Compliance Director, OTC Derivatives
Assist the Vice President, OTC Derivatives, in building a structure to enable the firm to carry out its regulatory programs for Swaps Members including: • Developing programs and procedures necessary to review swap dealer and major swap participant applicants’ compliance with requirements pursuant to Section 4s of the Commodity Exchange Act. • Developing programs and procedures necessary to conduct examinations of Swap Members. • Hiring and training staff. • Monitor the department’s progress in implementing the structure and programs for regulating the firm’s Swaps Members and ensure Read more […]
Hedge Fund Compliance Attorney
The Compliance Officer is primarily responsible for day-to-day implementation and maintenance of compliance program including, among other things, the development of compliance policies, procedures and processes, conducting the risk assessment analysis, supervising portfolio compliance and other compliance testing, reviewing marketing materials, and reviewing and analyzing applicable laws and regulations for impact on the firm’s compliance monitoring function. Key responsibilities include: • Assist in the development, implementation and maintenance of compliance policies, procedures and processes. • Read more […]
Compliance, Audit and Risk Specialist
Other duties include, but not limited to: • Liaising with outside auditors engaged to support the firm’s internal audit, control assessment and other engagements • Ensuring timely, accurate and on-budget completion of internal audit engagements • Tracking and closure of open audit recommendations • Creation of board and management reporting materials • Coordination of risk management efforts with a focus on driving operational risk improvements • Tracking and analysis of incident reports and errors • Maintenance of firm risk management assessment matrices • Tracking of open risk Read more […]
Operational Risk and Compliance Manager
Our client is looking for an experienced operational risk and compliance professional to join their organisation and work closely with the General Legal Counsel to implement a robust operational risk framework that is fully compliant with APRA regulations. This individual will work very closely with the business units to identify the existing risk procedures, critically assess these, and manipulate and adapt these to build a business wide operational risk framework. Evidence of APRA knowledge and prudential regulations is essential in this role.The key responsibilities:Designing and implementing Read more […]
ERI Business Analyst Job
ERI Business Analyst (Job Number: 1311259)DescriptionWork with the various business departments to understand business requirements and translate them into functional specifications. Perform testing to ensure that all requirements have been met. Maintain project documentation in accordance with company s standards. Day to day work load management, prioritization and issue resolution are part of the responsibilities of the Business Analyst. Familiarity with data warehousing and database concepts, financial and risk reporting and analytics. Familiarity with technologies used within the project(s). Read more […]
Business Analysis Cnslt II Job
Business Analysis Cnslt II (Job Number: 1311326)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 […]
Sr. Fund Accountants Job
Sr. Fund Accountants (Job Number: 1309116)DescriptionResponsible for more complex portfolios with more intricate portfolio assets and transactions. Responsible for maintaining accounting records relating to a specific group of UITs in accordance with department policies and procedures. Responsible for liquidation of portfolios, termination of trusts, reconciliation, processing corporate actions and reinvestment of distribution income. Extensive knowledge of internal systems and procedures (i.e., Income collection, financial reporting, tax control, technology, transfer agency, etc.). Identify and Read more […]
Quant Policy/Analysis Associate – Collateral Valuation & Analysis
The Federal Reserve Bank of New York seeks a fixed income quantitative analyst for its Collateral Valuation and Analysis (CVA) staff. The CVA staff values and estimates the risk of a diverse pool of collateral pledged to the Discount Window and Payments System Risk (PSR) lending facilities, the System Open Market Account portfolio, and temporary liquidity facilities. Candidates for this position should be interested in finding solutions to complex valuation and margining issues, and in participating in policy discussions about collateral practices for the Federal Reserve’s lending facilities. Read more […]
Q/A SAR Investigator Job
Q/A SAR Investigator (Job Number: 1311365)DescriptionPerform Quality Assurance activities related to Suspicious Activity Reports and Investigations. Work closely with, and responsible for fact checking the written work product of, SAR Investigators, who are responsible for investigating suspicious activity, researching and analyzing account activity, researching open source information, compiling information and documents from a variety of sources, and drafting SAR reports. Primary responsibility is to review all information, data in various data fields, mathematical calculations and other transaction Read more […]
Sr Security Command Cntr Splst Job
Sr Security Command Cntr Splst (Job Number: 1306157)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 […]