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Job ID Number: 1257193141
Please reference this Job ID number in any communication you may send.
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| Job Category: |
Compliance Analyst |
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| Job Title: |
Large Holdings Compliance Officer |
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| State/Location: |
New York, NY |
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| Recruiter Name: |
Jack Kelly |
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| Recruiter Email: |
JKelly@ComplianceSearch.com |
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| Description: |
Our client is a global investment bank.
The company seeks a Compliance professional to assist the Global Heads of the Large Holdings team with the deliverables and expansion of Large Holdings analyses and infrastructure, in response to expanding regulatory disclosure requirements and increasing business demand.
Main Duties
Key tasks to include assisting the Global Heads in:
• general business coverage relating to financial instrument and transaction structure analyses affecting Large Holdings disclosure globally;
• coordinating and harmonizing industry interpretation;
• establishing global Large Holdings protocols, procedures and early warning systems globally;
• remediating general and IT large holdings issues;
• coordinating remediation of late filings and deliverables
• conducting monitoring and surveillance activities;
• liaising with traders and the business to provide real-time trade approvals and position information;
• assisting with Tier One, Tier Two and Tier Three legal analyses;
• identifying regional/local resources and disclosure needs; and
• training senior management and the business on Large Holdings issues.
To apply please submit your resume to Jack Kelly – Jkelly@ComplianceSearch.com
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