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Compliance Officer - Investment Bank - Job 1129
Our client is a leading global investment banking, securities and investment management firm that provides a wide range of services worldwide to a substantial and diversified client base that includes corporations, financial institutions, governments and high net-worth individuals.
Principal Responsibilities
Providing advice on individual transactions, new products and business initiatives
Developing compliance policies and procedures outlining Firm policies, regulations and best practices
Participating in regulatory and internal investigations and audits
Creating and implementing compliance training programs for business unit professionals
Conducting or overseeing surveillance of sales and trading activities to ensure compliance with appropriate rules, regulations and Firm policies.
Experience/Skills
• 2-3 years compliance, legal, accounting, or business (or other relevant) experience with fixed income products – money markets and municipals preferred -- for the sales and trading areas.
• Strong analytical skills and ability to exercise balanced judgment
• Effective communication and organizational skills
• Ability to handle multiple tasks simultaneously and work under pressure. Desire to work in a trading floor environment
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Senior Analyst/Associate - Investment Bank - Job 1131
Our client is a leading global investment banking, securities and investment management firm that provides a wide range of services worldwide to a substantial and diversified client base that includes corporations, financial institutions, governments and high net-worth individuals.
- The Know Your Client (KYC) team within AML Compliance Group which is responsible for supporting the Firm's compliance with AML regulations globally, has an Sr. Analyst/Associate position available.
Job Responsibilities include:
- Supporting sanctions list exceptions review (OFAC, Bank of England, etc.) - false/positive approvals and oversight
- Reviewing and conducting KYC due diligence
- Liaising with Legal and Divisional Compliance on various topics, including compliance with Foreign Bank Certifications and CIP (Customer Identification Program)
- Participation in the development of projects and initiatives that promote efficiency and automating of the team's various functions (acting as user-liaison between user and technology teams)
Experience/Skills include:
- Experience with KYC due diligence
- Experience with Sanctions Lists screening
- Experience with technology and automation projects
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VP Sales Compliance - Job 1132
Our client is a leading global investment banking, securities and investment management firm that provides a wide range of services worldwide to a substantial and diversified client base that includes corporations, financial institutions, governments and high net-worth individuals.
- Provide real-time advisory services relating to communications with the public, research, Rule 2790, IPO and secondary offerings, etc.
- Advise operations staff on various issues
- Project work to support business initiatives and regulatory changes
- Assist in responding to regulatory inquiries
- Develop and conduct training for equities professionals
- Develop new policies and procedures
- Sales Literature advice to registered principals
- Create and review surveillance reports
- Compliance background necessary
- Ability to manage a team of professionals dedicated to supporting multiple businesses
- Ability to work independently
- Ability to work under pressure and multi-task
- Strong communication skills
- Knowledge of research and communications rules in the US
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Global Chief AML and OFAC Officer - Securities Firm - Job 1113
Our client is the source for a diverse array of securities trading, clearing, information management, and financial products and services. Their challenge lies in anticipating the changing needs of financial organizations and their investment professionals worldwide to strengthen their competitive positions and help them to better serve their clients.
The candidate will serve as the firm's global chief AML and OFAC officer responsible for enterprise-wide AML, OFAC and Customer Identification Programs. The candidate will be responsible for our client's AML and OFAC programs, in addition to the oversight and coordination of AML and OFAC programs for related entities in the enterprise. The entire enterprise includes two US broker-dealers, two US Registered Investment Advisors and three non-US broker dealers.
This role has responsibility for oversight and continual enhancement of:
AML, OFAC and CIP policies and procedures
Surveillance and exception reports related to AML and OFAC
Suspicious Activity, AML, OFAC and SAR training programs
Suspicious Activity Investigations and Reporting
Coordinating policies and technologies with affiliated broker-dealers and parent company.
Interfacing with Introducing Broker customers
Undergraduate Degree required
10 years experience in AML at a large broker-dealer or bank or alternatively, experience at FinCEN or like regulator focusing on AML
Prior participation on industry committees related to AML and OFAC issues
Demonstrated leadership Ability
Excellent Management Skills
Detailed Knowledge of FinCEN, SEC, NASD and NYSE regulations related to AML.
Excellent verbal, written communication and presentation skills required
Series 7 and 24 (or 8, 9/10) a plus (not required only if coming from an SRO)
Strong case management and investigation skills
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VP Regulatory Compliance - Securities Firm - Job 1114
Our client is the source for a diverse array of securities trading, clearing, information management, and financial products and services. Their challenge lies in anticipating the changing needs of financial organizations and their investment professionals worldwide to strengthen their competitive positions and help them to better serve their clients.
The candidate will be responsible for responding to requests for information from regulators and for the co-management of regulatory examinations. This requires detailed analysis of the information being requested, good knowledge of the firm's books and records, as well as an understanding of securities trading and operations to perform the analysis and to respond accordingly. This requires excellent written and verbal communications skills.
Associates or undergraduate degree preferred - but not required if the associate has past experience
Strong understanding of securities trading or operations or both
Excellent verbal and written communication skills
Ability to multi-task
Good management skills
Good interpersonal skills
Computer proficiency
Good analytical skills
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