Brief Description
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Tag: Compliance
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Compliance Officer II Job
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Compliance Analyst – Mutual Funds Job
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Fixed Income Compliance Officer
* 4+ years compliance experience with a broker/dealer.
* Superior communication skills to interact between lines of business management and staff.
* Series 7 and 24 (or 53) preferred.View full post on All Trading Jobs: eFinancialCareers.com
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Trading Floor Compliance – Investment Bank
Our client a mid-sized investment bank that provides investment banking, merger and acquisition advisory, institutional brokerage and research services seeks a Senior Compliance Officer.
View full post on All Trading Jobs: eFinancialCareers.com
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Compliance Officer – Possible CCO
International Day Trading Firm is seeking a Compliance Officer to oversee our
trading teams, monitor firm risk, and compliance.View full post on All Trading Jobs: eFinancialCareers.com
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Senior Derivatives Compliance Specialist needed for leading US based Hedgefund – New York
Brief Description
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Senior Compliance Officer / Company Secretary, Attractive package – Lagos, Nigeria
International bank setting up operations in Nigeria is hiring a Senior Compliance Officer / Company Secretary.
The bank is executing its Sub Sahara Africa expansion plan and Nigeria is the first and pivotal market in West Africa. Full responsibility for
*Regulatory and legal compliance and advisory
*Exchange Control Advisory and Compliance
*Company Secretarial …View full post on exec-appointments.com: Trading Jobs
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Portfolio Compliance Analyst
POSITION OVERVIEWThe Portfolio Compliance Analyst will assist the Chief Compliance Officer in implementing controls and monitoring the activities of the Firm to ensure compliance with ethical and regulatory standards.JOB FUNCTIONSPortfolio Compliance- Perform daily reviews to ensure client guidelines are being properly followed;
- Enter new client, regulatory or other guidelines into Bloomberg CMGR;
- Create and maintain guideline spreadsheets for portfolio manager and trader use;
- Respond to client reporting requirements regarding guideline adherence; and
- Produce reports for affiliated and sub-advised mutual fund boards of trustees.
Anti-Money Laundering- Implement and monitor controls designed to meet applicable anti-money laundering (AML) regulations;
- Interact with clients, including affiliated and sub-advised mutual funds, regarding AML requirements;
- Produce reports demonstrating AML compliance; and
- Respond to internal and external questions regarding AML compliance.
Advertising- Review and assist in production of client service and external marketing materials.
RequirementsMINIMUM REQUIREMENTS- Bachelor’s degree, preferably in Business, Finance or Accounting;
- 2-4 years portfolio compliance experience at an SEC registered investment advisor;
- Knowledge of automated portfolio compliance systems, especially the ability to set up rules;
- Knowledge of applicable SEC rules for investment companies, such as leverage, liquidity, diversification and concentration;
- Knowledge and experience with anti-money laundering laws and regulations;
- Writing and quantitative skills sufficient to prepare a wide variety of reports for clients, industry consultants and internal users; and
- Working knowledge of MS Office Outlook, Word and Excel; knowledge of Access a plus.
PREFERRED QUALIFICATIONS- Fixed income experience, particularly with mortgage-backed and emerging markets securities;
- Knowledge of Bloomberg’s CMGR system;
- Knowledge of regulatory investment restrictions imposed by ERISA; and
- Experience with advertising review for an investment advisor.
PERSONAL ATTRIBUTES- Able to interact professionally at all levels of a tightly-integrated corporate team, including portfolio managers and traders;
- Possesses high integrity and a strong work ethic;
- Self-starter and able to function independently;
- Well organized problem solver able to manage multiple priorities and deadlines; and
- Strong attention to detail.
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Capital Markets – Compliance Consultant, £85,000 to £100,000 – City of London, UK
My clients Banking & Capital Markets, Finance Governance business has a reputation in the market for providing high quality, innovative advice to Banks and institutions looking to improve their internal controls.
We are urgently looking for a Consulting Compliance Manager to join an expanding Capital Markets practice. The remit is to develop, sell and deliver consultancy solutions around …
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