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The VP/AVP Senior Compliance Auditor assists the Team Lead in the oversight, design and execution of audit coverage for Bank of China’s US (BOC USA or the Bank) Compliance program with emphasis on the sanctions (mainly OFAC) program and consumer compliance.
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Minimum 5 years of work experience in a control, risk, compliance or audit role at large banking organizations or regulatory experience in a senior management role in compliance or AML is required for the AVP level and minimum 8 years of such experience is required for the VP level.
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An ideal candidate will leverage their prior experience in sales and trading, strategist, market risk, product controllers, legal, or audit to investigate whether activities and practices comply with policies and regulations and the firm’s compliance control infrastructure.
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Managing the investor onboarding process in partnership with BXMA's client operations team, including coordination with administrators for Anti-Money Laundering (AML) compliance. 8+ experience in a compliance role within a hedge fund, private equity fund, compliance consultancy, financial services firm, or as a practicing funds lawyer, with in-depth knowledge of the Investment Advisers Act of 1940.
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Under the supervision of the FCS (Financial Client Services) New-York, the Compliance Coordinator will work closely with the New York Compliance/ CPL team to support the implementation and execution of compliance initiatives, processes, and controls that manage compliance risks as well as act as the coordinator between CACIB Business Lines/Support Functions and CACIB New York compliance teams.
$130,000 - $170,000 a yearFull-timeExpandApply NowActive JobUpdated 1 month ago - UpvoteDownvoteShare Job
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Serves as a Control Group compliance officer, specifically relating to research publications for the Independent Compliance Risk Management (ICRM) department. Bachelors (4 Year University) Degree or equivalent experience required in compliance, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof; experience in areas of focus (Banking & Research.
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In this capacity, the employee will be responsible for reviewing investor and third-party communications, supervising staff in their reviews, and advising on legal and compliance matters that arise in connection with investor suitability, domestic and global marketing registration, and analysis and resolution of regulatory questions.
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International investment bank located in Midtown Manhattan looking to bring on board a “VP Global Markets Regulatory Compliance Advisory (Americas)” to join their team. Maintain policies and procedures to reasonably ensure compliance with applicable regulatory requirements (i.e., FINRA, SEC, NFA, and CFTC requirements.
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Compliance Officer - Wealth Management & Investment Advisory. 7+ years of high net worth/ private wealth management compliance experience, with expertise in open architecture platforms. Provide compliance oversight and monitoring over Jefferies Brokerage/Advisory activities related to its Wealth Management business.
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Serves as a compliance risk officer program support for Independent Compliance Risk Management (ICRM) responsible for assisting with internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a risk management framework that maintains risk levels within the firm's risk appetite and protect the franchise.
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75 Billion Alternative Asset Manager Seeks a VP Compliance (Advanced ComplyScy a Must) 5-10 years Strong Code of Ethics Compliance Experience. Reporting to Managing Director, Compliance- Securities Division.
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One of the largest securities firms and investment banks in the nation is seeking a Vice President, Capital Markets Compliance Officer responsible for acting in an advisory capacity to activities including equity market making sales, trading, research, syndicate and investment banking activities.
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Ares is seeking a talented Compliance professional to join our Legal and Compliance team to serve as a senior team member creating and implementing the Firm’s Registered Investment Adviser program.
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Serves as a function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for assisting with internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a risk management framework that maintains risk levels within the firm's risk appetite and protect the franchise.
$113,840 - $170,760Full-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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Bachelor's degree or equivalent experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof; strong working knowledge of function/business/product supported and the related operations and financial requirements.
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Title: vp compliance in Brooklyn, NY
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