The job responsibilities are to monitor the corporate banking, investment banking and broker dealer activities of the bank and report on the compliance risks issues to the banks Global Compliance Senior Management.
- Opportunity to consult at a investment firm located in New York City
- Opportunities to gain experience and knowledge within the compliance sector
The job responsibilities are to monitor the internal corporate banking, investment banking and broker dealer activities of the bank and report on the compliance risks issues to the banks Global Compliance Senior Management.
- Opportunity to consult at a investment firm located in New York City
- Opportunities to gain experience and knowledge within the compliance sector
Our client is seeking an individual to support the firm's VP, Senior Compliance Officer & the Chief Compliance Officer. They will be assisting with monitoring, testing and reporting BSA/AML Compliance matters as defined by statues, regulations, rules & regulatory interpretations.
- Opportunity to join a dynamic compliance department
- Client will move quickly with qualified candidates
Our client is seeking a driven individual to join their compliance team. This person will support the team with any corporate governance related activities, and continually review compliance marketing items. The ideal candidate is self-starting, detail-oriented, and looking for a collaborative work environment.
- Opportunity to join a firm that offers uncapped PTO
- Opportunity to join a firm that supports work-life balance
This position is a 6 month contract that is 5 days on site within Midtown NYC. This consultant would be responsible for analyzing, developing and testing new scenarios for AML Monitoring systems. Also, this consultant will monitor transactions.
- Gain experience within correspondent banking
- Ability to collaborate and work along side the legal & compliance department
Our client is seeking an experienced individual to join a tight-knit compliance team. This individual will directly support the CCO and Senior Compliance Officer on all BSA, AML, and Patriot Act related matters.
- Expeditious interview process.
- Ability to work within a hybrid working model.
As a BSA Analyst, you will be responsible for providing support on internal reviews for the rules and regulations, including US Patriot Act, Bank Secrecy Act, etc. and all matters pertaining to money laundering.
- Opportunity to join a dynamic environment
- Client will move quickly with the qualified candidate.
Our client is looking to add someone as a Credit Risk Auditor Financial Consultant who is a fairly new to Financial Services who is open to learn and gain experience within the financial services space. This role is located in Buffalo New York and is remote but our client is looking to go back on-site on a hybrid schedule in the future.
- Opportunity to consult at a correspondent bank located in Buffalo New York
- Opportunity to gain experience within the Financial Services
Our client is seeking a driven individual to join their Private Banking team. This individual will support with account opening, account closing, and asset gathering related activities. The right candidate is a self-starter and looking to join a well-regarded firm offering the ability to grow.
- Opportunity to join an ever-growing compliance team.
- Opportunity to work in a hybrid environment.rtunity
Our client is actively seeking an experienced individual to join their Legal & Compliance department as an Chief Compliance Officer. The individual will be responsible for managing the day to day compliance program.
- Opportunity to join a leading credit & fixed income investment manager
- Client will move quickly with qualified candidates
Our client is seeking an experienced individual to join their Onboarding team. This individual will be conducting KYC related documentation review, communicating necessary regulatory information to other lines of business, and handling complex inquiries. The right candidate is a go-getter, and is looking to join a reputable firm offering growth opportunities.
- Opportunity to join an organization that values DE&I.
- Opportunity to work in a hybrid working model.
The ideal candidate for this role will possess a driven personality and a strong attention to detail. This compliance professional will collaborate closely with the Chief compliance officer.
- Opportunity to join a dynamic and rapidly developing firm.
- Client will move quickly with the qualified candidate.
Our client is looking to fill a compliance policy consultant role. Who will be responsible for conducting policy reviews and draft and edit policies according to internal standards including consistency with the corporate template and policy standards.
- Opportunity to consult at a correspondent bank located in New York City
- Opportunity to work hybrid
Our client is looking for a client on boarding consultant. Who can facilitate and co-ordinate all internal stakeholders across different regions involved in the contracting process.
- Opportunity to consult at a correspondent bank located in New York City
- Opportunity to work on-site
This consultant position focuses on relevant acts that include Commodity Exchange Act, CFTC Regulations, and foreign Corrupt Practices Act. In this role, the consultant will be responsible for compliance monitoring, responding to regulatory inquires, maintaining training programs, establish procedures, prepare/sign annual reports within the CFTC and maintain sensitive data.
- Flexiable work from home schedule
- Gain experience within the commodities market
Compliance Monitoring & Testing Consultant will be responsible for assisting the business to ensure that the relevant laws and regulations are meeting the standards and policies of the bank. This candidate is also responsible for testing those controls.
- Opportunity to consult at a investment bank starting off remote
- Opportunity to be cross trained within different areas of the business
Our client is looking for a KYC officer to complete CIP, CDD requirements, and OFAC screening of the Customer's KYC Profile. Perform name screenings, conduct EDD reviews, and conduct additional negative news searches.
- Opportunity to consult at a correspondent bank located in New York City
- Opportunity to work on-site
Our client is seeking a driven individual to join their Compliance team. This person will conduct internal reviews of possible violations, and support senior staff in all related matters. The right candidate is a self starter, and looking to join an organization where they can learn and grow.
- An organization that fosters inclusion and diversity in the workplace.
- The ability to work in a hybrid structure.
As a Compliance Analyst, you will be responsible for AML compliance. This individual will be conducting internal reviews for possible violations of the rules and regulations, including US Patriot Act, Bank Secrecy Act, etc. and all matters pertaining to money laundering.
- An opportunity for growth within a very collaborative and dynamic environment.
- Client will move quickly with the qualified candidate.
This is a short termed contract position that focuses on swap dealer requirements and related rules with the CFTC NFA. This consultant will be assisting the CCO with maintenance and periodic updates with the swap dealer compliance programs and policies and procedures. This consultant will also be responsible for registration filings that include Form 7R and 8R.
- Gain experience with a European Bank that is located in NYC
- Opportunity to grow within the company
Our client is seeking an experienced individual looking to branch into the non-profit sector. This person will work directly with board of directors to ensure all standards, practices, and systems of control align with international laws and regulations.
- Hybrid work structure
- Ability to join an established non-profit organization
Our client is seeking a team leader that will overlook their personal account dealing and conflicts of interest program and advance their collaborative team.
- Opportunity to join a prestigious firm.
- client will move quickly with the qualified candidate.
Our client is seeking a growth oriented individual to be part of its compliance department in a associate level role, based in New York City. This position will report to the Chief Compliance Officer.
- Opportunity to join a dynamic environment
- Client will move quickly with the qualified candidate.
Our client is seeking an experienced professional who is looking to work directly with the firm's FCC lead in a fast paced environment. This person will assist directly with policies relating to ABC, AML, and sanctions.
- Client will move quickly with qualified candidate.
- Opportunity to join a dynamic compliance department.
Our client is looking for an experienced individual who is looking to work closely with the financial crimes unit, and manage a small team of their own. This candidate is a self starter, and will assist in all AML and compliance related matters.
- Opportunity for a fully remote position.
- Client will move quickly with a qualified candidate.
Our client is seeking an experienced individual to join the portfolio advisory team, and maintain current/prospective client relationships. This person will be the main point of contact for business development and marketing efforts of the firm.
- Opportunity to join a dynamic compliance department.
- Client will move quickly with a qualified candidate.
Our client is seeking an experienced individual looking to join an ever-growing ODD team. This person will play an active role in meetings with fund managers, senior team members, and assist with analyzing key documents.
- Opportunity to join a dynamic compliance department.
- Client will move quickly with a qualified candidate.
Our client is seeking a compliance professional that will oversee their enterprise-wide derivatives advisory compliance within Federal, State, and non-US financial controls and regulations.
- Opportunity to join a prestigious global investment banking firm.
- Client will move quickly with the qualified candidate.
This consultant position focused on FINRA filings which include U4, U5, BD, BR, 8-R and 8-T. This consultant will be remote but will have the ability to travel to any of the offices in the tri state area. This person will also focus on performing registration pre hire checks and submitting fingerprints.
- Ability to work remotely and/or in the office
- Gain exposure within central compliance
Our client is seeking a compliance professional that will assist in the administration of the firms political contributions programs, gifts and entertainment and general surveillance. This position reports to the Chief Compliance Officer, and will aid in the firms global compliance efforts.
- Opportunity to join a prestigious investment firm.
- client will move quickly with the qualified candidate.
