Compliance and Regulatory

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Over the last decade, the compliance and regulatory requirements have increased exponentially for financial services organizations. For over 15 years, Forum has matched top tier clients with the best available talent in the marketplace.

The Forum Group is poised to provide the best candidates or opportunities to meet your specific needs.  From job specification through offer preparation, we work closely with you to provide current market trends, compensation data and ongoing counsel to successfully achieve your defined goals. Let our 40 years of experience, market insight and network of contacts work for you.

Our Compliance and Regulatory Division of specialization includes both permanent and contract recruitment in:

AML/Financial Crime

  • KYC/EDD/PEP
  • On-boarding
  • Sanctions (screening and advisory)
  • AML Surveillance
  • AML Investigations
  • AML Advisory
  • AML Testing/Risk Assessment
  • FCPA/Anti-Bribery Corruption/Conflicts

 

Markets

  • Equities Advisory
  • Fixed Income Advisory
  • Prime Services Advisory
  • FX/EM Advisory
  • Futures/Commodities Advisory
  • Surveillance across all asset classes
  • Control Room Functions
  • IBD Compliance (DCM, ECM, M&A, Syndicate)

 

Core Compliance

  • Gifts/Entertainment
  • Code of ethics
  • Personal account dealings
  • Policies procedures
  • Electronic communications review
  • Regulatory inquiries

 

Buy side Compliance

  • CCO/Deputy CCO

 

1940 Act

  • GC/AGC
  • AML/KYC Vetting
  • Marketing/Advertising Review
  • Guideline Monitoring
  • Conflicts

 

Regulatory Development

  • Dodd Frank/Volcker Implementation
  • CFTC/FINRA/FRB/OCC/NYSB/SEC
  • Regulatory Relations/Inquiries

 

Risk Management:

  • Market Risk
  • Regulatory Risk

 

COO Functions

  • Regulatory Relations/Affairs
  • PMO Regulatory Functions
  • COO in Global Markets
  • Regulatory Change Management
  • Regulatory Strategy

Open Compliance and Regulatory Positions Include:

  • Job Title
    Job Description
    City
    Link
    Salary/Rate
  • AVP Legal and Compliance Officer
    Opportunity to work at one of the world’s leading investment firms. The AVP will work closely with the CCO, General Counsel, and others on the Real Estate Legal and Compliance team. Responsibilities: Oversee the review of marketing materials (FINRA ,…
    New York
    $160,000
  • FX & EM Compliance Officer
    The role will be responsible for supporting the compliance program for the FX and Emerging Markets business within the Fixed-Income Division. The Emerging Markets compliance officer will provide sales, trading and structuring support to the business unit whose primary focus…
    New York
    $200,000
  • AML Analyst
    This client is a highly regarded PE Firm in Midtown this is looking to add an AML Analyst to its growing program.The ideal candidate would have 1-3 years of specific AML experience working within a top tier private equity firm,…
    New York
    $100,000
  • Americas Head of Control Room
    Lead the Americas Control Room team and work closely with regional Control Rooms Maintain information barriers and global restrictions Review research and oversee the bank's compliance with the Global Research Settlement, including coordinating and monitoring communications between research analysts and…
    New York
    $300,000
  • Infrastructure Compliance Officer - VP
    The Infrastructure Compliance Officer will provide compliance advice to Treasury and all Risk areas including: Credit Risk, Enterprise Risk, Market Risk, Liquidity Risk and Operational Risk. In addition, this role will be responsible for monitoring the firm’s implementation of cross-divisional…
    New York
    $300,000
  • AML Senior Investigator
    Responsible for policy and procedures; prepare statistics and reports; identify, investigate and resolve suspicious activitiesResponsibilities:• Research names and accounts provided by various reports and lists through various sources to determine if there is evidence of money laundering activity;• Evaluate transactions…
    New York
    $100,000
  • Anti-Bribery and Corruption for Americas, AVP
    Assist in developing robust anti-money laundering, anti-bribery & corruption, sanctions and fraud-related processes and controls for the global businesses Review and analyze decision transactions and deal-related escalations that raise potential AML, Sanctions or ABC risks Conduct due diligence reviews in…
    New York
    $130,000
  • Employee Trade Surveillance Analyst
    As an Employee Trade Surveillance Analyst, you will be responsible for reviewing personal trading activity for and supporting the Control Room. This includes reviewing various reports and alerts to identify potential trading violations, taking corrective action and educating employees regarding…
    New York
    $90,000
  • Head of Client Advisory / EDD
    Seeking a talented AML / EDD professional to lead, manage, update and maintain the Bank’s AML Advisory Program Lead the Americas Control Room team and work closely with regional Control RoomsResponsibilities: Oversee the Performance of EDD reviews of all high-risk…
    New York
    $250,000
  • Director, US Compliance Practices
    Seeking a Director level Compliance professional to head a global regulatory function.Responsible for ensuring the independence of the Bank resources. Responsible for ensuring that there is effective segregation of all significant roles and duties.• Risk Culture: Embed a risk culture…
    New York
    $500,000
  • VP Compliance Officer - Testing Markets
    Global bank seeking a talented compliance officer to join its Institutional Markets Compliance Testing team. This role will focus primarily on testing the Firm’s institutional equities and fixed income sales and trading businesses. Responsibilities: Conduct compliance reviews under the direction…
    New York
    $200,000

RECENTLY COMPLETED ASSIGNMENTS INCLUDE:

  • Dir. Debt Capital Markets
  • VP Bank Regulatory
  • VP Equity Syndicate
  • SVP Structured Products Distribution
  • VP Fixed Income Compliance
  • VP Debt Capital Markets
  • AVP Cash Equities Advisory Compliance
  • AVP Commodities Compliance
  • VP Structured Products Compliance
  • SVP Municipal Bond Compliance
  • Dir. Regulatory Inquiries
  • Dir. Bank Regulatory
  • Dir. Policies & Procedures
  • VP Compliance Risk Review
  • VP Gifts & Entertainment Compliance
  • VP Equities Advisory
  • Dir. Global Head of Control Room
  • Dir. Global Head of Risk Assessment & Mgmt. Info.
  • Dir. Compliance Risk Reviews
  • SVP Equity Derivatives Advisory
  • VP Investment Advisory Compliance
  • VP Equity Capital Markets Compliance
  • VP AML Monitoring & Testing
  • CCO/GC Global Hedge Fund
  • Associate Director Fixed Income Supervision
  • VP Compliance Marketing Review
  • AVP Personal Trading / Code of Ethics Compliance
  • AVP Financial Crime EDD Compliance
  • Dir. VP Prime Brokerage Compliance
  • Associate General Counsel Multi-Platform Exchange
  • Head of Financial Crime Global Wealth Mgmt. Firm
  • VP- Sanctions Compliance Project Manager
  • MD Americas Head of Compliance – European Investment Bank
  • US Head of Client Liaison Group
  • Vice President, Alternatives Compliance Officer
  • Associate, AML Investigator
  • AVP, AML and Sanctions Advisory
  • Associate Marketing Review Associate – Global Private Equity Firm
  • Senior Compliance Officer
  • KYC Client Onboarding Associate
  • Anti-Bribery and Corruption AVP
  • Director – US Head of Sanctions
  • US Head of Fixed Income & Regulatory
  • VP M & A Conflicts Advisory Global Bulge Bracket
  • Director Head of US Structured Credit Compliance – Global Bulge Bracket
  • Director – Deputy Head of AML Head of Transaction Surveillance & Investigations – European Investment Bank
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