Legal jobs

Reporting to the CCO, the Counsel will be responsible for overseeing the bank's corporate compliance program.

This 5-month contract is currently on a hybrid work schedule (6x a month WFH). This consultant will be responsible for utilizing the client's internal surveillance system to oversee communication between employees and clients.

This 6-month contract is currently on a hybrid work schedule in NYC. This consultant will be assisting with the ISO 20022 message testing and documentation, scoping any changes within their sanction/transaction system, assisting with the FircoSoft lists, and documenting any tuning for senior management.

The Compliance Surveillance Analyst is responsible for monitoring employee and firm trading activities, maintaining brokerage account compliance, and conducting surveillance to ensure adherence to insider trading regulations and information barriers. This role involves analyzing trading data, providing policy guidance, managing compliance inquiries, and supporting regulatory audits and special projects in a fast-paced, collaborative environment.

• This role involves managing scheduling, logistics, travel, and administrative tasks for key office leaders, including coordinating client meetings and handling expense submissions.
• The ideal candidate should have 10-12 years of experience in a professional services environment, possess strong organizational and communication skills, and be adept at managing sensitive information and multiple priorities.

Our client is seeking a experienced AML SAR Writer professional to join their team.

Our client is seeking a experienced Transaction Monitoring Analyst to join their team.

• Review of internal/external referrals received by SII Complex Investigations, which includes conducting historical transaction reviews.
• Review of returned payments with and without sanctions nexus to develop the typology, business requirement, and business case documents to support the continued development and enhancement of an automated tool to identify sanctions risk in returned payments.

The BSA/AML Compliance Analyst will be responsible for ensuring the organization's adherence to the BSA and AML regulations. This role involves conducting detailed reviews of customer accounts, transactions, and activities to identify potential suspicious behavior, as well as ensuring that the company's policies and procedures are aligned with regulatory requirements.

This contract position is starting off at 6 months and has the potential to be extended. This consultant will be responsible for identifying, reporting suspicious activity with high risk clients. From here, the consultant will prepare SAR's.

The OFAC Sanctions Consultant will review internal/external referrals and conduct transaction reviews to identify potential sanctions risks, assist in developing typologies for an automated sanctions risk tool, and support post-hoc payment lookback reviews. The role requires strong sanctions knowledge, business writing expertise, and the ability to clearly articulate facts in recommendations, with 5+ years of experience and a CAMS certification preferred.

This is a 3-month contract that is currently 5 days in the office, but has the potential to be a long term engagement. This consultant will be responsible for determining whether an OFAC alert that is related to a flagged wire transfer is a true match or not. This consultant will also be responsible for investigating any confirmed cases and reviewing sampling cases as well.

Our client is seeking a experienced OFAC Investigations professional to join their team.

Our client is seeking a experienced Sanctions professional to join their team.

Improve the compliance department's risk management and controls through the monitoring and testing of their regulatory compliance frameworks.

Perform screening and investigations of sanctions related alerts and stay up to date on regulatory requirements.

Act as the second in command to the firm's VP of Compliance, dealing with a large variety of regulatory and financial crime responsibilities

Perform investment banking compliance at an entry level.

The Risk Assessment Consultant role involves supporting the Risk Assessment Officer in developing and executing compliance risk assessments across various areas, including BSA/AML, sanctions, and fraud. Key responsibilities include analyzing data, identifying risk factors, coordinating training, and drafting assessment reports while ensuring adherence to regulations and internal controls.

The Compliance Monitoring and Testing Specialist will conduct ongoing monitoring and testing to ensure compliance with regulatory requirements. This role requires a background in audit and risk management, focusing on corporate compliance, and involves developing reports on control deficiencies, tracking remediation objectives, and staying informed on federal and state compliance updates.

The Compliance Associate will manage employee licensing, registrations, and onboarding processes, ensuring compliance with FINRA and other regulatory requirements, including U4/U5 filings. This public-facing role requires strong organizational skills, attention to detail, and the ability to multitask in a fast-paced environment.

The BSA/AML Risk Assessment Consultant is responsible for assisting with the development, execution, and administration of Compliance Risk Assessments, including areas such as BSA/AML, OFAC, Corporate Compliance, Fraud, and Anti-Bribery and Corruption. This temporary position involves collaborating with various teams to identify risks, analyze data, and draft reports with recommendations.

The Associate Director of Employee and Labor Relations will partner closely with Legal Counsel and HR to be the internal and external face of employee and labor relations. This person will partner directly with five unions for collective bargaining, any grievances, and arbitration hearings, as well as manage end to end employee relations investigations and make recommendations regarding next steps based on findings.

The Resolution Planning SVP will:

* Oversee all aspects of Resolution Planning including program implementation, drafting and submission of deliverables, as well as gap identification and program enhancements.

* Collaborate with businesses and functions such as Risk, Compliance, Finance and Legal to interpret regulatory requirements, gather necessary inputs for reporting and develop Resolution Plan content.

• Operational due diligence involves on-site visits/meetings with fund managers, verification with various service providers, reference checking, and document reviews.
• A significant portion of the role will entail liaising with external parties while performing due diligence and background checks, as well as reviewing underlying funds' financial and legal documents.

Excellent Assistant Tax Counsel opportunity at a well-known financial services firm based in NYC. This opportunity will include, but will not be limited to, reviewing legal documentation from a tax perspective and reviewing tax planning ideas.