Senior Level Assignments

1. Deputy Chief Compliance Officer Leading investment firm in search of senior level Compliance Officer for role of Deputy Chief Compliance Officer reporting to CCO and dotted line report to GC. Duties include creation and implementation of policies/procedures, and attendance at senior level Legal and Compliance Departmental meetings to offer direct input on all aspects of designing, running, and maintaining an effective firm-wide compliance structure.
2. Equity Trading (Derivatives) Compliance Officer Oversee the firm's Equity Derivatives group. Identify regulatory issues/requirements by keeping current on regulatory developments. Communicate changes by drafting/amending existing policies/procedures and updating Senior Business Management, Legal, Compliance, IT, and support functions.
3. Fixed Income Compliance Officer – Mortgage Loan Provide timely regulatory and compliance advice to the Fixed Income business areas in accordance with external rules/regulations and internal policy. Must have knowledge of the following “Mortgage Loan Regulations”: (a) GSE (FNMA, GNMA, etc.) agreements, practices and requirements, (b) state licensing requirements (c) disclosure requirements (HUD, RESPA, TILA, etc.) (d) Fair Lending laws (ECOA, HMDA, CRA, FHA, etc.) and (e) predatory lending and high cost loans.
4. Global Director of Compliance Prominent U.S. based investment firm seeks seasoned Compliance Professional to lead their Global Compliance team. In this role, the Global Director will implement a practical compliance framework across all business lines, develop strong operational compliance/internal control models to meet all regulatory requirements and advise Board and Risk Committee on all compliance and governance issues.
5. Global Markets Compliance Officer Experience in compliance should encompass issues related to foreign exchange, equity/interest rate derivatives, bank portfolio management, and special purpose vehicles for tax arbitrage or similar strategies. Experience with Fed Funds Desk and ALCO management also helpful. Supervise two compliance officers. Create automated compliance surveillance protocols based on existing and to be developed data applications. Familiarity with general bank compliance areas, such as Reg W, Anti-tying, Gramm Leach Bliley, Anti-Money Laundering and Information Barriers is very important.
6. Sr. Compliance Officer – Supervisory Controls Monitor Broker/Dealer issues, especially NASD / NYSE rules. Strong knowledge of SEC '34 Act needed. Maintain Audit/Examinations and draft Written Supervisory Procedures. Complete special projects for the Director of Compliance.
7. Sr. Director – Regulatory Affairs Coordinate examinations process and respond to regulatory inquiries from various agencies. Track regulatory and other compliance-impacting events and disseminate relevant developments. Identify regulatory areas of concern and develop review programs, self-assessments and/or conduct investigations as appropriate. Coordinate with Legal Department regarding contacts with regulators and outside counsel. Advise staff regarding regulatory matters and work to proactively manage risk. J.D. required.

Mid-Level and Junior Assignments

1. Compliance Officer – Audit/Examinations Knowledge of financial services industry rules and regulations (e.g., SEC, NASD, Federal Reserve, and Treasury) preferred. Familiarity with financial service products and operations needed. Perform quantitative/qualitative reviews of specific business areas. Document results and recommend improvements to compliance and operational procedures. Identify/evaluate risk from multiple sources, including surveillance reports and internal audit reports.
2. Control Room Officer – Employee Trading Develop the Insider Trading monitoring program within the Global Control Room team. Oversee this area to ensure that employees abide by internal policies and procedures, through the review of certain personal accounts of employees, and surveillance of exception reports to detect and prevent misuse of confidential or proprietary information.
3. Control Room Officer – Research Formulate and implement the Firm's Research and Information Barrier policies and procedures with the Equity and Fixed Income Research Departments and interactions between Investment Banking, Research and Sales and Trading personnel. Educate the research departments about research rules and policies and d procedures during compliance presentations throughout the year. Review and perform compliance surveillance/oversight of the Firm's equity and fixed income research for compliance with research rules.
4. Investigative Analyst Work with extremely confidential client information from multiple sources of data. Investigate suspicious transactions utilizing Bank systems, Mantas, Searchspace, and internet research programs, researching a series of accounts over a specific period of time, and conduct background checks on account holders using public databases.
5. Risk Analyst Responsible for the timely and accurate review of all Fixed Income policy requirements. Analyze all current processes, including trade capture, client valuation reporting and policy implementation. Identify areas of weakness and recommend improvements to strengthen internal controls for daily trading activity.