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<jobs>
    <job>
        <title>Corporate Paralegal – FinTech</title>
        <job-board-name>ComplianceJobs.com</job-board-name>
        <job-board-url>https://compliancejobs.com/</job-board-url>
        <job-code>58508</job-code>
        <detail-url>https://compliancejobs.com/job/corporate-paralegal-fintech/</detail-url>
        <apply-url></apply-url>
        <job-category>Compliance,Corporate Paralegal,Due Diligence,Fintech,M&A,SEC</job-category>
        <description>
            <summary>We are immediately interviewing for a Corporate Paralegal for an incredible client located on the east side of Manhattan in New York City. This company is a stable and reputable Blockchain-based FinTech for global banking, deal-making and capital markets. Corporate Paralegal Responsibilities: Domestic and foreign entity formations, SEC filings and corporate governance Corporate transactions, specifically as they relate to start-up and tech related matters Due diligence and M&A Prepare and files legal documents with appropriate entities, as required Conduct research on projects as directed by corporate attorneys IRS filings Assist with contract and files management Experience with Blue Sky is a plus Experience with patent/trademark/copyright is a plus Requirements: Bachelor's degree, or paralegal certificate with at least 2 years of experience as a corporate paralegal Experience with domestic and foreign entity formations, SEC filings and corporate governance Experience with corporate transactions, specifically as they relate to start-up and tech related matters Experience with due diligence and M&A Experience with Blue Sky is a plus PLEASE CONTACT: Michael Tuller / 212-997-3169 / mtuller@compliancesearch.com</summary>
            <required-skills></required-skills>
            <required-education></required-education>
            <required-experience></required-experience>
            <full-time></full-time>
            <part-time></part-time>
            <flex-time></flex-time>
            <internship></internship>
            <volunteer></volunteer>
            <exempt></exempt>
            <contract></contract>
            <permanent></permanent>
            <temporary></temporary>
            <telecommute></telecommute>
        <description>
        <compensation>
            <salary-range></salary-range>
            <salary-amount></salary-amount>
            <benefits></benefits>
        </compensation>
        <posted-date>April 22, 2019</posted-date>
        <close-date>2019-10-19</close-date>
        <location>
            <address></address>
            <city></city>
            <state></state>
            <zip></zip>
            <country></country>
        </location>
        <contact>
            <name></name>
            <email>jack@compliancesearch.com</email>
            <hiring-manager-name></hiring-manager-name>
            <hiring-manager-email></hiring-manager-email>
            <phone></phone>
            <fax></fax>
        </contact>
        <company>
            <name>The Compliance Search Group</name>
            <description></description>
            <industry></industry>
            <url></url>
        </company>
    </job>
    <job>
        <title>FinTech Regulatory Relations Compliance Counsel</title>
        <job-board-name>ComplianceJobs.com</job-board-name>
        <job-board-url>https://compliancejobs.com/</job-board-url>
        <job-code>58507</job-code>
        <detail-url>https://compliancejobs.com/job/fintech-regulatory-relations-compliance-counsel/</detail-url>
        <apply-url></apply-url>
        <job-category>Compliance,Corporate Paralegal,Due Diligence,Fintech,M&A,SEC,Compliance,Compliance Counsel,Counsel,Fintech,Regulatory,Relations</job-category>
        <description>
            <summary>A global FinTech bank seeks a regulatory and compliance counsel. The Regulatory Compliance Counsel (RCC) will manage the relationship between the bank and regulatory agencies, primarily the Federal Reserve. As a global firm, the RCC will also be responsible for the oversight and manage the relationship with the Bank of England (BoE).  Responsibilities Take a lead role in the New York office regarding: Oversight and management of the interface with: (i) the FRBNY and BoE Supervisory teams regarding all ongoing supervisory activities; and (ii) the Fed Board Regulation HH team re: Regulation HH ANPC requirements. Supervisory-related examination and monitoring activity; responses/progress updates relating to findings letters; remedial actions, including tracking to closure; and reporting to internal governance committee and the Board on remedial activities “Materiality” determinations; filings and related submissions Overall regulatory framework, including education/training Provide guidance and advice related to Supervisory Affairs, enhance (as needed) policies/procedures, support the bank’s growth program through Regulation HH ANPC activities and embedded participation in project working groups Support the CCO in developing and preparing document submissions to internal constituencies, such as Board/Committees and internal committees Operational Proactively build and maintain relationships with business lines in order to oversight and manage various types of deliverables involving input from a number of stakeholders Serve as a Supervisory Affairs expert resource and coordinate and oversight related regulatory activities and engagement Manage and oversight supervisory activity; be proactive and trouble-shoot as needed Act as point person and trusted advisor on items/topics within the Supervisory Affairs remit Participate effectively in internal governance/ working groups for projects and initiatives, including active facilitation of the shaping/ drafting of required regulatory filings Interface proactively and effectively with and provide support for supervisory regulators, particularly, the FRBNY and BoE supervisory teams and Fed Board staff in regard to ANPC-related matters Be innovative, prioritize and manage a high volume workload, with multiple tasks and deadlines Leadership Collaborate across the company to maintain and enhance supervisory interface Strategize, influence and advise business lines in regard to Supervisory Affairs remit Support and serve as a resource for strategic initiatives Foster a culture of compliance; manifest and support the Compliance Brand Experience / essential and desired for successful job performance Juris Doctor from recognized Law School or UK/EU equivalent Strong knowledge of applicable US regulatory framework and related laws/regulations Significant experience in a law firm and/or in compliance/legal functions of a regulated financial services industry Qualifications / certifications Juris Doctor from recognized Law School or UK/EU equivalent Please email resumes to Jack Kelly at Jack@ComplianceSearch.com</summary>
            <required-skills></required-skills>
            <required-education></required-education>
            <required-experience></required-experience>
            <full-time></full-time>
            <part-time></part-time>
            <flex-time></flex-time>
            <internship></internship>
            <volunteer></volunteer>
            <exempt></exempt>
            <contract></contract>
            <permanent></permanent>
            <temporary></temporary>
            <telecommute></telecommute>
        <description>
        <compensation>
            <salary-range></salary-range>
            <salary-amount></salary-amount>
            <benefits></benefits>
        </compensation>
        <posted-date>April 22, 2019</posted-date>
        <close-date>2019-10-19</close-date>
        <location>
            <address></address>
            <city></city>
            <state></state>
            <zip></zip>
            <country></country>
        </location>
        <contact>
            <name></name>
            <email>jack@compliancesearch.com</email>
            <hiring-manager-name></hiring-manager-name>
            <hiring-manager-email></hiring-manager-email>
            <phone></phone>
            <fax></fax>
        </contact>
        <company>
            <name>The Compliance Search Group</name>
            <description></description>
            <industry></industry>
            <url></url>
        </company>
    </job>
    <job>
        <title>Chief Compliance Officer – Crypto, Blockchain, Bitcoin</title>
        <job-board-name>ComplianceJobs.com</job-board-name>
        <job-board-url>https://compliancejobs.com/</job-board-url>
        <job-code>58491</job-code>
        <detail-url>https://compliancejobs.com/job/chief-compliance-officer-crypto-blockchain-bitcoin/</detail-url>
        <apply-url></apply-url>
        <job-category>Compliance,Corporate Paralegal,Due Diligence,Fintech,M&A,SEC,Compliance,Compliance Counsel,Counsel,Fintech,Regulatory,Relations,bitcoin,Blockchain,Chief Compliance Officer,Cryptocurrency</job-category>
        <description>
            <summary>A blockchain-based international financial services company is seeking a Chief Compliance Officer (CCO) for their New York City main office location. The CCO will report to the Global General Counsel/CCO and be responsible for overseeing the Broker Dealer and Alternative Trading System (ATS) and their compliance program. The CCO will advise senior leadership on significant risk and compliance issues, maintaining a perspective that is both independent/objective and sensitive to the objectives of the organization. Responsibilities Keeping up on the latest FINRA and SEC rules and regulations Maintain the firm's written supervisory procedures Implementing practices that will ensure company meets all current industry regulation standards Leader in all regulatory audits Manage the Firm's FINRA Gateway filings (i.e. Forms BD, U4s, FOCUS reporting, supervising net capital calculations, etc.) Work to help monitor orders, executions, allocations, best execution, trading errors, and more. Monitor app and website functionality for proper disclosures; work with product managers to make necessary changes in connection with same. Manage employee disclosures of trading activities. Conduct surveillance reviews, interface with securities regulators and examiners, respond to regulatory inquiries for all businesses. Have in-depth knowledge and understanding of private placement of securities and associated offerings Detailed knowledge of the firm’s policies and procedures and how they are applied and monitored Maintain daily, monthly, quarterly and annual compliance log/tasks Monitor all aspects of the firm’s operations in order to identify new or emerging compliance issues Advise management on existing and new regulations as they occur and how they affect the firm and its clients Build deep and trusting relationships with coverage areas and counterparts in other supporting roles (legal, ops etc.) Communicate clearly and effectively Qualifications Must have the following licenses: Series 7, 24, and 63; Minimum of 4 years’ experience as an acting Chief Compliance Officer or relevant experience working closely with Chief Compliance Officer in financial services industry Substantial knowledge of Reg NMS, Reg SHO and other regulations relevant to automated trading businesses Strong publicly traded securities, options and private placement experience required Prior alternative trading system experience preferred Substantive knowledge and familiarity with registered and unregistered securities Familiarity with JOBS Act initiatives Strong analytical skills required to organize and analyze multiple, complex data Prior management experience A team player, enthusiastic, energetic, pro-active and responsive Proven track record of identifying, solving and preventing compliance issues Demonstrated ability to understand complex regulatory requirements and create effective compliance programs Ability to voice and defend opinions Compensation will be salary and bonus. Full benefits package Bachelor’s Degree Licenses: Series 24 (Required) Series 14 (Advised) Series 7 License (Required) Please email resumes to Jack Kelly at Jack@ComplianceSearch.com</summary>
            <required-skills></required-skills>
            <required-education></required-education>
            <required-experience></required-experience>
            <full-time></full-time>
            <part-time></part-time>
            <flex-time></flex-time>
            <internship></internship>
            <volunteer></volunteer>
            <exempt></exempt>
            <contract></contract>
            <permanent></permanent>
            <temporary></temporary>
            <telecommute></telecommute>
        <description>
        <compensation>
            <salary-range></salary-range>
            <salary-amount></salary-amount>
            <benefits></benefits>
        </compensation>
        <posted-date>April 18, 2019</posted-date>
        <close-date>2019-10-15</close-date>
        <location>
            <address></address>
            <city></city>
            <state></state>
            <zip></zip>
            <country></country>
        </location>
        <contact>
            <name></name>
            <email>jack@compliancesearch.com</email>
            <hiring-manager-name></hiring-manager-name>
            <hiring-manager-email></hiring-manager-email>
            <phone></phone>
            <fax></fax>
        </contact>
        <company>
            <name>The Compliance Search Group</name>
            <description></description>
            <industry></industry>
            <url></url>
        </company>
    </job>
    <job>
        <title>Investment Management – RFP Specialist</title>
        <job-board-name>ComplianceJobs.com</job-board-name>
        <job-board-url>https://compliancejobs.com/</job-board-url>
        <job-code>58490</job-code>
        <detail-url>https://compliancejobs.com/job/investment-management-rfp-specialist/</detail-url>
        <apply-url></apply-url>
        <job-category>Compliance,Corporate Paralegal,Due Diligence,Fintech,M&A,SEC,Compliance,Compliance Counsel,Counsel,Fintech,Regulatory,Relations,bitcoin,Blockchain,Chief Compliance Officer,Cryptocurrency,Compliance,Investment Management,RFP Specialist</job-category>
        <description>
            <summary>Our Client, a highly regarded Investment Management firm, seeks an RFP Specialist. The RFP Specialist is responsible for coordinating all aspects of the RFP process for new business and client retention across a variety of asset classes and investment approaches. The candidate will work closely with subject matter experts internally and externally to complete RFPs, due diligence questionnaires and related requests for information, ensuring consistency in messaging, accuracy in information, and legal and regulatory compliance Key Responsibilities Complete RFPs, RFIs, DDQs and other data requests from clients, prospects and consultants Ensure consistency in the firm’s image and positioning in the marketplace through development and maintenance of RFP responses and relevant data in internal and external databases Proactively identify areas of improvement and suggest/implement new processes Work with the Sales and Research Teams to understand client/prospect needs and create customized RFP responses Maintain the firm's RFP database Support and participate in the quarter-end reporting process for the Consultant community (including consultant databases) Assist with other ad-hoc projects as necessary Assist with quarterly marketing production Required Knowledge & Skills. Exceptional time-management and organizational skills with a strong attention to detail Ability to manage projects consistently with prompt follow-through in a deadline-driven environment Strong reasoning ability (i.e. capacity to understand inner workings of investment strategies, explain them simply, and spot inconsistencies/errors in language and data used to represent them) Strong interpersonal and problem-solving skills Demonstrated ability to effectively communicate both orally and in writing Possess a self-motivated work ethic Ability to maintain sound judgment and professionalism under pressure Ability to balance long-term projects against daily tasks Must be willing and able to follow directions, plus seek help as needed Ability to effectively function in a team environment Minimum qualifications Bachelor’s degree in a business-related field or equivalent experience Three years RFP experience Three to five years of experience working in the financial services industry, preferably with an investment adviser, broker dealer, or consulting firm Series 6 or 7 preferred If candidate does not already have the series 6 or 7 they must take it within 120 days of employment and take the series 63 within 180 days of employment Experience with RocketDocs (PMAPS) or other RFP database Proficiency with Microsoft Office Suite Experience working with a subadvised business model a plus Experience with Morningstar Direct and/or FactSet a plus Interested or know someone that might be? Send resumes to Heather@ComplianceSearch.com</summary>
            <required-skills></required-skills>
            <required-education></required-education>
            <required-experience></required-experience>
            <full-time></full-time>
            <part-time></part-time>
            <flex-time></flex-time>
            <internship></internship>
            <volunteer></volunteer>
            <exempt></exempt>
            <contract></contract>
            <permanent></permanent>
            <temporary></temporary>
            <telecommute></telecommute>
        <description>
        <compensation>
            <salary-range></salary-range>
            <salary-amount></salary-amount>
            <benefits></benefits>
        </compensation>
        <posted-date>April 18, 2019</posted-date>
        <close-date>2019-10-15</close-date>
        <location>
            <address></address>
            <city></city>
            <state></state>
            <zip></zip>
            <country></country>
        </location>
        <contact>
            <name></name>
            <email>jack@compliancesearch.com</email>
            <hiring-manager-name></hiring-manager-name>
            <hiring-manager-email></hiring-manager-email>
            <phone></phone>
            <fax></fax>
        </contact>
        <company>
            <name>The Compliance Search Group</name>
            <description></description>
            <industry></industry>
            <url></url>
        </company>
    </job>
    <job>
        <title>Asset Management Compliance Officer</title>
        <job-board-name>ComplianceJobs.com</job-board-name>
        <job-board-url>https://compliancejobs.com/</job-board-url>
        <job-code>58487</job-code>
        <detail-url>https://compliancejobs.com/job/asset-management-compliance-officer/</detail-url>
        <apply-url></apply-url>
        <job-category>Compliance,Corporate Paralegal,Due Diligence,Fintech,M&A,SEC,Compliance,Compliance Counsel,Counsel,Fintech,Regulatory,Relations,bitcoin,Blockchain,Chief Compliance Officer,Cryptocurrency,Compliance,Investment Management,RFP Specialist,Asset Management,Compliance,Compliance Officer,Wall Street</job-category>
        <description>
            <summary>An asset management division of a large financial services firm seeks a Compliance Officer. The investment management firm has assets under management over $120 billion, and has a great track record of success.   The Compliance Officer will report to the Chief Compliance Officer.  The CO will have a key role in conducting trade surveillance across portfolios managed in a number of fixed income and/or equity strategies as well as assisting with other aspects of the Firm’s overall compliance program. Responsibilities Trade surveillance of various fixed income products such as high yield, investment grade, municipal, and convertible; and equity products. Assist in review of investment management agreements and investment guidelines for new and existing clients. Interact with the personnel at all levels of the Firm’s various business units (Investment Teams, Operations, Client Services, Finance, etc.) to satisfy day-to-day assignments as well as ad-hoc projects. Conduct trading analyses such as best execution reviews and trade allocation reviews. Assist in testing policies and procedures as part of the firm’s annual assessment. Assist in preparation of various regulatory filings (e.g., 13F, 13G, Form ADV, etc.). Prepare various reports for Compliance and Brokerage Committee meetings. Prepare Board reports for various registered investment companies. Prepare investment guideline certifications for clients. Assist in the review of compliance policies and procedures. Assist with regulatory exams and internal audits. Provide guidance and support to other team members on various portfolio management and trading matters. Other duties as required. Requirements Minimum of three years’ experience in the investment management industry (ideal but not required) with a focus on investment advisory and investment company matters Experience utilizing Bloomberg AIM for monitoring investment guidelines is a plus. Detail-oriented, organized, highly proficient individual to work in a fast-paced, deadline driven environment. Strong verbal and written communication skills. Please email resumes to Jack Kelly at Jack@ComplianceSearch.com</summary>
            <required-skills></required-skills>
            <required-education></required-education>
            <required-experience></required-experience>
            <full-time></full-time>
            <part-time></part-time>
            <flex-time></flex-time>
            <internship></internship>
            <volunteer></volunteer>
            <exempt></exempt>
            <contract></contract>
            <permanent></permanent>
            <temporary></temporary>
            <telecommute></telecommute>
        <description>
        <compensation>
            <salary-range></salary-range>
            <salary-amount></salary-amount>
            <benefits></benefits>
        </compensation>
        <posted-date>April 17, 2019</posted-date>
        <close-date>2019-10-14</close-date>
        <location>
            <address></address>
            <city></city>
            <state></state>
            <zip></zip>
            <country></country>
        </location>
        <contact>
            <name></name>
            <email>jack@compliancesearch.com</email>
            <hiring-manager-name></hiring-manager-name>
            <hiring-manager-email></hiring-manager-email>
            <phone></phone>
            <fax></fax>
        </contact>
        <company>
            <name>The Compliance Search Group</name>
            <description></description>
            <industry></industry>
            <url></url>
        </company>
    </job>
</jobs>