Compliance Manager- Int’l Bank

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International Bank is seeking a Compliance Manager.

• Assist in information gathering and tracking of Open Issues based on the Issues Management framework to ensure timely tracking and completion of Issues.
• Work with Third Party Risk Management (“TPRM”) group to onboard, maintain and terminate vendor relationships.
• Maintain system access for FCC team members, vendors and relevant SMEs.
• Monitor and maintain the Compliance systems (i.e., Actimize, FIS Prime, Open Pages and EGRC) up-to-date based on daily business communication or a request for assistance from relevant stakeholders.
•Complete daily reconciliations of the data flow between the source files to target Compliance systems (i.e., Actimize and FIS Prime) to ensure accuracy.
• Update documentation for Actimize Transaction Monitoring application, and FIS Prime Sanctions Screening application based on Model governance framework.
• Execute Performance Monitoring of various Compliance systems (i.e., Actimize, FIS Prime and Fircosoft) to ensure applications are working appropriately for use.
• Review and respond to quarterly Quality Assurance observations on BSA AML pillars from the 2nd line testing, execute testing of the quarterly Risk Control Self-Assessment, and monitoring, measuring, and analyzing AML compliance risk, and assist in information gathering for annual Financial Crimes Compliance risk assessment.
• Assist in investigations and escalations of daily sanction alerts.
• Attend annual external training to keep abreast of BSA/AML industry changes.
• Prepare memorandums to request senior management approval.
• Based on changes in the business work environment, job responsibilities can change, and additional functions and tasks may be added or removed accordingly. Additionally, this position will perform other duties as required, and participate in special projects as deemed necessary and appropriate by Management.

Qualifications

  • Bachelor’ degree
  • 4-6yrs relevant work experience.
  • Versatile, able to work effectively, independently, and as a part of a team.
  • Ability to deliver practical solutions in a demanding high-pressure environment.

Base salary up to 90K+bonus.

Legal Associate (AVP) – International Bank

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International Bank is seeking a Legal Associate (AVP) with following responsibilities;

  • Reviews, negotiates, and drafts various contracts for the Branch business lines and support functions including bilateral and syndicated credit agreements (with focus on investment fund finance), vendor services agreements, confidentiality agreements, custody agreements, securities lending agreements as agent (e.g., MRAs, MSLAs, GMSLAs, GMRAs, ISDAs, tri-party collateral agreements) and related documentation required for such transactions by the business and support areas.
  • Assists with corporate governance matters, including the preparation of materials for Branch governance committee meetings, including the Executive Management committee, the three Business Management committees, the Fiduciary Advisory committee and other internal governance committees and related agendas, corporate resolutions, minutes and other corporate governance documents, action items and records.
  • Drafts and reviews legal correspondence, research memoranda, template texts for standardized agreements, internal policies and procedures and internal presentations on topics as needed. Assists with the internal business management functions of the Legal Group as needed.
  • Researches, analyzes, and provides legal and regulatory advice to the Compliance, Risk Management, Administration and Planning and IT Group areas regarding new regulatory developments as needed. Assists in the regulatory change management, regulatory reporting and regulatory examinations and inquiries response process.
  • Reviews subpoenas and litigation-related filings and assists in related responses and litigation management activities as needed.
  • Performs other duties and participates in special projects

 

Requirements

  • Juris Doctor (JD) Degree required from ABA accredited law school and admission to the New York Bar.
  • 6 to 8 years of relevant banking and trust services work experience.
  • Proficient in Microsoft Office (Word, Excel, PowerPoint, MS Edge).

Bilingual Japanese Compliance Associate

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International Bank is seeking a Compliance Associate with Japanese language skill who will be ensuring the Dept. and its staff members are observing compliance requirements as stipulated on the Bank policies and procedures.

  • Japan & US Law and Regulations: Understand detailed Head Office (HO) procedure/US local policy as to various Japan/US Law and reply to staff questions. Conduct required training for division staff. Make periodic HO reporting for various Japan/US Law on timely manner.

  • Information Control: Maintain log for Important Information, non-public information, information devices, etc. Conduct required training for Department staff. Coordinate any HO required activities and report the results to HO on timely manner.

  • Reporting: Coordinate and submit periodic reporting to HO and Compliance Dept. in timely manner.

  • Check HO Bulletin Board: Look into HO Bulletin Board every morning. Share compliance/information control related information with Department staff if necessary.

  • Compliance Library: Maintain Compliance Library updated for Department staff members use.

  • Operational Error / Incidents report: Keep log of Risk Event reports for the division. Support staff for the Risk Event report via Archer. Follow up remedial action(s).

  • CS reports: Make periodic “CS Report” reporting to HO.

  • Authorization: Keep division’s staff designation application/forms and Authorization Memo most updated as to the Authorization. Maintain authorization control sheet updated.

  • Entertainment/Gifts: Support in order to be in compliance with HO requirement.

  • Compliance Testing: Coordination for compliance testing.

  • Internal/External Audit: Follow instructions from the staff in charge of audit coordination in Department in timely manner.

 

Requirements

  • English / Japanese bilingual (reading/writing/speaking)

  • Excellent ability to understand policies and procedures written in Japanese and English.

  • Analytical and multi-task skills.

  • Business coordination skills Interpersonal skill. MS Office applications (moderate)

 

Base salary: 80-90K + bonus

Bilingual Japanese Legal and Internal Audit Manager/Assistant Manager

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International Firm is seeking a Legal/Internal Audit Manager/Assistant Manager who has Japanese language skills;

Responsibilities

  • Reviewing legal documents such as agreement and contract
  • Drafting agreement, contract, and corporate minutes
  • Responding to correspondences by Head office in Japan and US subsidiaries.
  • Drafting company regulations/ policies and their revised edition
  • Drafting compliance documents including but not limited to presentation materials and training materials
  • Coordination of compliance event such as Compliance Conference and compliance trainings
  • Drafting internal audit plan and reviewing internal audit materials
  • Coordination of internal audit schedule Preparing internal controls materials
  • Preparing Risk Management Activities materials

Qualifications

  • 3-5 years experiences for legal review and support of compliance & ethics program and internal audit (Attorney license/ Paralegal experience are not required)
  • Fluent in both English and Japanese language
  • PC operation skills such as MS-Office 365, Adobe softs, etc.
  • Strong interpersonal/communications skills both verbal/written.

Work can be hybrid or remote.

Compensation: Base salary up to 100K+Bonus

Legal & Compliance Manager (Remote)

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An international company is seeking a Legal & Compliance Manager who will be responsible for handling all basic legal and compliance matters/projects for the company and its affiliates to ensure the legality of commercial transactions and advise the company on its legal rights, duties, and obligations.

  • JD or LLM
  • Current license to practice law
  • 5-7yrs’ proven comparable law firm and corporate in-house counsel experience
  • Proven background in corporate law (contract law, corporate law, trade security, export control, international transactions, antitrust, bankruptcy, intellectual property, licensing)
  • Strong administrative/managerial skills
  • Superb negotiations and communications skills
  • Highly analytical
  • Strong attention to details

AVP, Compliance (BSA/OFAC)

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International Bank is seeking a Compliance AVP focusing on BSA/OFAC.

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Chief Compliance Officer/SVP, Compliance

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An International Bank is seeking a Chief Compliance Officer/SVP, Compliance for their New York Branch who will be developing/administering a compliance program in the Branch under the direction of the General Manager of the Head Office Legal and Compliance Division.

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Senior Asset Manager – Renewable Energy Investment

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An International Energy Investment Firm is seeking a Senior Asset Manager who will support the commercial, financial, and legal oversight for constructing and operating solar farms in the assigned region and ensure all commercial, financial, legal and governmental obligations are met.  The successful individual will plan budgets and oversee both plant and third party contractor performance together with an asset management service provider.  Additional responsibilities will include supporting the management of the commercial relationship with OEMs, O&M Contractors, Asset Management, Energy Managers, service providers, and stakeholders such as the Local County, landowners, and utility.  Additionally, the Senior Asset Manager will be responsible for ensuring that the operations strategy and management framework developed by the owner and asset management service provides is implemented consistently across projects in the assigned region.

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