SINCE 1974, WE HAVE BEEN DEVELOPING STRONG TIES WITH CLIENTS BOTH LARGE AND SMALL. LET US PUT THOSE RELATIONSHIPS TO WORK FOR YOU.

Open Compliance and Regulatory Positions Include:

• Job Title
  Job Description
  City
  Link
  Salary/Rate
• CCAR Auditor
  Key responsibilities: · Support the Vice President in scoping the audit where necessary. · Identify, assess & document risks and controls. · Complete testing. · Evaluate the design and operating effectiveness of controls & document this understanding in the BIA…
  New York
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  $0
• IT Auditor - VP
  Our client a Prestigious Global Bank is in need of a IT Auditor at the VP Level. The opportunity offer tremendous exposure and high growth potential. Key Responsibilities: You will be required to evaluate the adequacy and effectiveness of internal…
  New York
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  $175,000
• 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
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  $90,000
• 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
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  $130,000
• AML Senior Investigator
  Responsible for policy and procedures; prepare statistics and reports; identify, investigate and resolve suspicious activities Responsibilities: • Research names and accounts provided by various reports and lists through various sources to determine if there is evidence of money laundering activity;…
  New York
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  $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
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  $300,000
• 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…
  New York
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  $100,000
• 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
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  $160,000
• 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
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  $200,000
• 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…
  New York
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  $500,000
• 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 Rooms Responsibilities: Oversee the Performance of EDD reviews of all…
  New York
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  $250,000

The Forum Group is poised to assist you in achieving your career goals. We play an active role in your job search, from providing insightful counsel on current market trends to working closely with you to develop and meet your career objectives. Forum’s Financial Services Practice works with leading investment, private, commercial and retail banks; traditional and alternative asset managers; broker-dealers; and insurance companies. Let our 40 plus years of experience, market insight and network of contacts work for you.