Legal jobs

Our client is seeking a experienced Sanctions professional to join their team.

Improve the compliance department's risk management and controls through the monitoring and testing of their regulatory compliance frameworks.

Perform screening and investigations of sanctions related alerts and stay up to date on regulatory requirements.

Act as the second in command to the firm's VP of Compliance, dealing with a large variety of regulatory and financial crime responsibilities

Perform investment banking compliance at an entry level.

The Senior Compliance Consultant role involves ensuring compliance with FINRA, SEC, and broker-dealer regulations by developing and implementing compliance policies, conducting audits, and overseeing risk assessments. Additionally, the position serves as a liaison with regulatory bodies and manages anti-money laundering (AML) and Know Your Customer (KYC) programs to mitigate compliance risks.

The Risk Assessment Consultant role involves supporting the Risk Assessment Officer in developing and executing compliance risk assessments across various areas, including BSA/AML, sanctions, and fraud. Key responsibilities include analyzing data, identifying risk factors, coordinating training, and drafting assessment reports while ensuring adherence to regulations and internal controls.

The Compliance Monitoring and Testing Specialist will conduct ongoing monitoring and testing to ensure compliance with regulatory requirements. This role requires a background in audit and risk management, focusing on corporate compliance, and involves developing reports on control deficiencies, tracking remediation objectives, and staying informed on federal and state compliance updates.

The Compliance Associate will manage employee licensing, registrations, and onboarding processes, ensuring compliance with FINRA and other regulatory requirements, including U4/U5 filings. This public-facing role requires strong organizational skills, attention to detail, and the ability to multitask in a fast-paced environment.

The BSA/AML Risk Assessment Consultant is responsible for assisting with the development, execution, and administration of Compliance Risk Assessments, including areas such as BSA/AML, OFAC, Corporate Compliance, Fraud, and Anti-Bribery and Corruption. This temporary position involves collaborating with various teams to identify risks, analyze data, and draft reports with recommendations.

• Managing correspondence, scheduling meetings, and organizing documents.
• Assisting clients with inquiries, providing information, and facilitating communication between departments.
• Maintaining and updating records, databases, and filing systems, ensuring accuracy and confidentiality.

The Sanctions QA Consultant will focus on delivering sanctions quality assurance by collaborating with stakeholders, testing, and reviewing sanctions-related operations, advisory functions, and investigations. The role requires expertise in sanctions compliance, audit practices, and maintaining documentation standards to ensure a strong sanctions compliance program.

• Operational due diligence involves on-site visits/meetings with fund managers, verification with various service providers, reference checking, and document reviews.
• A significant portion of the role will entail liaising with external parties while performing due diligence and background checks, as well as reviewing underlying funds' financial and legal documents.

Excellent Assistant Tax Counsel opportunity at a well-known financial services firm based in NYC. This opportunity will include, but will not be limited to, reviewing legal documentation from a tax perspective and reviewing tax planning ideas.

The Senior Pricing Analyst is a strategic role responsible for developing, analyzing, and optimizing pricing models for the firm's legal services. You will collaborate with partners, legal project managers, and finance teams to create competitive and profitable fee structures tailored to clients' needs.

The Fund Accountant will be responsible for assisting in the review of a set of fund maintained books and records as well as be involved in the closing of the books on a monthly basis, monitor cash reconciliation and interact with the trading desk, legal, tax, operations and IR teams. The role will assist in many aspects of the hedge fund's entities and accounting for unique investment structures.