Compliance and Regulatory

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For over four decades, we have been identifying, screening and counseling the best talent available in the marketplace. Let us put that experience to work for you.

Over the past decade, compliance and regulatory requirements have increased exponentially for Financial Services organizations. Since then, Forum’s professional network and expertise have helped clients source the most appropriate individuals to support and enhance your compliance and operational risk management program.

From job specification development through offer preparation and all components in-between, we work closely with you to ensure a successful hire. We provide current market trends, compensation data and ongoing counsel to  identify and recruit the right individual. Let our 40 plus years of experience, market insight and network of contacts work for you.

Our Compliance and Regulatory Division 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

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