Complinet | Recruitment | Job List

Current/Former Regulators – AML, Policy, Supervision & Enforcement Specialisms

1268756446

Compliance & Regulation | $ Generous + Ex-Pat Package |

Our client is very interested in meeting the above for various roles at different levels. Full specifications available on request, whilst our MD recently met with the client and would be delighted to run through the opportunities, package available and indeed advise on the cost of living & general lifestyle considerations.

Please call Gail Hodes on 212-918-4772 for a confidential no obligation chat about this position or send your details to her at gail@compliancerecruitment.com

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.

Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.

Head of International Compliance, Spanish Speaker

1268686005

Compliance & RegulationFund/Asset ManagementRetail Banking | An attractive salary is on offer to the right candidate |

My client, a global bank is looking for a Head of International Compliance to be based in Toronto.
The role will be to take responsibility for all Compliance in their international jurisdictions. This includes a large proportion of Spanish speaking countries hence the requirement for candidates who are fluent in Spanish.

You will be accountable for:
1. Regulatory Awareness, Liaison and Reporting.
2. Policies, Procedures and Systems Development
3. Monitoring and Surveillance
4. Advice and Training
5. Management of Client Complaints, Arbitration and Litigation
6. Investigating & Remedying Non-Compliance
7. Acquisitions and Integrations

The ideal candidate will have:

*A thorough knowledge of Canadian and international jurisdiction securities, banking, trust, pension, and AML/ATF regulation and compliance and risk management best practices
*Demonstrated skills building and maintaining a Wealth Management compliance program
*Demonstrated skills with respect to analysis and interpretation of regulatory requirements and the exercise of judgment in the application of requirements
*10 years Wealth Management / Securities Industry experience is required.
*Law degree is a nice to have
*Fluency in Spanish is required.

Senior Compliance Officer

1268401465

Compliance & Regulation | 100k - 125k Annually |

Our client, an international bank, is looking for a Senior Compliance Officer to handle the Compliance program for the South Florida region. This position reports directly to the Chief Compliance Officer, located in New York.

The main responsibilities include monitoring employee trading, reviewing email correspondence, approving new accounts, and presenting monthly status reports to the firm's CEO. This candidate will interpret and keep the business up to date with new rules and regulations. This candidate will implement firm policies and procedures and monitor the activities of registered representatives by reviewing surveillance reports.

The Senior Compliance Officer will act as a liaison between regulatory examiners and internal audit teams as necessary. This candidate must also respond to regulatory inquiries and investigate possible violations.

The client prefers candidates with at least 7-10 years of experience in the financial services industry; Series 7 and 24 are required.

Risk Manager

1267706283

Compliance & RegulationFund/Asset ManagementInvestment Banking/Stockbroking | $Market Rate + Good Bonus |

Our client is seeking an experienced risk manager to liaise with the Portfolio Management, Trading, Research and Operations departments to set risk management policies and procedures as well as to monitor, communicate and escalate any issues that might arise in market, credit and operational risk for the Firm and its product offerings. Responsibilities will include

• Developing quantitative/analytic models and reports to help monitor and manage risk on both a day-to-day and longer-term basis.

• Development and reporting of internal risk systems

• Occasional analysis of third-party risk systems

• Analyzing firm workflows, operations and systems, and ensuring that mitigating controls are set for material operational risks, either uncovered during your analysis or as reported by firm personnel.

The ideal candidate will have strong analytical abilities, preferably with a background in mathematics, engineering or other science; 8-10 years of experience in Financial Services with at least 4 years in a dedicated risk management function (preferably with process-driven or quantitative trading strategies); and thorough experience with, and understanding of VAR, sensitivity analysis, shock analysis and stress tests.

Candidates should also possess a detailed understanding of derivatives OTC instruments, an understanding of product-specific risk measures (e.g. DV01, delta and gamma exposure).and a technical skill set, including familiarity with risk systems such as Risk Metrics, Imagine, Algorithmics or Superderivatives.

Please call Gail Hodes on 212-918-4772 for a confidential no obligation chat about this position or send your details to her at gail@compliancerecruitment.com

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.

Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.

Trainee Recruitment Consultants – US Direct Compliance Experience Req’d

1268055384

Compliance & Regulation | $ Generous + Benefits |

We are the leading specialist compliance recruitment company and unique in that all our consultants are former Compliance staff hence not only have the technical knowledge to assist both clients & candidates but as professionals ourselves believe in offering an ethical & quality driven approach to the recruitment process, unlike the sales-driven attitude of most of our competitors.

With offices in the UK, Middle East, Far East & Australia we have an ever growing number of clients, many of whom come to us through recommendation or reputation. Now following recent affiliations & developments, we have just opened our first US office based on Wall Street itself, thus are looking for an extra Recruitment Consultant to join us.

You should have direct experience of working in or advising on Financial Services Compliance within the USA whether gained from a regulatory body or regulated organisation (Bank, Broker/Dealer, Insurance, Investment Advisory/Management or other) or from an Auditing, Consulting or Law firm (or similar).

No previous recruitment experience required as we believe that doing this role does not need such (everyone has to start somewhere after all as we all did) just common sense and an understanding of our marketplace, whilst full training (and many client introductions or actual vacancies to work on) will be provided.

Initial interviews can be held in New York or over the phone, with final face to face interviews in April.

Please contact Gail Hodes on 212-918-4772 for a confidential no obligation chat about this position or send your details to her at gail@compliancerecruitment.com

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.

Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.

Director of Compliance

1267717749

Compliance & Regulation | Salary commensurate to experience. |

SWS Group (NYSE-SWS) is a Dallas-based, full-service securities and banking firm that delivers a broad range of investment and related financial services through its subsidiaries: Southwest Securities, Inc., Southwest Securities, FSB, and SWS Financial Services, Inc. Clients of the company include individual and institutional investors, broker/dealers, corporations, governmental entities and financial intermediaries. The company's common stock is listed and traded on the New York Stock Exchange under the symbol SWS.

The Director of Compliance is responsible for developing and monitoring the firm’s overall compliance process to ensure that the firm’s practices are in alignment with the company’s policies and meet the guidelines of various legal and regulatory agencies (FINRA, NYSE, SEC) as well as federal and state requirements. This position fulfills the regulatory responsibilities of the Chief Compliance Officer for the company and all licensed broker dealer affiliates.

Essential Duties and Responsibilities:

Directs and oversees the compliance staff in reviewing/monitoring requirements and compliance with FINRA, SIPC, SEC and NYSE rules and regulations.
Works closely with senior management to analyze current industry trends, internal developments and compliance issues to determine the scope of department activities and to develop new programs as needed.
Actively participates in the identification, management and resolution of complex compliance issues and develops appropriate business solutions.
Advises business lines on all compliance matters and assists in the resolution of problems/issues.
Conducts periodic reviews of various business units with regard to adherence to firm policy and procedures as well as compliance with applicable regulatory requirements and laws.
Coordinates continuing education requirements with the training department.
Liaise and coordinate regulatory, internal and external examinations and reviews and collaborates with FINOP during FINOP examinations.
Directs the activities and develops the effectiveness of the Compliance staff through effective talent management practices.
Manages and delivers annual compliance risk assessment to the firm’s leadership and Board of Directors.
Conducts and manages regulatory and compliance due diligence with respect to the firm’s acquisition activities.
Provides assistance to the legal function in compliance related matters.

Qualifications/Requirements:

Experience:

Minimum 4 years management experience.
Candidate must possess strong analytical, written, verbal, listening and influencing skills.
Demonstrated leadership, problem-solving abilities and strong attention to detail.
Detailed knowledge of securities regulation and applicable laws.
Demonstrated history of high ethical standards including discretion in dealing with confidential and financial information.
Proven ability to effectively counsel senior management and outside constituents.
Confirmed talent management experience, with ability to develop and retain staff.
Ability to excel in a fast-paced, changing environment.

Education: BS/BA and 10-15 years experience in a senior compliance position within a securities-related environment, or equivalent combination of education and experience; JD desired.

Licenses/Registrations/Certifications: Series 7, 24, 9, 10, 14

Additional Qualifications: Minimal travel required

SWS Group, Inc is a Equal Opportunity Employer. To apply for this position, visit our career opportunities page at www.swsgroupinc.com

Senior Compliance Associates

1266860406

Compliance & Regulation | 0 - 120 Annually |

Investment Management firm is seeking a senior compliance associate with 5-7 years of solid forensic tesing and monitoring background. Experience as a regulator as well as within an investment mangement firm is preferred. This is a newly created position to work directly with the CCO. Must be a self started with hands on experience to interact with business professionals.