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We are actively recruiting for the following positions.

Please visit our site at www.ComplianceSearch.com for additional positions and complete job descriptions.

Associate Compliance Officer - $50-60K Bachelor's Degree and prior experience in a financial services institution are required, preferably 2 years within a compliance/legal division of a financial services firm.

Series 7 registration, and successful completion of series 9 and 10 registration are required as well.

I need an individual with excellent communication skills and strong interpersonal skills.

Some domestic travel may be required, approximately 5-10 days per year.

I will consider someone who has experience in a client service or opening accounts in a financial services firm.

Advertising and Marketing Review $50-90K Chief Compliance Officer Responsible for development, implementation, monitoring and enforcement of the firm's compliance policies, procedures and standards, with a special focus on compliance monitoring relating to activities of the trading desk.

Compliance Associate $75-100K Support the Chief Compliance Officer of an event-driven hedge fund investment advisory firm on a broad range of compliance functions, with a primary focus on trading compliance.

GCIB Compliance Officer $75-100K The individual will be responsible for reviewing and developing exception based monitoring reports to assess compliance with securities rules and regulations (ie NASD, NYSE and SEC), and with Firm policies.

It requires analyzing detailed trading activity and then communication with business supervision and other applicable personnel to resolve all open items.

Additionally, the individual will be writing and revising surveillance procedures and will participate in special projects and other Firm initiatives as needed.

Senior Compliance Officer The Senior Compliance officer manages divisional and business unit compliance projects and has day-to-day responsibility for routine compliance duties including developing and updating policies and procedures, overseeing product surveillance, liaising with internal audit and business support areas, preparing and conducting compliance trainings, and responding to regulatory inquiries.

Corporate Paralegal $55K base A full-time paralegal position is available to handle sales of restricted and control securities.

The position involves speaking with brokers and issuers' counsels and understanding and applying applicable provisions of the securities laws.

Operations and Technology Compliance Monitoring Compliance Officer position primarily responsible for conducting compliance monitoring for Bank's Operations & Technology (O&T) Sector.

Division Compliance Manager Position reports to Divisional Compliance Director.

Responsible for compliance activities associated with approximately 200 branch offices.

Manage staff of Sales Practice Analysts responsible for the review of active accounts, preparation of FC profiles and analysis of retail account activity.

Ability to develop staff skills and knowledge, manage workloads and identify major issues.

General knowledge of retail branch operations, regulatory rules, and current sales practice issues required.

Must be able to respond to compliance and operationally related questions from retail branches.

Familiarity with securities and products sold through retail brokerage channels including equities, bonds, options, mutual funds, wrap products and annuities.

Must be able to interact with branch office management on a regular basis and provide detailed guidance with respect to firm policies and regulatory issues.

Excellent oral and written communications skills are necessary.

Must be organized and able to work independently.

Periodic presentations to branch management may be required.

Marketing Review Officer $100-110K base The candidate will be in charge of the Firm's legal review of all marketing materials generated by the Firm and materials generated by the Firm, that reference investments and/or securities.

In addition, the candidate will be responsible for reviewing cash & non-cash compensation issues in accordance with NASD and NYSE rules and firm policy.

The candidate will be required to provide guidance to the Firm's sales force and marketing.

Project Manager The project manager will work within AML's Project Management team.

He/she will responsible to manage business-side technology initiatives for the Firm's Anti-Money Laundering Department, as well as assist in the creation and execution of other projects designed to strengthen controls for the Anti-Money Laundering Unit.

The Project Manager will draft Business Requirement Documents for new system initiatives and enhancement to existing technology processes and manage the implementation through to production.

Also, liaise between the AML Unit and the Technology Department to link database information and facilitate work-flow processes.

Surveillance Analyst The primacy responsibilities of the Surveillance analyst are to complete reviews of Exception reports and Mantas alerts designed to detect and prevent money-laundering activities in retail accounts.

The analyst will be responsible for investigation alerts to determine if the account or activity in the account requires additional review and will be responsible for referring alerts or transactions that require further review to the AML Investigations Unit.

In addition, the analyst will be responsible for conducting media reviews, 314 (a) searches, and monitoring account closure recommendations.

The analyst will also be responsible for advising Private Client Branch personnel on AML matters and referring issues that require escalation to the Surveillance manager.

International Attorney $275K Planning strategy for new offices/jurisdictions in which the firm will do business (for example, we have had very preliminary discussions with a Taiwan firm about setting up Taiwanese funds that we would be the advisor for) Getting the firm, and their locally domiciled funds, up and running in new locations (licensing, registration, etc.)* Establishing controls and overseeing ongoing efforts in foreign locations Coordinating and supervising law firms and other third-party advisors in each location Assisting with domestic work as well (time permitting), e.

g., US funds, US institutional separate account business and general corporate work AVP/Senior Analyst $100K plus The AVP & Senior Analyst will support the Mutual Funds OCCO Director who is responsible for carrying out the responsibilities delegated to him by the Mutual Funds' Chief Compliance Officer.

This role will focus on the mutual funds and its service providers (e.

g., affiliated and unaffiliated sub-advisers, transfer agents-TAs) compliance processes under Rule 38a-1.

Review of policies and procedures and participation in drafting and executing the Firm's Funds' oversight monitoring program covering service providers is key to this role.

Other responsibilities may include supporting the Anti-Money Laundering process for the Firm's Funds and other tasks as assigned by the Director of the OCCO.

This position is critical to the oversight of mutual funds and fulfilling the mutual fund boards' mandate of ensuring compliance with relevant mutual fund laws under Rule 38a-1.

Operations Compliance The Operations Compliance Officer will assist the Director of Compliance for Operations in providing advisory services to the Operations Division.

By being involved in new business initiatives, reviewing current operations and helping with day-to-day questions, Operations Compliance advises Operations on new business initiatives, reviews current operations for compliance with applicable policies, laws and regulations, and provides compliance input on day-to-day issues.

In addition, as required, the Operations Compliance group participates in creating and maintaining written compliance policies and procedures, and drafting written supervisory procedures in consultation with the business unit.

Chief Compliance Officer The highly visible position of Chief Compliance Officer will oversee all compliance related activities, including the management of compliance officers who are involved in the day-to-day issues and ongoing management of compliance programs Senior Compliance Business Analyst - $75-90k + bonus Senior Business Analyst as a member of the GWM Compliance Department Special Projects team the Senior Business Analyst is responsible for gathering detailed business requirements to identify the Compliance user's needs, analyzing technical/functional requirements and partnering with IT to help drive technology solutions.

Vice President-Senior Project Manager Compliance - $125K + BONUS Senior Project Manager As a member of the GWM Compliance Department Enterprise Initiatives Projects team the Senior Project Manager is responsible for managing the entire lifecycle of a project from the business user's perspective.

This role requires the ability to work in a fast-paced environment.

Opportunities will exist to become involved with business issues, technology development and regulatory considerations that may affect the outcome of a project.

This position requires the ability to interact with both the business users and IT management and developers.

Prior experience project managing the development, testing, and deployment of alert-based surveillance systems for a retail broker dealer is preferred.

Information Lifecycle Management - To $110k + bonus This position will be responsible for the coordination, analysis and implementation tasks associated with the GRAIL project.

To assist the core team with information and records management globally for the securities and asset management businesses.

To broadly examine and suggest improvements in all aspects of information lifecycle management for both physical and electronic records and information, including classification, storage, retrieval, security, legal preservation and destruction.

VP-Workstream Coordinator - Records Policy - $130-140k + bonus This position will be responsible for the coordination, analysis and implementation tasks associated with the Records Policy project.

To assist the core team with information and records management globally for the securities and asset management businesses.

To broadly examine and suggest improvements in all aspects of information lifecycle management for both physical and electronic records and information, including classification, storage, retrieval, security, legal preservation and destruction.

AML Compliance Analyst Anti-money laundering and economic sanctions compliance analyst responsible for reviewing transaction and account monitoring reports, reviewing payments and other transactional messaging for potential sanctions (OFAC) implications, administering the foreign bank certification procedures, assisting the anti-money laundering team in creating a systems of records to document the adequate performance of its procedures, maintaining logs of exception items identified in the reporting and following up on outstanding exception items and managing, compiling data and metrics to prepare routine reports for management.

Candidate should have 1-5 years compliance experience, particularly hands on AML experience with a major commercial or investment bank.

Retail Advertising and Sales Lit Review Analyst Position $100K base Your job will be to review all public and internal advertising and marketing material produced by the firm to help assure that it conforms to securities regulations and firm policy.

You will be reviewing material produced in the branch system and from the Product Marketing, National Sales, National Advertising, Marketing Communications and Communication and Marketing departments.

You will be reviewing material on paper, on line and in all other available media forms.

Assistant Director of Compliance $100K base Your job will be in the Compliance Department's Policy and Training Unit, which is responsible for implementing policy changes that reflect regulatory, industry and Firm developments as well as developing related training and education programs and materials, where appropriate.

Your position will focus on identifying, developing and implementing firm-wide training initiatives, often from project initiation through post implementation.

Your principal responsibilities will include oversight of the administration of the Firm's Continuing Education Program, including the Regulatory and Firm Elements, such as development of needs analyses and training plans; management of the Firm's Compliance training programs, including training of new hires, web-based Compliance curricula and Certifications of Compliance; active participation in the evaluation, development, design and implementation of new Compliance training initiatives and development, dissemination, tracking and follow-up of the Branch and Home Office Annual Compliance Meetings.

Senior Compliance Analyst $65K base Your job will be to handle the initial qualification and registration process for the Firm's personnel that require licensing, pursuant to industry rules, in order to perform their functions.

This will include transferring licenses and obtaining additional registration for product-specific licensing, as well as supporting the Private Client Group with assistance in the registration and qualification process (e.

g., following-up and communicating with all SROs and states regarding pending applications).

Research Compliance Monitoring and Control $100K base Your job will involve responsibility for researching advice to business management, handling clearance of new research initiatives and templates, liaising with the Investment bank control room, which will perform the majority of day-to-day research clearance, developing and monitoring internal control arrangements with the research department and crossing the research wall.

You will interact with analysts and product staff, have personal account dealings and have some involvement with research clearance.

Additionally, you will be involved in restricted list maintenance, and heavily involved in the design and implementation of a completely new control process.

You will have an opportunity to add value by bringing prior experience to bear.

Senior Compliance Analyst $75K base Your job duties will primarily include completing reviews of selected retail active accounts via in-house systems to identify potential sales practice concerns relating to specific products including mutual funds and annuities to ensure compliance with internal controls, company policies, and Exchange rules and regulations.

You will conduct the review by analyzing and evaluating risk factors.

Retail Surveillance Manager $100K-110K base Your job will be to conduct interviews with management to develop risk assessment plans and conduct examinations.

You will assist business and their management in the identification, management and reduction of compliance risk within the Firm.

You will prepare and issue examination reports and develop a Risk Assessment plan and methodology based on Supervisory Control gaps as well as gaps identified via Group Internal Audit, Compliance, Legal, and Operational Risk and Regulatory developments.

You will conduct examinations and reviews of all areas of the firm's business areas (non-branch) from a monitoring and testing aspect.

You will also assess whether processes / procedures and activities are in compliance with applicable firm policies, SRO and federal laws.

You will design and implement procedures and policies which address any compliance issues identified during the examinations, independently verify adherence to Supervisory Control Rules and determine if Supervisory Control gaps have been corrected.

You will coordinate with other areas of the firm (ie Compliance, Business, Group Internal Audit, and Operational Risk) and assist in the implementation of firm wide remediation and special projects as defined by the Director of Compliance or the firm's General Counsel.

Lastly, you will manage and have supervisory responsibilities over current Risk Assessment staff.

Please email resumes to Jack Kelly at jkelly [at] ComplianceSearch [dot] com

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