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Senior Compliance Officer - RIA - New York and Texas

Our client, a leading US compliance Advisory firm providing investment advisers and broker dealers compliance services, are looking to hire consultants at ALL levels = Analysts, Managers as well as executive level hires (D - MD) in New York and Texas. You will be responsible for providing tailored compliance and regulatory support to SEC registered & unregistered investment advisors, broker dealers and CPO/CTAs. The ideal candidate must have experience in the private fund compliance field and/or broker dealer compliance field and/or at a regulator handling examinations and regulatory issues. Knowledge of the Investment Advisers Act of 1940 is required with CFTC/FINRA/NFA broker dealer com...

job type:

Permanent

location:

New York, USA

salary:

Negotiable

sector:

financial services

Senior Compliance Officer - RIA - New York and Texas

Our client, a leading US compliance Advisroy firm providing investment advisers and broker dealers compliance services, are looking to hire consultants Analysts, Managers as well as executive level hires (D - MD) in New York and Texas. You will be responsible for providing tailored compliance and regulatory support to SEC registered & unregistered investment advisors, broker dealers and CPO/CTAs. The ideal candidate must have experience in the private fund compliance field and/or broker dealer compliance field and/or at a regulator handling examinations and regulatory issues. Knowledge of the Investment Advisers Act of 1940 is required with CFTC/FINRA/NFA broker dealer compliance a plus. ...

job type:

Permanent

location:

New York, USA

salary:

Negotiable

sector:

financial services

BSA Officer - Financial Services - New York City

Our client, a growing Retail Bank in New York City, is looking for a BSA Officer to assit the CCO with daily AML/BSA compliance responsibilities. The ideal candidate would have experience in: 12+ years experience in AML/BSA Experience dealing with regulators and auditors Retail Bank experience a plus Strong communication skills Hands-on and manage relationships with the business and front office Compensation is competitive with strong benefits. This is part of a growing team in NYC. This is a high visibility level role that will see you build and manage relationships across the business globally. You will need to possess a strong academic profile, commercial mindset, excellent organizatio...

job type:

Permanent

location:

New York, USA

salary:

US$300000.00 - US$350000.00 per year + bonus

sector:

financial services

KYC/QA Analyst

Our client, an Investment Bank in New York, is looking for someone to join the KYC/QA team. This is an Analyst level role reporting into the Chief Compliance Officer. The ideal candidate would have experience in: KYC/QA experience Metrics reporting testing experience Strong communication skills Be hands-on and manage relationships with the business Compensation is competitive with strong benefits. This is part of a growing team in NYC. This is a high visibility level role that will see you build and manage relationships across the business globally. You will need to possess a strong academic profile, commercial mindset, excellent organization and communication skills combined with the abi...

job type:

Permanent

location:

New York, USA

salary:

US$90000.00 - US$100000.00 per year + bonus

sector:

financial services

Transaction Monitoring Team Lead - Finance - NYC

This role is ideal or any extremely motivated and eager Compliance Transaction Monitoring Team Lead. You will work in conjunction with diverse group of stakeholders to tackle compliance endeavors, new activities, and help drive program changes. The ideal candidate will have: Minimum bachelor's degree in finance or similar field Transaction Monitoring manager experience Be able to handle 314(b) requests SAR and CTR writing knowledge CAMS certified is preferred This is a high visibility level role that will see you build and manage relationships across the business globally. You will need to possess a strong academic profile, commercial mindset, excellent organization and communication skil...

job type:

Permanent

location:

New York, USA

salary:

US$100000.00 - US$150000.00 per year + bonus

sector:

financial services