Compliance Complete | Recruitment | Job List

Compliance Associate

1336048664

Compliance & RegulationFund/Asset Management | Competitive base salary and benefits package |

Leading New York based Compliance Consulting firm with a great client roster ranging from start-ups to large firms with well-established track records and encompassing a broad range of investment strategies and styles, is looking to hire an experienced Compliance Associate.

Based in the New York office, the successful individual will be responsible for helping to provide both SEC registered and unregistered investment advisers with various levels of tailored compliance and regulatory support services. These services range from compliance infrastructure reviews to more proactive monitoring and maintenance of a firm's compliance program. The Compliance Associate will work with various clients to provide a high level of service and pro-active support.

The ideal candidate is likely to have in the region of 1- 3 years' compliance experienced, ideally gained within a hedge fund or other investment firm, and have experience of handling regulatory issues under the Investment Advisers Act of 1940. Applications may be considered from candidates with more or less experience than this who can demonstrate the necessary level of competence.

A Bachelor's degree is strongly preferred although a JD is not required. Candidate must be extremely detail oriented and have exceptional focus on delivering to clients. Whilst the culture of the firm is collegiate and team-based support structures are in place, you must be able to work without guidance where required as well as be a strong team player

Candidates must have the right to work in the US without restriction.

Compliance Audit Manager – QA/QM or Regulatory Affairs Healthcare Experience Req’d

1337343351

Compliance & Regulation | 120k - 130k Annually + Bonus & Bens |

Our Client is a leading technology and research organization across the globe now seeking to recruit an experienced compliance auditor. Within Compliance Audit, you will support the concept of Integrated Audits by working together with managers and auditors from other disciplines (i.e., Operational, Financial & IT Audit).

You will be responsible for the day-to-day management and execution of Audit Engagements, ensuring accordance with the prescribed methodologies, and policies and procedures.

You should have a strong academic history, at least 6-8 years work experience as a specialist in Quality Management and / or Regulatory Affairs in a multinational medical devices or pharmaceutical firm and knowledge of Healthcare specific regulatory laws & regulations.

Please call Augustus Romain # 212-918-4772 for a confidential discussion about this position or send your details to gus@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.

Compliance Analyst – Corporate Finance

1336146411

Compliance & Regulation | 85k - 100k Annually + Bonus & Bens |

Our Client, a leading International Group, seeks to recruit an experienced Compliance Officer. Responsibilities will include:

Advise Corporate Finance business areas on firm policies and procedures and applicable securities laws and FINRA regulations
Identify regulatory trends and developments that impact Corporate Finance business areas, and advise staff as to how this may impact their current activities.
Draft, update, and implement relevant policies and procedures.
Provide regulatory/compliance training.
Assist the business implement and document various supervisory/control mechanisms.
Develop and assist in executing compliance reviews of Corporate Finance businesses
Participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections.
Interact with federal and state regulators
Track and report relevant key metrics for the Compliance department

You should have a least a Bachelors Degree or equivalent with 2+ years of securities experience, gained in a global investment bank, a regulator or a law firm. You should have strong knowledge of applicable securities laws, rules and regulations and experience in providing legal, regulatory or compliance advice in connection with investment banking transactions.

Please call Augustus Romain # 212-918-4772 for a confidential discussion about this position or send your details to gus@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.

Senior Compliance Manager – AML Policy

1336146367

Compliance & Regulation | 150k - 160k Annually + Bonus & Bens |

Our Client, a leading International Group, seeks to recruit an experienced AML Policy Manager

Help develop global AML/Sanctions policies, including working with affected business and control areas, as necessary
Help develop and manage AML global policy process and governance
Work with other Compliance areas to coordinate AML and other compliance policies
Help develop and manage tracking and assessment of policy impact of North America AML legal and regulatory requirements and assist in tracking global developments
Assess and assist in drafting regional and local AML policies
Develop and assist in developing appropriate policy-related communication and training, as necessary.

You should have at least 12 years experience in banking/financial services of which at least six years should have been in AML or Sanctions related roles, and you should have gained previous experience in creating & writing policy whether in AML or broader roles.

Please call Augustus Romain # 212-918-4772 for a confidential discussion about this position or send your details to gus@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.

Senior Compliance & Surveillance Manager – Retail Broking Experience Required

1336146230

Compliance & Regulation | 150k - 175k Annually + Bonus + Benefits |

Our Client, a leading International Group, seeks to recruit an experienced Senior Compliance & Surveillance Manager

Lead, coordinate and manage compliance reviews and investigations.
Manage sales practice and surveillance activities of client account & employee reviews
Conduct monitoring and escalation activities relative to analyst surveillance functions.
Provide ongoing compliance advisory support regarding sales practice matters to business and other Compliance areas
Project management for compliance initiatives, and provide advice and guidance relative to regulatory reviews and investigations.

You should have good experience of retail broking compliance whether gained in an in-house role, a consultancy or a Regulatory organisation. Full specification available on request.

Please call Augustus Romain # 212-918-4772 for a confidential discussion about this position or send your details to gus@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.