Legal category and Financial Services industry jobs

Expertise includes but is not limited to the following: · Working knowledge of technology in support of Compliance activities in a financial services organization. · Understanding of compliance regulations such as but not limited to: the Patriot Act - OFAC – Office of Foreign Asset Control, AML – Anti-Money Laundering, and CIP – Customer Identification Program, - Complaint Tracking, Fair Lending ·...
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Job Title: Compliance Supervisor or Manager Job ID: 16799 Location: Columbus,OH, US Full/Part Time: Regular/Temporary: Regular Line of Business:Alliance Data Responsibilities Job Summary: Coordinate, plan and conduct regulatory compliance reviews to assess risk, evaluate internal business processes as they relate to compliance activities, and analyze operating procedures. Provide direction and sup...
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Posting - TS AML Compliance Advisor J.P. Morgan's Treasury Services "TS" is a full-service provider of cash management, trade, liquidity, commercial card and escrow services to financial institutions, corporates, governments and municipalities in over 180 countries and territories. This role will focus on the analysis of the Anti-Money Laundering "AML" risks associated with the TS foreign correspo...
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Compliance Director $120-150K + 25-40% Bonus Billion dollar global electronic trading conglomerate seeks degree (FINRA Licenses: Series 7 & 24 a +) (MBA a +) with 5+ years compliance experience in US laws and regulations. Must have fixed income, credit products and transactional experience. Responsible for rules and regulations related to capital markets especially fixed income. Provide support ad...
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Risk Manager $120-130K + 20-30% Bonus Billion dollar global investment/trading conglomerate seeks risk specialist; CFA or MBA a + (Series 7 a MUST) with 5+ years credit or market risk or treasury risk. Must have familiarity with US Treasuries or other Fixed Income markets. Must also have knowledge of risk methodologies and metrics such as VAR and stress testing. Any due diligence experience on fin...
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Job Summary & Mission: This position is in the advisory group of Equities Compliance. The compliance officer will provide advice to traders, sales persons and technology personnel regarding regulatory requirements for trading-related systems. In particular, the compliance officer will provide compliance support for projects involving Equities IT implementation of compliance requirements and initia...
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POSITION SUMMARY The individual selected for this role will be responsible for ensuring the firm’s and individual Financial Advisor’s adherence to the laws and requirements of various regulatory bodies. Candidate will be a results-oriented individual with a keen eye for detail and superior evaluation and presentation skills. ESSENTIAL DUTIES AND RESPONSIBILITIES Conduct routine surveillance of ret...
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Business Segment Capital - Retail Finance About Us Position can be located in any GE Retail Finance location. GE Capital’s Retail Finance business is among the country’s most successful retail lenders, with more than 75 years of experience in consumer financing. The business, which originates loans as a unit of GE Capital Retail Bank, provides credit card programs to retailers and consumers in the...
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Business Segment Capital - Retail Finance About Us Position can be located in any GE Retail Finance location. GE Capital’s Retail Finance business is among the country’s most successful retail lenders, with more than 75 years of experience in consumer financing. The business, which originates loans as a unit of GE Capital Retail Bank, provides credit card programs to retailers and consumers in the...
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Business Segment Capital - Retail Finance About Us Position can be located in any GE Retail Finance location. GE Capital’s Retail Finance business is among the country’s most successful retail lenders, with more than 75 years of experience in consumer financing. The business, which originates loans as a unit of GE Capital Retail Bank, provides credit card programs to retailers and consumers in the...
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Business Segment Capital - Retail Finance About Us Position can be located in any GE Retail Finance location. GE Capital’s Retail Finance business is among the country’s most successful retail lenders, with more than 75 years of experience in consumer financing. The business, which originates loans as a unit of GE Capital Retail Bank, provides credit card programs to retailers and consumers in the...
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Business Segment Capital - Retail Finance About Us Position can be located in any GE Retail Finance location. GE Capital’s Retail Finance business is among the country’s most successful retail lenders, with more than 75 years of experience in consumer financing. The business, which originates loans as a unit of GE Capital Retail Bank, provides credit card programs to retailers and consumers in the...
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We are a leader in our industry and as such are stable and growing. We have an immediate opening for a Sr manager / Team lead in Anti money Laundering. This position manages 2 direct reports with a total team of 10, does require modeling on a daily basis rather a strong understanding of same so as to manage the team and tasks at hand (some, very little, modeling may be required ). This is a high v...
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Envestnet, Inc. (NYSE: ENV) is a leading provider of technology-enabled wealth management solutions to investment advisors. Envestnet's Advisor Suite® software empowers advisors to better manage client outcomes and strengthen their practice. Envestnet offers advanced portfolio solutions through its Portfolio Management Consultants Group, Envestnet PMC®. Envestnet Tamarac provides leading rebalanci...
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EVP Fixed Income-Compliance Director $350-450K Total Comp Billion dollar global institutional broker dealer conglomerate seeks degree with 7+ years hands on and supervisory Fixed Income/Derivatives Broker Dealer Transactional Compliance experience. (Series 7, 63 a MUST and 24 a +) (JD also a +) Must have strong knowledge of US Securities laws and regulations including FINRA, Dodd Frank, SEC and th...
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Job Title: IT Compliance Analyst Job ID: 17765 Location: Dallas,TX, US Full/Part Time:Full-Time Regular/Temporary: Regular Line of Business:Alliance Data About the Opportunity Conduct IT compliance testing to assess risk, evaluate internal controls, safeguard assets and analyze IT controls supporting financial reporting and operating procedures. Review areas identified for improvement by staff and...
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Job Summary: Provide legal guidance to company operations groups relating to compliance with federal and state regulations relating to debt collection and consumer credit rights, including compliance with the Fair Debt Collection Practices Act, Fair Credit Reporting Act, Gramm-Leach-Bliley Act and other collection industry related legislation and the mandates of the Consumer Finance Protection Bur...
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Attorney, Compliance Professional (Asset Management) - Investment Bank Major Investment Bank seeks an attorney or compliance professional with asset management/Investment Company Act experience. Primary function is conducting service provider compliance pursuant to Rule 38a-1. Other functions include assisting in the development of an oversight program regarding all companies that do business with...
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POSITION SUMMARY The Senior Compliance Analyst is responsible for assisting in the development, implementation and maintenance of the firm’s asset management and corporate regulatory compliance programs, including, among other things, the development of compliance policies, procedures and processes, maintenance of the firm’s asset management Code of Ethics, assistance with marketing review, review...
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Bright, energetic and self-motivated Associate General Counsel needed for Financial Firm: Position Summary: The Associate General Counsel reports to the General Counsel to provide support in all aspects of the business. Candidate must have solid drafting and document negotiation capability for a broad variety of agreements from NDAs to complex financial transactions and knowledge of securities or ...
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Green Tree's core philosophy - that great relationships are the key to effective loan servicing - has established us as one of the country's leading credit-sensitive asset servicers. We provide credit-risk owners with a full-range of innovative, portfolio management solutions that help them maximize the performance of their asset-backed loan portfolios, including fee-for-service, shared risk and o...
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Foliofn, Inc. is a financial services and technology firm offering the next generation of investing after mutual funds and Exchange-Traded Funds (ETFs) and is unparalleled in what we offer investors. Foliofn, Inc. provides a patented platform allowing investors to economically create and manage a diversified portfolio, what we call “Folios”. We offer these services to financial services firms, inv...
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Job Description Sr. Analyst - External Reporting (McGraw-Hill)-27893 Description The Senior Analyst of External Reporting is responsible for supporting the Manager - External Reporting in preparing and reviewing the SEC reporting requirements for The McGraw-Hill Companies (the “Company”) and assuring the integrity and appropriateness of the Company’s disclosures in accordance with the SEC’s rules ...
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Job Description Associate General Counsel-25951 Description Standard & Poor's is the world's premier provider of investment research, market indices, credit ratings, financial data, and fixed income research and analysis. With more than 10,000 employees and offices in nearly two dozen countries, S&P is valued by investors and financial decision-makers everywhere for its analytical independence, ma...
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Purpose of Role The Anti-Money Laundering & Economic Sanctions Officer is responsible for the firm's Anti-Money Laundering and Economic Sanctions Programs. These programs include AML, KYC, CIP, OFAC, FCPA, ABC and related global regulations. The individual will be responsible for keeping current with regulatory changes, managing a team of about six Compliance professionals and coordinating efforts...
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