Operations Compliance Official (OTC Derivatives)
Position Description Compliance official covering OTC Derivatives regulatory reporting and post-trade processing.Cover OTC Derivatives businesses, including Fixed Income Derivatives Operations, FX Operations, Equity Derivatives Operations and Commodity Operations, with a concentrated focus on real-time reporting.Perform monthly reviews of the DTCC reporting for all OTC Derivatives types across different asset classes.•Real time price analysis of trades and post trade events•New trade real-time message timeliness•Post trade events real-time message timeliness Monitor weekly performance Read more […]
Anti Money Laundering Compliance Officer (Associate)
Position Description The Legal and Compliance Department’s UK AML Group, which is based in London, is charged with day-to-day oversight and coordination of the AML and Sanctions Program covering all businesses including Institutional Sales and Trading, Private Wealth Management Business, Investment Banking and Investment Management across the EMEA region. A need has arisen for an individual to provide support to the existing AML team.• Review output of sanctions screening of payments and securities reports and take appropriate action.• Review negative media alerts from RDC for high and medium Read more […]
Investment Banking Lawyer (Vice President)
Position Description Morgan Stanley’s Legal and Compliance Division based in London is seeking to hire a Lawyer whose primary function will be to support the Investment Banking Division (“IBD”) in Europe.Job Description: Advisory The Lawyer will be expected to devote his/her time principally to MA and Restructurings. The position will involve significant interaction with business units, both in the UK and across EMEA. Responsibilities will include:• General advisory for IBD including the MA and Industry teams, the Restructuring team and Corporate broking. Some experience of capital markets Read more […]
GLOBAL CAPITAL MARKETS RECORDS MANAGER
The Records Manager will serve as a liaison between GCM and the bank-wide Records and Information Management department (“RIM”) and will work together with RIM to maintain and enhance the Bank’s legally defensible records management program that includes appropriate retention, management, monitoring and disposition of all Bank records. The GCM Records Manager will play a key role in the implementation and maintenance of a document management system within GCM. This person will also be responsible for various projects to improve access, availability and security of all records managed and to maintain Read more […]
General Counsel/ Chief Compliance Officer
The General Counsel/ Chief Compliance Officer will have legal and compliance responsibilities for the firm and two firm hedge funds with emphasis on team-work approach. Although the firm is over 50 years old it is mid-sized. Accordingly, the GC/CCO is a very “hands on” position. The person will be intimately involved with all daily legal and compliance activities with only a very small staff. This position is ideal for an Attorney with compliance experience that seeks to take their career to the next level and have the type of responsibilities and experience that is hard to achieve at a Read more […]
Futures Commission Merchant
The person performing this role will provide day-to-day compliance coverage of the Markets Clearing business . Primary responsibilities will include advising the business on matters concerning the clearing of OTC derivatives. This person would report to the FCM Chief Compliance Officer. Responsibilities will include: • Advise the business to ensure compliance with regulatory requirements applicable to current and proposed new activities. • Assist in the preparation of the FCM CCO’s Annual Report, and other reports, to the Board of Directors as required under CFTC Regulation 3.3. • Maintain Read more […]
Operational Risk Controller
Operational Risk Control is mandated to focus on finding an optimal balance between risk and return and – by extension – to evaluate the firm’s risk profile relative to an agreed upon risk appetite and in accordance with the firm’s earnings capacity. More specifically, ORC’s role includes:Independent oversight over risk taking activities and pro-active advice related to ensuring effective management of operational risksAnalysis of risk identifiers and risk drivers to detect potential changes to the risk profile of the respective business line (risk drivers include internal and external loss events, Read more […]
VP Trading & Derivatives Attorney
Overview: BlackRock is seeking an attorney to be part of BlackRock’s legal team covering transitions management, securities lending and structured finance issues for BlackRock funds and accounts in NY. The role will involve coverage of various trading structures and the relevant documentation, including transition management agreements, MSLAs, GMLSAs, structured finance documentation, and any ancillary agreements related to these transactions. The ideal candidate would have some knowledge of ERISA and ’40 Act regulation, particularly as they pertain to transitions management and securities Read more […]
Operational Risk & Compliance Manager
Two roles; one manager, one senior manager are required to focus on the operational risk and compliance, strategy and frameworks, and service delivery and will provide an excellent opportunity in one of the major financial institutions in Sydney. The role will contribute to the ongoing advice and development of the operational risks facing the retail banking arm of this bank.The key areas of responsibility for this role are the retail banking products in particular deposits and mortgages. Online compliance and risk management experience would be highly regarded. Knowledge across the retail banking Read more […]
Niche Broker Dealer seeks CCO
Niche Broker Dealer seeks CCO – EM / FI / Collateral Debt | Greenwich, USA Salary – 120 – 150k USD + bonus benefits Location – CT, USA Description A leading US Broker-Dealer is looking for a new Chief Compliance Officer to lead both the Legal Compliance function. The role will report directly into the board as well be required to liaise regularly with the Head of Trading and Head of Operations. The role responsibilities will involve ensuring the groups continued compliance with all current financial regulations as well as briefing and instructing senior management with upcoming regulatory Read more […]