective. S/he works with constituent Project Managers (who are responsible to the Program Manager for the execution of their project and its impact on the program) to monitor cost, schedule, and technical Read more […]
Sr. Managing Counsel Job
Sr. Managing Counsel (Job Number: 1311769)DescriptionBNY Mellon is seeking a dynamic, highly experienced attorney with responsibility for the legal affairs our Wealth Management and Private Banking business. This role provides solution driven legal services to senior leaders within Wealth Management and Private Banking and additionally, manages the attorneys and legal personnel supporting these businesses. This position reports to the BNY Mellon Deputy General Counsel responsible for Investment Management and is part of the Investment Management Legal Team’s senior leadership. This role functions Read more […]
Accounting & Reporting Analyst Job
Accounting Reporting Analyst (Job Number: 1312122)DescriptionThe incumbent is responsible for the processing and support of complete, accurate, and timely valuation and financial statements for daily and monthly valued clients as well a the resolution of any problems that arise during the normal daily, weekly, or monthly valuation processes, and the communication of this information to all interested parties. S/He will be supporting a mix of large complex institutional client relationships requiring the understanding of all daily, weekly and monthly standard and customized client accounting and Read more […]
Fund Accountant II Job
Fund Accountant II (Job Number: 1311188)DescriptionTeam DescriptionResponsible for day to day pricing and administration of financial products including unit trusts, OEICS and Life Pension funds. Across Brentwood there are approximately 60 members of staff who are responsible for pricing and valuing funds for a number of clients, ultimately working towards finalising a daily NAV.Job Purpose:Responsible for the oversight and day to day pricing and administration of financial products including unit trusts, OEICS and Life Pension funds.Responsibilities:• Responsible for the day to day administration Read more […]
KYCS US Remediation Delivery Manager
Overall Accountabilities:Capacity Planning – coordinate and maintain ultimate ownership for preparation and updates of remediation capacity planning, particularly relative to the project demand side. Liaise with service center(s) regarding the staff supply sideProject setup and deployment – operationally drive preparatory activities necessary to get individual projects ready for deployment, including designing an engagement model, MI/reporting, coordination of necessary guidance, templates, training, process flows and other related documentation and activitiesExercise effective oversight over Read more […]
Senior Unix Systems Administrator – £340 per day
Senior Unix Systems Administrator – £340 per day – London 3 month contract – Leading Global Law Firm This organisation are a global leading law firm who currently have a new 3 month contract opening for a Senior Unix Systems Administrator in London . As an organisation they hold a world-wide first class reputation and invest heavily in their staff. IT is a critical function within this company and so they are able to implement and take advantage of the latest cutting edge technologies.You will be working in an intimate team responsible for the operation and support of all Unix based systems gobally.Skills Read more […]