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1. Chief Compliance Officer
Miami, Compensation: Open
Provide leadership and business judgment and serve as a trusted advisor to senior management within the advisory area. Ensure that the company’s advisory area has the proper compliance processes, procedures, systems, and controls in place to effectively position the company in an intensifying regulatory climate.
Ensure supervisory infrastructure and policies are robust and effective while exercising responsibility for ongoing compliance monitoring of policies and procedures. Experience in conducting comprehensive compliance reviews of businesses and ability to identify initiatives for the coming year. This includes identifying potential areas of compliance vulnerability and risks as well as articulating and implementing corrective action plans.
Skill in researching new or revised laws and regulations (and corporate policy where applicable) to determine impact on the business and its processes, procedures, and surveillance reports. Providing compliance briefs on upcoming rules, changes, and industry practices. Coordination with regulatory examiners and internal audit reviews. Responding to regulatory inquiries as appropriate. Manage and respond to SEC and FINRA examinations, internal audits, investigations and other inquires; draft replies to such inquiries and examination reports.
Ability to monitor and administer a compliance training program for employees.
Conduct customer account reviews. Design, implement and manage the Firm's broker-dealer and investment advisory compliance programs. Ensure firm meets current SEC and FINRA rules for applicable areas of business operations.
Manage and enforce the Anti-Money Laundering Program. Lead the team responsible for a wide scope of compliance activities, ranging across brokerage, advertising, regulatory compliance (including SEC), and sales practices.
Ensure productive relationships with regulators and key outside counsel/consultants, striving to establish constructive relationships based on clear communication, mutual
Fluent in English and Spanish.
2. Operations Manager, Trade Services.
New York , Compensation: Open
The Operations Manager is responsible for the day-to-day management, and administration of our client's business operations. This includes responsibility for the quality and timeliness of the work product, customer service quality issues, the accuracy of the business’ records and the overall level of compliance of the team with the various Government regulations and the Bank’s credit and operational policies.
Our client provides a variety of trade related financing and invoicing services such as Purchase of Receivables, Purchase and Resale at extended Payment Terms and Inventory Management for a client base of SCB, New York customers located in the U.S. A., Latin America, Asia and Europe. Before becoming clients of the SCTSC, these customers underwent the Bank's customary credit review processes and are monitored to ensure that they maintain the proper credit grade(s).
Successful candidates must have three to five years of staff management experience. Additionally, they will have five (5) years of direct commercial and standby letter of credit experience. They must also have solid accounting knowledge and good, general bank lending and Global Market operations background and will possess a deep working knowledge of bank and Management Controls, funds transfer operations, bank communications systems, etc.
Candidates must be entirely familiar with the theory and application of the guidelines of ICC publications, Basel, Credit Policies KYC and banking and commercial accounting. They must also be familiar with the purposes and uses of the Commerce and Treasury Department’s OFAC and Anti-Boycott regulations.
Excellent inter-personal and staff management skills are required. Excellent written and verbal skills are required. Candidates must possess good PC skills (MS Excel, Word, Power Point and Access) so as to be able to use the Bank’s communication and graphics packages in the performance of their responsibilities.
3. Treasurer
New York - Midtown, Compensation: $150K-$200K
Manages and controls the Branch’s liquidity, asset/liability management, investments, and foreign exchange activities under the authority granted by Head Office and consistent with U.S. regulatory requirements.
Engages in investment activities designed to meet the Branch’s objective of maintaining ample liquidity while earning a competitive return on its investments.
Develops and implements treasury policies and procedures and monitors adherence thereto.
Stays abreast of market developments that may impact the Branch’s treasury activities.
Develops the Branch’s Contingency Funding Plan and, together with the General Manager, executes the plan, if necessary.
Monitors the Branch’s adherence to Head Office-assigned limits and provides regular reports to Head Office and the General Manager on limit adherence, treasury activities and performance.
Develops business with counterparties and customers and, with the assistance of the Trader and Head Office, markets the Branch’s treasury and investment products.
Represents Bank in the marketplace on matters related to treasury activities.
Markets and manages the Yankee CD Program of the Bank, looking for new investors and promotes the Bank in the US domestic investor market thru the broker dealer community.
Assists the Money Market Supervisor (Operations), as requested, in resolving any confirmation issues.
Works with counterparties and customers, as necessary, to resolve any disputed trades.
Researches and develops ideas for new treasury products for the Branch.
Supervises and oversees the Branch’s trader(s).
Proficiency in Spanish key to this role.
4. Supervisor, Trade Services
Denver Colorado , Compensation: Open
The Trade Services/Letter of Credit Operations team provides critical back office support for our clients cross border lending and trade finance functions as well as Commercial and Standby Letter of Credit processing. Our client is a major lender under the export credit guarantee programs of the U.S. Department of Agriculture (USDA) and the Export-Import Bank, designed to promote the export of U.S. agricultural commodities.
The Supervisor leads the Trade Services staff in its efforts to provide documentary products and services to the clients customers involved in international trade. The team is responsible for the examination and negotiation of export letters of credit issued by the client's correspondent bank customers and for the creation of financing under various guaranteed loan programs. Members of the team interact with importers, exporters and correspondent banks in resolving discrepancies. The Supervisor allocates staff resources in support of the international banking group’s lending activity and maintains compliance with internationally accepted regulations governing letters of credit as well as USDA policies relating to Commodity Credit Corporation (CCC) programs to ensure the quality of the bank’s assets. This individual also works with the staff on resolving discrepancies with exporters, importers and correspondent banks.
This role has a peer who supervises daily activities and coordinates workflow of the Letter of Credit Processing team charged with the issuance and maintenance of standby letters of credit and the advising of export letters of credit. Individual competencies, business need, and development initiatives may allow for these peers to exchange leadership responsibilities.
5. CCO for top tier Latin Regional Bank - New York or Miami
new York or Miami, Compensation: Open
Our Client is a Chile-based financial institution primarily engaged in the banking sector. The Bank's services and products include saving and current accounts, debit cards, consumer and commercial loans, mortgages, foreign trade, financial assessment and other banking operations. They are planning to establish a Broker Dealer focused on the Private Banking end of the business in either New York or Miami and need to hire a CCO with applicable experience. Fluency in Spanish and English highly recommended. Compensation Competitive to experience.
6. EM FI Sales to US Family Offices and High Net Worth - New York based
New York or Miami, Compensation: Open
Our Client a Boutique Broker Dealer seek a FI Salesperson who knows the Family offices and Ultra HNW. Competitive compensation for the right person who covers this niche. Position can be based in NY, Miami or even London.
7. Sales /Trader - New York or Miami
New York or Miami, Compensation: Open
This is a Sales and/or Sales Trading for both our hiring Client's Miami, and New York offices. This Boutique Bank is expanding and looking to fulfill 10 positions within the next two months. Applicants must possess experience and relationships in the global equities and fixed income field, with ability to cross-sell multiple products interchangeably. It is important that the candidate fully understands the processes involved in each product, and has the ability to see business possibilities that may lay away from his/her field of expertise.
They are looking to cross-sell all of their business lines through this team efficiently. The trading aspect of the position is simply a plus, which will provide greater profitability for the candidate; capability to trade with different electronic trading systems will place the person on a desk as a trader as well, to whom they may allocate house accounts for servicing.
The idea is to incorporate personnel with previous active relationships (institutional or high net worth) that are portable onto this Firm's client roster.
A draw against commissions will be structured in order to facilitate the transition, this period may last up to three months, when a full commission structure may begin. Clearly, all necessary licenses are a must, candidates with the ability to bring strong clientele, that have not been licensed will be considered for interviewing. Travelling, telecommunications, and other costs may be covered by the firm on a case by case basis. They are a proactive team looking to consolidate a strong division in the international trading environment, hence have an open-minded perspective towards candidates and their prospective business.
8. Junior operations person - New York based
New York, New York, Compensation: Open
Our Client a well regarded Brasilian Bank seeks a Junior operations person to back up their existing staff.
Salaried position,stepping stone for that person with 1-2 years experience. Some languages would be helpful, either Portugeuse or Spanish. Must have at least some operations related experience.
9. International Bank seeks Controller speaking Portuguese
NYC - Midtown, Compensation: $100K-$125K
International Bank seeks a Senior Accountant or Controller who speaks Portuguese to support its expansion efforts. -2-5 years experience - (CPA not necessary)
Duties include:
- Establishing process, policy & procedure from an accounting standpoint
- Work on global Budgets, Check Cutting, some basic balance sheet repsonsibilities
- Must speak English & Portuguese fluently and Spanish would be a plus
- Opportunity to grow within the group in US or in other international offices
- Sponsorship is possible
COMP = DOE but $75K+Bonus with benefits
Total Listed: 9
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