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Deputy Chief Compliance Officer
Job Purpose: The primary focus of the position is to assist the NY Branch's Chief Compliance Officer and Head of Legal and Compliance manage day to day aspects of the New York Branch's Compliance program and high level communications with NY Branch Management. Responsibilities: Support and assist CCO in designing and overseeing the overall compliance programs, including KYC, BSA/AML, OFAC, Corporate Compliance and other related projects. Support CCO in reviewing all business, products, operations and administrative departments within the Branch to ensure they are compliance with internal policies and procedures, applicable to supervisory guidelines and adequacy of operational an...
Skills:financial services operations
Company:Infinity Consulting Solutions, IncLocation:NEW YORK, NY
Posted Date:09/10/2017
 
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Compliance Manager
As a Compliance Manager, you'll collaborate with our marketing team to promote the companies mission. You'll assist this effort by helping to get the word out about our products, services, and efforts to democratize financial literacy all in a clear, transparent and compliant way. You will serve as a subject matter and regulatory expert on all marketing-related assets as well as the last line of defense with regard to the accuracy of content. What you'll do: Provide advice and guidance on the firm's digital marketing strategy, including the development and enhancement of educational content and digital assets (Twitter, Facebook, Instagram, blog articles, push notifications, et...
Skills:investment products
Company:Infinity Consulting Solutions, IncLocation:NEW YORK, NY
Posted Date:07/09/2017
 
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Compliance Analyst
COMPLIANCE ANALYST Seeking a junior-level Compliance Analyst to join an established and growing financial institution. The Compliance Analyst will be an integral part of a concentrated team working with all levels of the business and information security teams to update and expand on regulatory and security policies and procedures. The ideal Compliance Analyst does not need to be hands-on technical but should have a good understanding of how to explain security risks and the controls and technology needed to resolve those risks for the National organization. Excellent communication skills are required. RESPONSIBILITIES: Assist in the development and updating of enter...
Skills:SharePoint, CISSP
Company:Infinity Consulting Solutions, IncLocation:CHICAGO, IL
Posted Date:28/08/2017
 
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Senior Compliance Officer - AML Operations
The NY Branch of a foreign bank is looking for Senior Compliance Officer – AML Operations. The Senior Compliance Officer – AML Operations is going to be overseeing the day to day aspects of the OFAC, BSA/AML operations, including coordinating deadlines and managing the day-to-day workload of the unit and assigning job duties within the area, to ensure timely completion of assignments and duties. The Senior Compliance Officer – AML Operations will: Assist with writing and maintenance of policies and procedures Manage the tuning and calibration efforts of the AML transaction monitoring software in concert with the BSA/AML Officer and/or BSA/AML Deputy Develop, administer and m...
Skills:communication skills
Company:Infinity Consulting Solutions, IncLocation:NEW YORK, NY
Posted Date:09/08/2017
 
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Portfolio Compliance Specialist
An asset manager is looking to bring on a Portfolio Compliance Specialist to provide extra support to their risk and compliance team. The Portfolio Compliance Specialist will require knowledge of investment instruments and pre-trade/ post trade compliance surveillance. The Portfolio Compliance Specialist will: • Conduct review of portfolios for compliance with client and regulatory restrictions (using Charles River). Blackrock Aladdin, in the long term. • Handle day-to-day issues in Charles River, including researching and acting on system alert and warning exceptions • Review exception reports and conduct forensic testing as part of on-going compliance monitoring program ...
Skills:Good problem-solving skills
Company:Infinity Consulting Solutions, IncLocation:NEW YORK, NY
Posted Date:17/07/2017
 
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Director of Compliance
An asset manager and investment bank is looking for a Director of Compliance for Institutional Distribution the Director of Compliance will: Assist in ongoing development and support of our global compliance program for Institutional sales; Serve as a liaison for GIPS, represent Institutional Compliance at GIPS Committee Meetings and provide regulatory compliance advice to the GIPS Committee when required; Develop and review regulatory policies, procedures, and assist the business with developing or reviewing desktop procedures for the business; Attend meetings and hold ad hoc discussions with the business to understand new marketing initiatives; offer compliance guidance, and ...
Skills:Client Advertising Rules
Company:Infinity Consulting Solutions, IncLocation:NEW YORK, NY
Posted Date:17/07/2017
 
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Senior Compliance Associate
A Registered Investment Adviser that manages PE funds and has an affiliated Client is looking for a Senior Compliance Associate. The Senior Compliance Associate will report up to the CCO for the Client, who reports up to the General Counsel/Chief Compliance Officer. The Senior Compliance Associate will Assist with managing a comprehensive compliance program for limited purpose Client authorized to promote the private funds of its parent company Monitor and test compliance program Manage annual and quarterly employee compliance reports and attestations Assess and mitigate legal and compliance risks and conflicts of interest Manage regular compliance training of employe...
Skills:Advanced skills in Excel
Company:Infinity Consulting Solutions, IncLocation:NEW YORK, NY
Posted Date:17/07/2017
 
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Compliance Director
Compliance Director Looking for an experienced candidate to join the firms growing Institutional Compliance team. Reporting to the Head of Institutional Distribution Compliance, the Compliance professional will be a point person for the day-to-day compliance needs which encompasses sales and marketing, client services (for SMAs) and investor services (for funds) and will provide compliance support on key areas such as product and strategy distribution and sales initiatives. The successful applicant will work closely with compliance colleagues in the U.S., Europe and Asia to ensure coordinated compliance coverage for the team, and will be responsible for providing advice on cross-...
Skills:Investment Advisors Act of 1940
Company:Infinity Consulting Solutions, IncLocation:NEW YORK, NY
Posted Date:17/07/2017
 
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Compliance Analyst - Complaints
A large transportation and auto finance startup is looking to bolster its compliance team. This part of the company provides leasing alternatives and solutions for drivers. In order to make sure the company is providing the best product and service, the compliance team needs Compliance Analysts to manage customer and driver complaints. However, these analysts will be part of an elite team that deals with complaints that are escalated from the customer service department. The Compliance Analysts will be expected to provide compliance guidance to the organization, beginning with policies, procedures, and the Compliance Management System. A Compliance Analyst on the Complaints ...
Skills:CRCM
Company:Infinity Consulting Solutions, IncLocation:PHOENIX, AZ
Posted Date:14/07/2017
 
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Compliance Analyst
The NY Branch of a foreign bank is looking for Compliance Analysts. The Compliance Analysts will first help with a remediation and RFI. The Compliance Analyst will: Be able to transition from Transaction Monitoring investigations to clearing of OFAC screening alerts where need arises. Assist with various BSA/Regulatory projects. Assist with CIP, CDD, EDD, KYC Reviews. Responsible for sending out RFIs and tracking own cases as part of investigations as per procedure. Assisting with other ad hoc tasks assigned by BSA/AML OFAC Senior Compliance Operations Manager. Bachelor's degree or equivalent, with at least 2-5 years of work experience in the compliance field, preferably ...
Skills:ACAMS certificate
Company:Infinity Consulting Solutions, IncLocation:NEW YORK, NY
Posted Date:14/07/2017
 
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AML Business Analyst
The NY branch of a foreign bank is looking for a AML Business Analyst. The Business Analyst ensures that all activities undertaken by the branch comply with the US Federal and State Banking Regulations, specifically regarding the Bank Secrecy Act and US Patriot Act. Compliance is responsible for transaction monitoring, Know Your Customer (KYC), Enhanced Due Diligence (EDD), filing of SARs, and all issues on US sanctions against countries/entities (SDN), drug trafficking, organized crime, tax evasion, embezzlement and money laundering as well as overseeing and verifying that all staff are adequately trained in their assignment, particularly for BSA, and other regulatory issues and mai...
Skills:ACAMS certificate
Company:Infinity Consulting Solutions, IncLocation:NEW YORK, NY
Posted Date:08/07/2017
 
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Portfolio Compliance Specialist
An asset manager is looking to bring on a Portfolio Compliance Consultant to provide extra support to their risk and compliance team. The Portfolio Compliance Consultant will require knowledge of investment instruments and pre-trade/ post trade compliance surveillance. The Portfolio Compliance Consultant will: • Conduct review of portfolios for compliance with client and regulatory restrictions (using Charles River) • Handle day-to-day issues in Charles River, including researching and acting on system alert and warning exceptions • Review exception reports and conduct forensic testing as part of on-going compliance monitoring program • Review client contracts and interpr...
Skills:problem-solving skills
Company:Infinity Consulting Solutions, IncLocation:NEW YORK, NY
Posted Date:06/07/2017
 
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Portfolio Compliance Specialist
An asset manager is looking to bring on a Portfolio Compliance Specialist to provide extra support to their risk and compliance team. The Portfolio Compliance Specialist will require knowledge of investment instruments and pre-trade/ post trade compliance surveillance. The Portfolio Compliance Specialist will: • Conduct review of portfolios for compliance with client and regulatory restrictions (using Charles River). Blackrock Aladdin, in the long term. • Handle day-to-day issues in Charles River, including researching and acting on system alert and warning exceptions • Review exception reports and conduct forensic testing as part of on-going compliance monitoring program ...
Skills:problem-solving skills
Company:Infinity Consulting Solutions, IncLocation:NEW YORK, NY
Posted Date:04/07/2017
 
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Compliance Analyst
A large foreign corporate and investment bank is looking for a Compliance Analyst for a project. The Compliance Analyst will help with the: Process for registering customer static data into the bank's systems. Communicate with Account Officers and respond to inquiry from other departments Deliver documents to related unit / section, e.g. Deposit Account Opening request. Check the data integrity among systems. Liaise with Account Officers regarding differences between CCDB and the various systems. Investigate differences between CCDB and the various systems. Monitor daily outstanding items in the CCDB To Do List. Responsible for daily monitoring and reporting to ac...
Skills:Communication Skill
Company:Infinity Consulting Solutions, IncLocation:JERSEY CITY, NJ
Posted Date:04/07/2017
 
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