Our client a Prestigious Global Bank is in need of a IT Auditor at the VP Level. The opportunity offer tremendous exposure and high growth potential.

Key Responsibilities:

• You will be required to evaluate the adequacy and effectiveness of internal controls relating to risks involved in the relevant areas and the established risk assessment framework.
• You will support implementation of the Audit risk-based methodology including; performing coverage of automated business processes and the respective technology environment.
• You will be required to lead and successfully deliver Technology audits both locally and globally.
• You will be required to proactively develop and maintain professional working relationships with colleagues, the business and respective support areas. They will work in an integrated manner with fellow team members both locally and globally.

Key Qualifications:

• Significant exposure to Investment Banking clients and a robust knowledge of capital markets processing.
• Experience of auditing IT applications supporting trading and the trade processing lifecycle. Relevant areas could include; interest rate products, credit products, commodities, futures and foreign exchange products, or equities.
• Experience of auditing IT General Controls.

Preferable skills:

Experience of auditing IT applications supporting global and domestic payment processes, trust and agency business, and core banking systems.

Global bank seeking a talented compliance officer to join its Institutional Markets Compliance Testing team. This role will focus primarily on testing the Firm’s institutional equities and fixed income sales and trading businesses.

Responsibilities:

• Conduct compliance reviews under the direction of the Americas Head of Compliance Controls Testing in order to assess and review compliance with legal, regulatory and internal firm policy requirements and work with the business and other stakeholders to design appropriate remedial actions to mitigate identified risks.
• Participate in developing a review work plan based on the results of the annual compliance risk assessment
• Ensure review work plan addresses regulatory priorities and that reviews are designed to meet applicable regulatory guidance.
• Prepare and distribute reports to senior management detailing review findings and recommendations
• Periodically report on significant activities conducted and planned for the upcoming period
• Review all banking-related reports prior to vetting the report with other stakeholders.
• Meet with senior management in Compliance, the business and other control functions to provide overview of significant risks and control gaps.

Qualifications:

• 10+ years’ experience with a financial services firm and/or self-regulatory organization in a Compliance, Legal or Audit role
• A background in Advisory / Line-of-Business Compliance is a strong plus, particularly Equities or Fixed Income Compliance
• BA/BS required. JD, MBA or Masters is a plus

Seeking a Director level Compliance professional to head a global regulatory function.

Responsible for ensuring the independence of the Bank resources. Responsible for ensuring that there is effective segregation of all significant roles and duties.

• Risk Culture: Embed a risk culture within which reflects Firm's Purpose and Values.

• Bank remuneration structures: Input into the performance management and way in which performance objectives and risk adjustments are reflected in the compensation structures for ‘senior’* employees, specifically those who can be exposed to significant risk.

• Monitor: Responsible for monitoring the performance including financial and operational activities, Risk Profile (current and outlook) compared to approved Risk Appetite, and compliance with all laws, regulations and the Firm Policies.

• Reporting: Responsible for providing accurate, transparent and timely reporting to the IHC, Americas Head of Compliance and the Americas Compliance Management Team performance against plan, including Risk Profile (current and outlook) compared to Risk Appetite.

• Governance: Responsible for chairing regular team meetings with the Americas Compliance Management Team.

Seeking a talented AML / EDD professional to lead, manage, update and maintain the Bank’s AML Advisory Program Lead the Americas Control Room team and work closely with regional Control Rooms

Responsibilities:

• Oversee the Performance of EDD reviews of all high-risk customers in NA;
• Oversee the work of Bank’s Fraud & Anti-Corruption Officers
• Participate in the revamping of Customer Risk Rating methodology working with HO as needed;
• Provide AML guidance to Front Office and Client Verification Team on AML and on-boarding related matters;
• Provide guidance on CIP/KYC requirements across NY
• Work with departments to implement CIP/KYC related workflows, policies or procedures;
• Assess and respond to all World-Check and RDC alerts escalated by different departments
• Conduct periodic reviews and material change reviews on all high risk clients;
• Perform Letter of Credit Reviews;
• Maintain Exception Requests log;
• Provide AML related input during the development and/or enhancement of ISIS-AOP;
• Assist in developing, implementing and maintaining policies and procedures related to Due Diligence consistent with US and Global AML requirements;
• Miscellaneous responsibilities as required.

As an Employee Trade Surveillance Analyst, you will be responsible for reviewing personal trading activity for and supporting the Control Room. This includes reviewing various reports and alerts to identify potential trading violations, taking corrective action and educating employees regarding applicable requirements. The Compliance Control Room is responsible for maintaining the Firm’s restricted trading lists and assigning appropriate employee trading designations.

Responsibilities Include:

• Reviews daily and monthly transaction alerts, employee trading activity, firm trading and market activity and news
• Conducts investigations, documents findings and escalates potentially suspicious activity
• Maintains Restricted Lists and communicates with the Lines of Business regarding changes thereto
• Assigns employee trading designations to new employees, transferees, and provides guidance regarding requirements
• Conducts User Acceptance Testing (UAT) for systems enhancements and documents work product

Qualifications:

• BA/BS Degree
• 2-5 years of compliance experience, preferably in trade surveillance

• Assist in developing robust anti-money laundering, anti-bribery & corruption, sanctions and fraud-related processes and controls for the global businesses
• Review and analyze decision transactions and deal-related escalations that raise potential AML, Sanctions or ABC risks
• Conduct due diligence reviews in new client/investor relationships and periodic assessments of heightened risk relationships
• Provide day-to-day ABC advisory to business/functional constituents on matters escalated to the ABC team relating to expenditures (e.g., gifts and entertainment and charitable donations), employment/work opportunities, third parties

Qualifications:

• Bachelor degree; law degree a plus
• 5-7 years AML Compliance experience
• Knowledge of the US Bank Secrecy Act, USA Patriot Act, FCPA and UK Bribery Act requirements

Responsible for policy and procedures; prepare statistics and reports; identify, investigate and resolve suspicious activities

Responsibilities:

• Research names and accounts provided by various reports and lists through various sources to determine if there is evidence of money laundering activity;

• Evaluate transactions and/or customer relationship for money laundering based on red flags and escalate for further investigations;

• Have familiarity with appropriate techniques including research utilizing banking systems, intranet, internet and other vendor solutions as needed;

• Communicate within the team and with other business units;

• Effectively convey key points to internal customers as well as the capability to communicate to communicate to external customers as appropriate;

• Perform other related duties as assigned.

Experience /Qualifications/Education:

• BA/BS; Advanced degree preferred; Legal background a plus

• Lead the Americas Control Room team and work closely with regional Control Rooms
• Maintain information barriers and global restrictions
• Review research and oversee the bank's compliance with the Global Research Settlement, including coordinating and monitoring communications between research analysts and bankers
• Assist in conflict management
• Liaise with other compliance and control teams to provide compliance advice to investment banking, capital markets and research and respond to relevant regulatory requests
• Ensure appropriate documentation and training of Control Room activities as well as globally consistent standards, where appropriate

This client is a highly regarded PE Firm in Midtown this is looking to add an AML Analyst to its growing program.

The ideal candidate would have 1-3 years of specific AML experience working within a top tier private equity firm, hedge fund, investment management firm or advisory firm. This opportunity is a unique chance to work hand and hand with the Firm's Head of AML and the Chief Compliance Officer.

Requirements:

• Knowledge of AML laws, Regulations and their application to the supported products/business lines

• Excellent written and oral communication, research skills and a strong work ethic

• Ability to interact with Senior Management on complex AML issues

• BA/BS

Opportunity to work at one of the world’s leading investment firms. The AVP will work closely with the CCO, General Counsel, and others on the Real Estate Legal and Compliance team.

Responsibilities:

• Oversee the review of marketing materials (FINRA , investor communications and other fundraising related materials (primary responsibility)
• Supervise and manage a small team of full-time marketing review professionals
• Oversee and provide counsel on legal aspects of fund registration and related legal matters
• Draft, review and coordinate certain regulatory filings (e.g., Form ADV)
• Provide advice and counsel relating to launching new business initiatives

Qualifications:

• J.D. with strong academic credentials
• At least 2 years of prior experience at a law firm and/or investment management firm

Our client a Prestigious Global Bank is in need of a IT Auditor at the VP Level. The opportunity offer tremendous exposure and high growth potential.

Key Responsibilities:

• You will be required to evaluate the adequacy and effectiveness of internal controls relating to risks involved in the relevant areas and the established risk assessment framework.
• You will support implementation of the Audit risk-based methodology including; performing coverage of automated business processes and the respective technology environment.
• You will be required to lead and successfully deliver Technology audits both locally and globally.
• You will be required to proactively develop and maintain professional working relationships with colleagues, the business and respective support areas. They will work in an integrated manner with fellow team members both locally and globally.

Key Qualifications:

• Significant exposure to Investment Banking clients and a robust knowledge of capital markets processing.
• Experience of auditing IT applications supporting trading and the trade processing lifecycle. Relevant areas could include; interest rate products, credit products, commodities, futures and foreign exchange products, or equities.
• Experience of auditing IT General Controls.

Preferable skills:

Experience of auditing IT applications supporting global and domestic payment processes, trust and agency business, and core banking systems.

Global bank seeking a talented compliance officer to join its Institutional Markets Compliance Testing team. This role will focus primarily on testing the Firm’s institutional equities and fixed income sales and trading businesses.

Responsibilities:

• Conduct compliance reviews under the direction of the Americas Head of Compliance Controls Testing in order to assess and review compliance with legal, regulatory and internal firm policy requirements and work with the business and other stakeholders to design appropriate remedial actions to mitigate identified risks.
• Participate in developing a review work plan based on the results of the annual compliance risk assessment
• Ensure review work plan addresses regulatory priorities and that reviews are designed to meet applicable regulatory guidance.
• Prepare and distribute reports to senior management detailing review findings and recommendations
• Periodically report on significant activities conducted and planned for the upcoming period
• Review all banking-related reports prior to vetting the report with other stakeholders.
• Meet with senior management in Compliance, the business and other control functions to provide overview of significant risks and control gaps.

Qualifications:

• 10+ years’ experience with a financial services firm and/or self-regulatory organization in a Compliance, Legal or Audit role
• A background in Advisory / Line-of-Business Compliance is a strong plus, particularly Equities or Fixed Income Compliance
• BA/BS required. JD, MBA or Masters is a plus

Seeking a Director level Compliance professional to head a global regulatory function.

Responsible for ensuring the independence of the Bank resources. Responsible for ensuring that there is effective segregation of all significant roles and duties.

• Risk Culture: Embed a risk culture within which reflects Firm's Purpose and Values.

• Bank remuneration structures: Input into the performance management and way in which performance objectives and risk adjustments are reflected in the compensation structures for ‘senior’* employees, specifically those who can be exposed to significant risk.

• Monitor: Responsible for monitoring the performance including financial and operational activities, Risk Profile (current and outlook) compared to approved Risk Appetite, and compliance with all laws, regulations and the Firm Policies.

• Reporting: Responsible for providing accurate, transparent and timely reporting to the IHC, Americas Head of Compliance and the Americas Compliance Management Team performance against plan, including Risk Profile (current and outlook) compared to Risk Appetite.

• Governance: Responsible for chairing regular team meetings with the Americas Compliance Management Team.

Seeking a talented AML / EDD professional to lead, manage, update and maintain the Bank’s AML Advisory Program Lead the Americas Control Room team and work closely with regional Control Rooms

Responsibilities:

• Oversee the Performance of EDD reviews of all high-risk customers in NA;
• Oversee the work of Bank’s Fraud & Anti-Corruption Officers
• Participate in the revamping of Customer Risk Rating methodology working with HO as needed;
• Provide AML guidance to Front Office and Client Verification Team on AML and on-boarding related matters;
• Provide guidance on CIP/KYC requirements across NY
• Work with departments to implement CIP/KYC related workflows, policies or procedures;
• Assess and respond to all World-Check and RDC alerts escalated by different departments
• Conduct periodic reviews and material change reviews on all high risk clients;
• Perform Letter of Credit Reviews;
• Maintain Exception Requests log;
• Provide AML related input during the development and/or enhancement of ISIS-AOP;
• Assist in developing, implementing and maintaining policies and procedures related to Due Diligence consistent with US and Global AML requirements;
• Miscellaneous responsibilities as required.

As an Employee Trade Surveillance Analyst, you will be responsible for reviewing personal trading activity for and supporting the Control Room. This includes reviewing various reports and alerts to identify potential trading violations, taking corrective action and educating employees regarding applicable requirements. The Compliance Control Room is responsible for maintaining the Firm’s restricted trading lists and assigning appropriate employee trading designations.

Responsibilities Include:

• Reviews daily and monthly transaction alerts, employee trading activity, firm trading and market activity and news
• Conducts investigations, documents findings and escalates potentially suspicious activity
• Maintains Restricted Lists and communicates with the Lines of Business regarding changes thereto
• Assigns employee trading designations to new employees, transferees, and provides guidance regarding requirements
• Conducts User Acceptance Testing (UAT) for systems enhancements and documents work product

Qualifications:

• BA/BS Degree
• 2-5 years of compliance experience, preferably in trade surveillance

• Assist in developing robust anti-money laundering, anti-bribery & corruption, sanctions and fraud-related processes and controls for the global businesses
• Review and analyze decision transactions and deal-related escalations that raise potential AML, Sanctions or ABC risks
• Conduct due diligence reviews in new client/investor relationships and periodic assessments of heightened risk relationships
• Provide day-to-day ABC advisory to business/functional constituents on matters escalated to the ABC team relating to expenditures (e.g., gifts and entertainment and charitable donations), employment/work opportunities, third parties

Qualifications:

• Bachelor degree; law degree a plus
• 5-7 years AML Compliance experience
• Knowledge of the US Bank Secrecy Act, USA Patriot Act, FCPA and UK Bribery Act requirements

Responsible for policy and procedures; prepare statistics and reports; identify, investigate and resolve suspicious activities

Responsibilities:

• Research names and accounts provided by various reports and lists through various sources to determine if there is evidence of money laundering activity;

• Evaluate transactions and/or customer relationship for money laundering based on red flags and escalate for further investigations;

• Have familiarity with appropriate techniques including research utilizing banking systems, intranet, internet and other vendor solutions as needed;

• Communicate within the team and with other business units;

• Effectively convey key points to internal customers as well as the capability to communicate to communicate to external customers as appropriate;

• Perform other related duties as assigned.

Experience /Qualifications/Education:

• BA/BS; Advanced degree preferred; Legal background a plus

• Lead the Americas Control Room team and work closely with regional Control Rooms
• Maintain information barriers and global restrictions
• Review research and oversee the bank's compliance with the Global Research Settlement, including coordinating and monitoring communications between research analysts and bankers
• Assist in conflict management
• Liaise with other compliance and control teams to provide compliance advice to investment banking, capital markets and research and respond to relevant regulatory requests
• Ensure appropriate documentation and training of Control Room activities as well as globally consistent standards, where appropriate

This client is a highly regarded PE Firm in Midtown this is looking to add an AML Analyst to its growing program.

The ideal candidate would have 1-3 years of specific AML experience working within a top tier private equity firm, hedge fund, investment management firm or advisory firm. This opportunity is a unique chance to work hand and hand with the Firm's Head of AML and the Chief Compliance Officer.

Requirements:

• Knowledge of AML laws, Regulations and their application to the supported products/business lines

• Excellent written and oral communication, research skills and a strong work ethic

• Ability to interact with Senior Management on complex AML issues

• BA/BS

Opportunity to work at one of the world’s leading investment firms. The AVP will work closely with the CCO, General Counsel, and others on the Real Estate Legal and Compliance team.

Responsibilities:

• Oversee the review of marketing materials (FINRA , investor communications and other fundraising related materials (primary responsibility)
• Supervise and manage a small team of full-time marketing review professionals
• Oversee and provide counsel on legal aspects of fund registration and related legal matters
• Draft, review and coordinate certain regulatory filings (e.g., Form ADV)
• Provide advice and counsel relating to launching new business initiatives

Qualifications:

• J.D. with strong academic credentials
• At least 2 years of prior experience at a law firm and/or investment management firm