This is an experienced OFAC and sanctions compliance officer role reporting to the Director, OFAC and Sanctions Compliance for the bank. The Vice President will be responsible for the day to day matters related to OFAC and sanctions compliance in and outside the US. The Vice President will provide guidance and support to business unit compliance officers and employees on OFAC matters. The successful candidate will be responsible for assisting the Director, OFAC and Sanctions Compliance in the continued enhancement of and expanding the reach of the OFAC compliance program domestically and globally. Responsibilities include coordinating with technology, screening vendor and other compliance functions to streamline processes for all aspects of the global OFAC Compliance Program.

 Requirements• Undergraduate degree required; J.D. and bar admission viewed favorably but not required. Prior employment with a banking regulator is also viewed positively.

+/-7 years of professional compliance experience and +/-3 years in OFAC/U.S. Sanctions compliance in a large, complex financial institution subject to Federal Reserve or other comprehensive regulatory supervision.

• Strong and demonstrated knowledge of U.S. sanctions programs administered by OFAC, and familiarity with global sanctions regimes, screening programs, and sanctions compliance best practices.

• Strong analytical, interpersonal and organizational skills; strong writing ability required.

• Leadership abilities and ability to manage junior compliance officers.

• Ability to travel domestically and internationally as needed.

Please contact Jared Bukzin at jbukzin@tmdg.com or 914-524-0301 ext 153

"              Overall responsibility for the Bank's Regulatory Compliance Policies and Procedures

"              Review and approve the Bank's Operating Policies and Procedures ensuring that all compliance issues are effectively addressed

"              Liaise with business unit manages to assist in the development/implementation of controls to manage compliance risk.

"              Ensure that the Compliance Policies and Procedures are kept current with regulatory pronouncements

"              Ensure management is kept abreast of relevant changes in regulations

"              Oversee the preparation of bi-monthly reporting package for the Compliance Committee of the Board of Directors

"              Oversee the preparation of monthly package for the Compliance Oversight Committee

"              Track compliance issues and perform follow up on open items

"              Oversee the maintenance of AML monitoring systems

"              Responsible for the development, implementation, and continued analysis / enhancement of the Bank's  Regulatory Compliance Risk Assessment Matrix

"              Overall responsibility for Annual Compliance Training Program

"              Manage special projects on an ad hoc basis

Please contact Jared Bukzin at jbukzin@tmdg.com or 914-524-0301 ext 153

The Chief Privacy Officer would be responsible for management of corporate privacy and related information security initiatives globally and will work closely with business units, Information Security, Human Resources to advise on implementation privacy compliance requirements. The Officer will provide in-depth coordination and project management for high-priority initiatives relating to compliance with state, federal or international data privacy laws and regulations, data classification, records management, vendor oversight, incident management and training and awareness programs.

Principal Duties & Responsibilities:

1. Directs the Privacy Program and Supports the Compliance Department in overall development and implementation of an enterprise-wide privacy and data protection strategy

a. Excellent working knowledge of privacy laws and regulations, including GLBA, EU data protection standards and requirements FFIEC guidelines, FCRA, state breach notification laws and banking regulations

b. Provide project management support to Systems and Technology Services (STS) and Human Resources in development of information security measures to protect consumer and employee data, respectively.

c. Track, monitor and assess new privacy and network security laws and regulations and industry best practices.

d. Manages and prepares materials for Privacy Working Group monthly meetings, including project status reports, agendas and managing Group’s share point site.

e. Provide leadership and direction for the privacy program, manage issues, interface with senior leadership and provide regular advice on privacy matters to the Chief Compliance Officer, Compliance Committee, business leadership and others.

2. Liaison between Compliance and the Business Units and Support Functions

a. Support sustainable business performance by helping Information Security, HR and business units establish and institutionalize privacy compliance principles, policies and practices.

b. Ensure enterprise-wide awareness of internal compliance policies (e.g. Corporate Privacy Policy, Data Classification,

Information Security, Identity Theft Red Flags Rule, Records Management, Insider Trading etc. and other Global Policies) and external (legal, regulatory) compliance requirements and provide ongoing advice and support on compliance related matters.

c. Advise on company activities that affect personal information and network security.

d. Conduct annual Privacy Impact Assessments (PIAs) and oversee annual attestation to policies processes; explain need and requirements to business unit managers; validate that policy requirements are met.

e. Interface with Brand Marketing and Communications around website management and in development and rollout of communications related to privacy and security disclosures.

f. Liaise with Privacy Working Group members

3. Develop management reports, training, and related communications

a. Generate periodic management reports on Privacy Office initiatives.

b. Develop broad-based and targeted privacy/data protection training modules for employees.

c. Strong written and verbal communications skills are essential, including experience interfacing with diverse functional departments such as Legal, Internal Audit, Brand Marketing, Business Unit Compliance Officers, etc.

REQUIRED SKILLS

• Undergraduate degree required.

• Proven track record of successful project management within the financial industry and/or regulatory environment.

• 10 years work experience in compliance with substantial experience in a dedicated privacy compliance role

• Deep knowledge of privacy laws (e.g., GLBA), information security, governance, risk and compliance controls,

conducting risk assessments.

• Broad knowledge of information security and its business implications.

• Ability to understand and work with complex regulations across multiple jurisdictions.

• Excellent interpersonal skills. Must have the ability to interact well and build excellent working relationships.

• High level of self-motivation, initiative and operate effectively as a team player across different business units.

• Excellent written, oral and presentation skills.

• CIPP certification desired.

Please contact Jared Bukzin at jbukzin@tmdg.com or 914-524-0301 ext 153

This Senior Compliance Officer, reporting directly to the Chief Compliance Officer, is responsible for compliance oversight of the Business Unit Compliance Officers, as well as overall responsibility for top level oversight of global compliance officers located in non-U.S. jurisdictions, including those in the following regions: Asia, Europe, Latin America, and Canada. This is a senior position with managerial responsibility for a group of BUCOs located in different regions, embedded in different business units. The person sets the tone for BUCO conduct and responsibilities and provides a uniform approach to Business line and regional compliance risk management. This role is part of the senior compliance management team and is among the most senior and critical roles within the compliance organization.

REQUIRED SKILLS

Bachelor's Degree required and advanced degree such as a JD or MBA is desired but not required;

10 plus years regulatory or compliance management experience at a regulated financial institution;

Must have strong compliance experience in a major financial institution and be familiar with a broad set of key compliance obligations and disciplines typical within a large, complex Bank Holding Company;

Strong and demonstrated managerial experience;

Operational knowledge of one or more of the relevant business lines: Vendor Finance, Transportation Finance, Trade Finance, Consumer Finance, Corporate Finance, Banking and Small Business Lending;

Compliance expertise in or knowledge of compliance and regulatory regimes in regions outside the U.S., including Europe, Latin America, Asia and Canada;

Experience with identifying, managing and addressing regulatory issues for a bank or Bank Holding Company;

Strong oral and written communication skills with ability to manage others effectively and demonstrate leadership qualities to advance the compliance program and motivate the compliance team;

Ability to drive change efficiently and collaboratively across an organization;

Occasional travel within the U.S. and foreign jurisdictions is required.

Please contact Jared Bukzin at jbukzin@tmdg.com or 914-524-0301 ext 153

This role is part of a growing Corporate Compliance department and a newly established Compliance Testing Program. The requirements of the role include performing regular compliance testing to ensure the effectiveness of implemented compliance controls and robust compliance control environments in the businesses and support functions throughout the organization. Designing, conducting and reporting on compliance tests are the principal responsibilities of the role. Areas for testing will include compliance controls, business level controls, adherence to compliance policies and procedures, and others. The objective of the testing program is to ensure that the organization maintains a strong, consistent, and effective control environment and that weaknesses, deficiencies and failures are identified early and corrected. The officer will work with business, support function, compliance and Risk leadership and staff, and others to coordinate testing, will liaise with Internal Audit Services to coordinate testing activity and share information, and work to advance the established control processes designed to meet regulatory requirements. The officer will be required to document testing activities in great detail, maintain records of testing, and write and present reports on compliance tests to Compliance management.

REQUIRED SKILLS

1. Undergraduate degree

2. 3+ years experience working with (and having a demonstrated knowledge of) U.S. banking and Bank Holding Company laws, rules and regulations at a regulated financial institution or financial services regulatory agency

3. Internal Audit, Compliance Testing or Quality Assurance experience required.

4. Highly detailed and organized and able to deliver high quality work product, including written compliance testing reports.

5. Ability to travel occasionally to conduct tests at locations other than the principal office location, including travel to New York and New Jersey, and other locations as required.

6. Strong written and oral communication skills.

7. The ability to function effectively as part of a team and also ability to work independently.

Please contact Jared Bukzin at jbukzin@tmdg.com or 914-524-0301 ext 153

This person is responsible for providing expert compliance support relating to company's compliance program and for creating a compliance program for company's businesses in Latin America, mainly consisting of Vendor Finance. This role supports the senior compliance leadership and business lines in effectively executing the requirements of the compliance program and the day to day operation of aspects of the compliance function, including development of policies and procedures, testing, training, review of customer documentation, MIS and reporting, and other elements typically found in compliance programs of large, complex financial institutions. The successful candidate will be well prepared to provide timely and effective advice to Business Unit Compliance Officers, business leaders, compliance staff members, and the Chief Compliance Officer on applicable laws, rules and regulations, and emerging compliance requirements. Compliance experience in a large regulated financial institution and/or with a state, federal or other financial services regulator is required. Leadership positions and/or roles in managing large-scale projects/matters are beneficial. The role requires the development of close working relationships with business staff in the Latin American offices and ability to coordinate the development of a BHC-level compliance program in those regions.

1.Execute the requirements of the Corporate Compliance Program for Latin America to promote a strong compliance control environment and provide regulatory and compliance guidance.

a.Develop a strong and effective compliance program based on corporate compliance programs for the Latin America Region.

b.Interface with internal departments as appropriate such as IT/Information Security, Law Department, Enterprise Risk Management, Operations, Internal Audit, and others.

c.Develop and assure the execution of compliance monitoring and testing programs pursuant to Compliance guidelines to independently assess business unit compliance activities.

d.Provide guidance to business units on development and implementation of policies and procedures.

e.Assure effective implementation throughout the businesses of company's compliance program requirements, supporting the business line compliance officers.

f.Work closely with members of the Compliance Department (e.g. AML, Privacy, OFAC/Sanctions, Training, foreign regions) to ensure all parties are aware of key issues and risks; recommend monitoring and other controls to mitigate risks.

g.Manage multiple priorities and establish and adhere to the work plan/program for the business unit.

h.Strong background in handling compliance risks and internal controls, as well as an executive presence and the ability to successfully engage with senior management to achieve compliance objectives.

i.Help identify evolving risks affecting business activities and changes to internal controls and assess the impact on business unit’s strategy and appropriate risk mitigants.

j.Develop and maintain cooperative, collaborative and productive team-driven relationships between the businesses, Corporate Compliance, and other stakeholders.

2.Participate in new product development initiatives or modifications to existing business unit products, services and business processes involving the Latin America based businesses.

a.Provide independent compliance risk assessment of new products and changes to existing products, services and processes in Latin America.

b.Conduct thorough due diligence reviews and prepare reports and recommendations regarding potential new products, services, transactions, and other business activities, as well as regulatory examinations.

c.Escalate compliance concerns on a timely basis to business unit senior management, Chief Compliance Officer and to communicate issues and identify/implement mitigation strategies.

3.Issue resolution.

a.Partner with Compliance and business colleagues to identify appropriate solutions to resolve or mitigate compliance weaknesses, failures and issues on a timely basis.

b.Provide independent reporting to management on the status of compliance issue resolution.

c.Demonstrated ability to effectively assess risks/conflicts and to focus efforts on critical issues.

d.Track status of identified issues, verify the effectiveness of corrective action, and report status of outstanding issues, escalating concer

Please contact Jared Bukzin at jbukzin@tmdg.com or 914-524-0301 ext 153

Responsibilities include providing sanctions related advice to the Head of Sanctons Compliance, Chief Compliance Officer, Chief Risk Officer, and serving as a critical resource involved in all aspects of the global OFAC Compliance Program.The role requires the candidate to analyze complex sanctions issues, respond to new sanctions programs and changes to existing programs, and act on and resolve issues presented.

The Director of OFAC & Sanctions Compliance will be a subject matter expert in U.S. Sanctions and OFAC compliance, with strong experience in a regulated, large complex financial institution’s sanctions compliance group. Regulatory experience and a law degree are also excellent experience for the demands of this role. The candidate provides support to the Head of Sanctions Compliance, assists in managing junior OFAC compliance officers, and participates in testing, training, issue tracking and reporting. The role requires the candidate to analyze complex sanctions issues, respond to new sanctions programs and changes to existing programs, and act on and resolve issues presented. The role requires providing advice to business leadership and staff on a regular basis, completing an annual OFAC risk assessment, and assuming independent ownership of substantial sanctions compliance projects and initiatives.

Principal Duties & Responsibilities:

This is a senior OFAC and sanctions compliance role reporting to the Head of Sanctions Compliance for the parent. The Director will coordinate OFAC and sanctions compliance activities and initiatives with Compliance staff in and outside the US for the purpose of ensuring that company's program consistently meets supervisory expectations and operates based on industry best practices. The successful candidate will be responsible for assisting in the continued enhancement of and expanding the reach of the OFAC compliance program domestically and globally, and elevating the standards under which the OFAC program operates. Responsibilities include providing sanctions related advice to the Head of Sanctons Compliance, Chief Compliance Officer, Chief Risk Officer, and serving as a critical resource involved in all aspects of the global OFAC Compliance Program.

REQUIRED SKILLS

• Undergraduate degree required; J.D. and bar admission viewed favorably but not required. Prior employment with a banking regulator is also viewed positively.

+/-10 years of professional compliance experience and +/-5 years in OFAC/U.S. Sanctions compliance in a large, complex financial institution subject to Federal Reserve or other comprehensive regulatory supervision.

• 3-5 years experience in a senior management role within Compliance.

• Strong and demonstrated knowledge of U.S. sanctions programs administered by OFAC, and familiarity with global sanctions regimes, screening programs, and sanctions compliance best practices.

• Strong analytical, interpersonal and organizational skills; strong writing ability required.

• Leadership abilities and ability to manage junior compliance officers.

• Ability to travel domestically and internationally as needed.

Please contact Jared Bukzin at jbukzin@tmdg.com or 914-524-0301 ext 153

The role oversees compliance within the broker-dealer, investment adviser, and insurance affiliates. This role is responsible for managing the compliance programs for the broker-dealer, investment adviser and insurance businesses. Each of these businesses is relatively small and together, the responsibilities comprise a full time role.

The candidate will be expected to provide advice and support to the businesses, including compliance support relating to policies, procedures, annual compliance plan, annual risk assessments, and ensures that the businesses have and sustain strong compliance control environments commensurate with their place within a large, complex Bank Holding Company.

The role reports to the Head of Business Unit and Regional Compliance, who oversees the business line compliance officers. The successful candidate will be able to build strong compliance control environments for each business, manage periodic regulatory examinations, work closely with each business and senior business leaders, and work with compliance officers and leadership to build and execute against the compliance plan for the businesses.

REQUIRED SKILLS

Bachelors degree required; J.D. desirable but not required

•5+ years of relevant financial services experience;

•Licenses enabling the candidate to act as Chief Compliance Officer of a U.S. broker dealer and a U.S. registered investment adviser, specifically Series 7, 24, 79, 63 and 65 required;

•Must be flexible and able to manage a diverse set of responsibilities, and incorporate the compliance activities of the businesses into the broader global Corporate Compliance function;

•Experience working in a registered broker-dealer and investment adviser is important; expertise in all three areas is desired but not required.

•Strong knowledge of both securities/broker-dealer and investment adviser compliance, including FINRA rules and regulations, compliance requirements, and knowledge of the Investment Advisers Act and related regulations;

•Experience in insurance business compliance and/or knowledge of US insurance businesses and obligations is desired but not required, if the candidate demonstrates strong qualifications in both broker-dealer and investment adviser disciplines;

•Must be organized, have strong written and oral communication skills, be flexible and adaptable in order to manage three different areas of compliance simultaneously;

•Experience within a regulated financial institution required.

Please contact Jared Bukzin at jbukzin@tmdg.com or 914-524-0301 ext 153

This role is part of a growing Corporate Compliance department and a newly established Compliance Testing Program. The requirements of the role include performing regular compliance testing to ensure the effectiveness of implemented compliance controls and robust compliance control environments in the businesses and support functions throughout the organization. Designing, conducting and reporting on compliance tests are the principal responsibilities of the role. Areas for testing will include compliance controls, business level controls, adherence to compliance policies and procedures, and others. The objective of the testing program is to ensure that the organization maintains a strong, consistent, and effective control environment and that weaknesses, deficiencies and failures are identified early and corrected. The officer will work with business, support function, compliance and Risk leadership and staff, and others to coordinate testing, will liaise with Internal Audit Services to coordinate testing activity and share information, and work to advance the established control processes designed to meet regulatory requirements. The officer will be required to document testing activities in great detail, maintain records of testing, and write and present reports on compliance tests to Compliance management.

REQUIRED SKILLS

1. Undergraduate degree

2. 3+ years experience working with (and having a demonstrated knowledge of) U.S. banking and Bank Holding Company laws, rules and regulations at a regulated financial institution or financial services regulatory agency

3. Internal Audit, Compliance Testing or Quality Assurance experience required.

4. Highly detailed and organized and able to deliver high quality work product, including written compliance testing reports.

5. Ability to travel occasionally to conduct tests at locations other than the principal office location, including travel to New York and New Jersey, and other locations as required.

6. Strong written and oral communication skills.

7. The ability to function effectively as part of a team and also ability to work independently.

Please contact Jared Bukzin at jbukzin@tmdg.com or 914-524-0301 ext 153

The role is a Vice President level position in the Corporate Compliance Department reporting to the Head of Anti-Money Laundering Compliance. The officer serves as a subject matter expert in AML compliance and provides advice to business lines, compliance staff, and other stakeholders on AML compliance risks impacting the company. The officers contributes to oversight of business line execution of the AML compliance program. Working with the Business Compliance Officers (BUCOs), this officer is a source of AML compliance expertise, participates in the resolution of AML compliance issues and promotes effective and consistent management of AML compliance risks throughout the enterprise. The officer directly supports the Director and Head of AML Compliance in the management, operation, development and execution of the global AML compliance program for a large, complex bank holding company.

1.Oversight of AML Compliance Activities in the Business Lines
a.Provides expert counsel to lines of business on AML compliance matters including control design, emerging AML risks and new regulatory requirements impacting company's businesses and its AML compliance program.
b.Assists lines of business (LOB) in developing appropriate procedures to assure compliant business activities in accordance with applicable AML laws, rules, regulations and internal policies.
c.Participates in the LOB compliance risk assessment processes as an AML subject matter expert and assures their consistency in applying AML compliance advice and execution of program elements across the enterprise.
d.Reviews LOB compliance monitoring and testing plans and activities relating to AML programs, processes, and activities.

2.AML Compliance Reporting and MIS
a.Prepares meaningful reports for the Head of AML Compliance, Chief Compliance Officer, Senior Management and the Board of Directors on AML compliance risks, controls and activities across the enterprise.
b.Delivers independent, professional judgment and expertise in creating and enhancing AML reporting to effectively communicate the state of the AML compliance program and the level of money laundering risk facing the company.
c.Provides innovative solutions to representing AML metrics and information in meaningful formats to effectively monitor and manage AML risk.

3.AML Compliance Issue Tracking and Escalation
a.Ensures that AML issues, projects, metrics, information and data are recorded in an enterprise-wide compliance issue tracking database.
b.Monitors LOB progress against AML compliance related action plans and escalates issues to the Head of AML Compliance, CCO and Senior Management as appropriate.
c.Verifies resolution of AML compliance issues and ensures that businesses, corporate compliance staff and others understand AML issues, weaknesses, and the actions required to remediate them.
d.Performs periodic AML compliance issue trend analysis and other reviews and summaries of AML related metrics.

4.AML Compliance Training
a.Reviews AML related compliance training materials and assures their consistency and effectiveness across the enterprise, working with other members of the corporate compliance staff, Human Resources Talent and Strategy Group, and others stakeholders involved in global compliance training.
b.Advises BUCOs, compliance staff, business leaders and staff and others in development of training materials specialized for AML compliance subject matter and collaborates with training officers to ensure AML content and delivery is robust.

5.AML Compliance Record Management
a.Organizes and retains AML related enterprise-wide Compliance Records, ensuring that information generated during the Suspicious Activity Reporting process is properly protected, managed, and stored according the applicable laws and company policy.
b.Maintains extensive AML compliance materials and records for production upon request to Internal Audit, regulators, senior compliance leadership, and others.

6.AML Risk Assessments
a.Performs annual AML risk assessments and identifies areas of increased AML risk across the enterprise, delivering high quality analysis based on expert AML knowledge and expertise.
b.Employs information generated during annual AML risk assessments to improve and strengthen the AML compliance program, processes and practices across the company to mitigate money laundering compliance risk.

7.Examination and Audit Assistance
a.Assists the Head of AML Compliance and others, including the Chief Compliance Officer, senior compliance leadership and business compliance officers in preparation for internal and external audits and examinations.
b.Facilitates timely response to examination findings including development of corrective action plans when appropriate.

8.AML Program Management
a.Conducts Know Your Customer high risk customer analysis and review KYC forms for compliance with the KYC procedures and AML policy.
b.Interacts with business compliance officers, business staff and compliance staff to ensure consistent and high quality management of the KYC process.
c.Maintains records generated during the KYC process and tracks progress of business lines and keeps track of high risk customer lists, Politically Exposed Person lists, and others requiring ongoing monitoring.
d.Advises the business lines regarding the KYC process and other AML program requirements.
e.Supports the Head of AML compliance in execution of special projects, data gathering and analysis, strategic planning, and other critical initiatives promoting the effective operation of the AML program.
f.Monitors for changes in applicable AML laws, rules and regulations and communicates such changes to the Head of AML compliance, compliance team members, and others; takes action to amend AML policies, procedures and guidance in response to changes in laws, rules, and regulations.

REQUIREMENTS:

•5+ years as an AML officer or member of an AML compliance group in a regulated financial institution or regulator
•Strong knowledge of the Patriot Act, Bank Secrecy Act, and related AML regulations
•Experience in administering and working closely in all areas of AML compliance.
•Effective communications skills, including excellent writing and oral communications ability.
•Ability to work effectively and collaboratively with business leaders and compliance officers in a global organization to achieve desired objectives.
•Demonstrated ability to focus on details and ability to execute daily tasks independently and effectively.
•Undergraduate degree required.
•CAMS certification beneficial but not required.
•J.D. or other advanced degree viewed favorably but not required.
•Dedication to helping build a strong AML compliance function in a dynamic environment.
•Team player willing to accept challenges large and small and meet them under time pressure.
•Experience in a Bank or Bank Holding Company environment most valuable.

Please contact Jared Bukzin at jbukzin@tmdg.com or 914-524-0301 ext 153

Manage regulatory inquiries and examinations from various regulators (SEC, FINRA, etc)

Communicate with examiners regarding information and documentation requests

Report on exam and inquiry statuses to senior management within Compliance, Finance, Operations and Front Office

Conduct ad hoc reviews across firm business activities dealing with regulatory initiatives and concerns

Familiarity with multiple business lines including fixed income and equities sales and trading, futures, investment banking and research

Please contact David Dermody at ddermody@tmdg.com or 914-524-0301 ext 107

Our client is currently seeking an ISDA Negotiator to join a team of 9 who are responsible for a broad range of document negotiations. Negotiating ISDA, MSFTA's, CSA's BMA, Repo, MSLA's & sec lending agreements. The group is made up of a both attorney & non-attorney.

A member of the Derivatives Legal team. Advise on legal matters for OTC clearing, including clearing house rules and participation, all client documentation and development of relevant laws and regulations. Draft and negotiate ISDA Master Agreements, Credit Support Annexes, Security, Account Control, Repo and Securities Lending Agreements against various types of counterparties. Handle all Derivatives Intermediation documentation, such as Master Give-Up Agreements (FX, CDS and IRS) and Compensation Agreements. Liaise with various departments of the bank and outside counsel in order to execute these documents.

Looking at both junior 1 - 2 yr as well as senior 5 - 10 negotiators.

Please contact David Dermody at ddermody@tmdg.com or 914-524-0301 ext 107

Responsibilities include, but are not limited to:

- Responsible for performing KYC/CDD/EDD on new customers and during periodic account reviews. Work with the business unit to resolve account opening issues and perform on going QC of the KYC/customer files.

- Responsible for transaction monitoring, investigating and reporting suspicious activity related to money laundering and terrorist financing, including wires and correspondent banking activities. Determine the need to further follow-up or investigative actions.

- Responsible for managing projects related to money laundering and terrorist financing matters.

- Design and present MIS reports for account opening, monitoring, reporting and compliance reviews.

- Develop effective controls and procedures for identifying, monitoring, reporting and record keeping of suspicious activities - ensure that significant cases of suspected money laundering are subject to appropriate investigation and disclosure where necessary.

- Keep account opening, transaction monitoring and reporting procedures up to date.

- Ensure timely reporting and escalation of significant issues to management.

- Work with management and IT on on-going monitoring system enhancements and other initiatives related to maintaining a sound monitoring program.

- Assist in reviewing OFAC hits and communicating OFAC and sanctions updates.

- Assist in maintaining and enhancing ML/TF risk models in wide variety of areas (geography, product, customer-type, typology, referral channel, etc.).

- Support an annual review of the efficiency and effectiveness of the transaction monitoring processes.

Experience Needed:

- 5+ years experience in compliance or related position.

Required Skills:

- In-depth knowledge of various ML/TF typologies

- Strong comprehension skills and attention to detail are critical.

- Certified Anti Money Laundering Specialist Certification preferred.

- Strong leadership skills.

- Self-starter, capable of working under minimum supervision.

- Strong organizational and analytical skills, ability to multitask and work independently with a high degree of accuracy and materiality.

- Exceptional research and analytical skills.

- Strong interpersonal, written and verbal communication skills.

- Understanding of BSA, AML, OFAC and other AML regulatory policies with the ability to apply and explain regulatory concepts.

- Ability to self diagnose potential issues within the framework of customer risk, product risk, geography risk and ML/TF typology risk

Technical Skills:

- Proficient in MS Word, Excel, Visio, Power Points. ECS or other AML monitoring systems.

Education:

- B.S. in Business, Finance or related field.

Please contact Jared Bukzin at jbukzin@tmdg.com or 914-524-0301 ext 153

The role will evaluate transactions and customer relationships based on established protocol identifying issues and escalating for further investigation. The role will have responsibility for communicating discoveries and issues with internal AML constituents and external customers to support successful discovery of money laundering activities. Performs name and account based research on lists and reports provided through established resources to determine if evidence of money laundering activities exist. Evaluate transactions and customer relationships for money laundering activities, identifies red flag issues and escalates within the AML framework for further investigation. Maintain familiarity with appropriate investigation techniques to support AML activities, including research utilizing bank systems, intranet, internet and external vendor solutions as appropriate. Will effectively communicate within the AML Compliance organization and across other areas in the company effectively conveying key information to both internal and external audiences as appropriate. Provide additional support with the AML compliance organization on more complex issues, including research techniques and capabilities, as well other solutions as appropriate. The role will maintain relationships with internal stakeholders in the AML Compliance Office and other areas to help ensure research technique and capabilities perform at high levels. The role will maintain external awareness of research trends, information, and techniques related to money laundering are communicated to appropriate levels of the AML Compliance organization. Provide support and expertise to the AML Compliance organization on research techniques, capabilities and systems. Effectively communicate within AML Compliance re-enforcing knowledge on key information, policies and procedures is understood with all constituents both internal and external. Maintain awareness of AML/BSA trends and other related industry practices helping ensure external knowledge and focus is not lost. Monitor activities within the AML Compliance Office to ensure compliance with applicable internal policies and procedures and external regulations. Escalate complex or significant issues to more senior compliance employees. Participate in special AML Compliance reviews, projects and training efforts, as required. Complete other related duties as assigned and support the Company’s Diversity programs. To discharge the accountabilities set out in the Legal and Compliance FIM by pro-actively assisting management in identifying and containing compliance risk, monitoring, reporting and certification, fostering a compliance culture and optimizing relations with regulators. Financial services compliance entails a high degree of regulatory compliance and reputational risk, particularly with respect to risks arising out of non-compliance with extensive and complex regulations. Failure to comply with these regulations would have significant negative effects on relations with regulators, the reputation of the Company with the public and may result in regulatory impediments to mergers and acquisitions and significant regulatory sanctions, including regulatory fines of material amounts. This role reports directly to the AML Investigations Team Leader. The position directly supports activities in the AML Compliance Office. While the role is specific to AML/BSA, some required principal accountabilities remain relevant across compliance segments. Specifically this role is involved in reviewing systematic Anti-Money-Laundering (AML) alerts and determines if transactions occurring are valid Anti-Money Laundering risks. Perform encompassing research taking into account various AML risk factors and indicators to determine if a Suspicious Activity Report (SAR) requires completion. If a SAR is not required the officer must rationalize why the transaction is not an AML risk. In less complicated transactions the Officer may be responsible for filing a SAR report. Should complete enhanced due diligence reviews on high-risk customers and Special Category of Clients (SCC) accounts. Coordinate internal processes for the revision, review, approval, and publication of policies applicable to the business unit as well as internal departmental procedures to support functions that are the responsibility of Compliance. Establish process for the distribution of Compliance related communications from the department.

Please contact Jared Bukzin at jbukzin@tmdg.com or 914-524-0301 ext 153

.Position is in a unit of 14 negotiators and two co-managers. Documentation unit supports Fixed Income, Currency and Commodity and Equity trading desks. The documentation unit is part of a larger derivative group located in Legal Department. Person will report to Co-managers of documentation group.

Preferred Qualifications:

Previous experience in an investment bank a plus.

Must have excellent verbal and written skills. Must be able to liaise and coordinate within several areas of the firm.

Must be mature and professional.

Must be proactive and have the ability to work independently and to perform consistently in a high volume faced paced environment

Basic Qualifications:

ISDA Negotiator with at least five years experience in negotiating ISDA Schedules, Credit Support Annexes, Contracts for Differences Annexes, guaranties and ancillary documents.

Please contact David Dermody at ddermody@tmdg.com or 914-524-0301 ext 107

. Responsibilities include providing sanctions related advice to the Head of Sanctons Compliance, Chief Compliance Officer, Chief Risk Officer, and serving as a critical resource involved in all aspects of the global OFAC Compliance Program.The role requires the candidate to analyze complex sanctions issues, respond to new sanctions programs and changes to existing programs, and act on and resolve issues presented.

The Director of OFAC & Sanctions Compliance will be a subject matter expert in U.S. Sanctions and OFAC compliance, with strong experience in a regulated, large complex financial institution’s sanctions compliance group. Regulatory experience and a law degree are also excellent experience for the demands of this role. The candidate provides support to the Head of Sanctions Compliance, assists in managing junior OFAC compliance officers, and participates in testing, training, issue tracking and reporting. The role requires the candidate to analyze complex sanctions issues, respond to new sanctions programs and changes to existing programs, and act on and resolve issues presented. The role requires providing advice to business leadership and staff on a regular basis, completing an annual OFAC risk assessment, and assuming independent ownership of substantial sanctions compliance projects and initiatives.

Principal Duties & Responsibilities: specific tasks associated with performing this job

This is a senior OFAC and sanctions compliance role reporting to the Head of Sanctions Compliance. The Director will coordinate OFAC and sanctions compliance activities and initiatives with Compliance staff in and outside the US for the purpose of ensuring that tye company's program consistently meets supervisory expectations and operates based on industry best practices. The successful candidate will be responsible for assisting in the continued enhancement of and expanding the reach of the OFAC compliance program domestically and globally, and elevating the standards under which the company OFAC program operates. Responsibilities include providing sanctions related advice to the Head of Sanctons Compliance, Chief Compliance Officer, Chief Risk Officer, and serving as a critical resource involved in all aspects of the global OFAC Compliance Program.

REQUIRED SKILLS

• Undergraduate degree required; J.D. and bar admission viewed favorably but not required. Prior employment with a banking regulator is also viewed positively.

+/-10 years of professional compliance experience and +/-5 years in OFAC/U.S. Sanctions compliance in a large, complex financial institution subject to Federal Reserve or other comprehensive regulatory supervision.

• 3-5 years experience in a senior management role within Compliance.

• Strong and demonstrated knowledge of U.S. sanctions programs administered by OFAC, and familiarity with global sanctions regimes, screening programs, and sanctions compliance best practices.

• Strong analytical, interpersonal and organizational skills; strong writing ability required.

• Leadership abilities and ability to manage junior compliance officers.

• Ability to travel domestically and internationally as needed.

Please contact Jared Bukzin at jbukzin@tmdg.com or 914-524-0301 ext 153

Our client is seeking talented and motivated Project Managers to be a part of our growing team.  The Project Managers will be working in Alternative Asset (Private Equity, Hedge Funds, etc.) accounting and operations to facilitate development and implementation of improvements to client's operations and information technology systems.  They will be responsible for the overall direction, coordination, implementation, execution, control and completion of specific projects ensuring consistency with company strategy, commitments and goals. The role includes the additional responsibility of managing client relationships.

Responsibilities:

"           Creates and executes project work plans and revises as appropriate to meet changing needs and requirements.

"           Identifies resources needed and assigns individual responsibilities.

"           Manages and works with team on day-to-day responsibilities and issue resolution.

"           Manages day-to-day operational aspects of a project and scope.

"           Reviews deliverables prepared by team before passing to client.

"           Ensures project documents are complete, current, and stored appropriately.

"           Manages project budget.

"           Facilitates team and client meetings effectively.

"           Understand the intricacies of the Private Equity Operations or subjects related to the completion of projects

"           Completes project analysis, define requirements and related documents, develop and execute test plans and related documents as necessary

"           Constantly monitor and report on progress of the project to all stakeholders

"           Prepares for engagement reviews and quality assurance procedures.

"           Effectively applies our methodology and enforces project standards.

"           Minimizes our exposure and risk on project.

"           Conducts effective performance evaluations and mentors those with less experience through formal channels.

"           Tracks and reports team hours and expenses on a weekly basis.

"           Analyzes project profitability, revenue, margins, bill rates and utilization.

"           Suggests areas for improvement in internal processes along with possible solutions.

"           Determines appropriate revenue recognition, ensures timely and accurate invoicing, and monitors receivables for project.

Travel: 25% to 50%

Please contact Jared Bukzin at jbukzin@tmdg.com or 914-524-0301 ext 153

- At least 3-5 years at a law firm, in-house legal department, or large financial institution with experience drafting, reviewing, and negotiating prime brokerage, securities lending, repurchase and/or ISDA Master Agreements at a financial services company

- Prior negotiating experience should include working with hedge funds, financial institutions, asset managers, and corporations.

-Demonstrated ability to work well with all levels of marketing personnel, account and credit officers, in-house and outside counsel to effectively negotiate complex agreements, and work under pressure.

Please contact David Dermody at ddermody@tmdg.com or 914-524-0301 ext 107

Must have futures trading experience coming out of a quant shop.

o Successfully model intraweek volatility patterns to provide additional filter in volatility breakout systems.

o Investigated implied volatility on weighted basket of markets as an indicator of program performance.

o Analyzed equity curve trading in an attempt to limit drawdowns.

Please contact Jared Bukzin at jbukzin@tmdg.com or 914-524-0301 ext 153

Our Client; a rapidly growing alternative to the traditional law firm, with 9 locations worldwide, is hiring both junior and senior attorneys/ISDA documentation negotiators in order to expand their financial services practice in Raleigh , NC . Specifically, this team will be supporting the ISDA business at Credit Suisse.

The ideal candidates will have strong attention to detail, polished written/verbal communication, and strong interpersonal skills.

We are seeking junior candidates who have:

- At least 1-2 years at a law firm, financial institution, or in-house legal department with a focus on capital markets and/or derivatives documentation.

- Experience drafting, reviewing, and negotiating prime brokerage, securities lending, repurchase and/or ISDA Master Agreements at a financial services company is preferred.

- Familiarity with ISDA Master Agreements and Definitions.

We are seeking senior candidates who have:

- At least 3-5 years at a law firm, in-house legal department, or large financial institution with experience drafting, reviewing, and negotiating prime brokerage, securities lending, repurchase and/or ISDA Master Agreements at a financial services company

- Prior negotiating experience should include working with hedge funds, financial institutions, asset managers, and corporations.

-Demonstrated ability to work well with all levels of marketing personnel, account and credit officers, in-house and outside counsel to effectively negotiate complex agreements, and work under pressure.

Please contact Jared Bukzin at jbukzin@tmdg.com or 914-524-0301 ext 153

The Client Contracting team plays a key role in on-boarding new clients within the company and managing change for existing clients with respect to the contractual set up. The team focuses on the drafting, negotiation, coordination and execution of investment management agreements, investment guidelines or criteria, and other related documentation (Contractual Documentation) for new clients and existing clients. Trading documentation (such as ISDAs) and fund documentation is explicitly out of the scope of this team.

The team is uniquely positioned within the business.. You will play an important role in this critical component of winning new business and managing change for existing clients. You will work closely with all Product areas and Sales teams, partner with Legal & Compliance, and reach out to all other operational groups such as Reporting, Portfolio Compliance, Billing and Operations. The team presents an excellent opportunity to gain exposure to these areas of the business as well as a wealth of knowledge about the workings of teh company and the products it manages.

As a Vice President within Client Contracting, you will support a growing area in a dynamic and challenging environment. You will be responsible for your own portfolio of business, based upon a team of Account Managers and/or specific regions whose clients you will support from a Contractual Documentation perspective. You will be responsible for providing in depth knowledge of your client’s mandates as well as an excellent client focus. Day-to-day responsibilities include:

Accurate drafting, negotiation and coordination of Contractual Documentation for your portfolio of business.

Facilitation and coordination of all internal stakeholders involved in the contracting process, ensuring their comments flow through a centralized group, are incorporated where possible and requisite approvals are obtained.

Ensuring clients meet applicable product eligibility and/or AML/KYC requirements.

Ensuring that the appropriate contracting process is followed for all new client mandates or changes to existing client mandates to mitigate risk to the firm.

Supporting the Sales team with Contractual Documentation queries.

Communicating any Contractual Documentation changes to the client mandate to applicable internal stakeholders.

Capturing and recording relevant non-standard contractual clauses on an ongoing basis and maintaining the Contractual Documentation database.

Ensuring that all completed Contractual Documentation is properly filed, stored and retrievable.

Assuming the role of business lead and managing/driving tactical and strategic team projects of all scales through to completion.

Partnering in the development of the Client Contracting team's strategy and vision and contribute actively to their successful implementation.

Qualifications / Requirements:

The ideal candidate will have demonstrated leadership skills and at least 4 years’ experience of drafting Contractual Documentation within the asset management industry possessing either:

A legal background or qualification with experience of drafting and negotiating investment management agreements for an institutional client base; or

No formal legal qualification but excellent knowledge and proven experience in negotiating investment management agreements and investment guidelines for institutional clients.

In addition:

Excellent knowledge and understanding of investment management (fund types, client base and strategies, operational set up, products) and applicable U.S. banking and/or federal securities laws.

Ability to independently manage your own portfolio of business.

Exemplary analytical, communication (verbal and written) and interpersonal skills with the ability to communicate with both internal and external clients at all levels and regions.

Strongly proficient on standard software (e.g. Microsoft Office).

Excellent attention to detail, organization, and presentation skills.

Team player - both with regard to your direct team as well as with those whom you support.

Possess excellent time management and prioritization skills with the ability to manage effectively expectations of internal and external clients.

Flexible and open to accepting new challenges; able to work effectively and efficiently on multiple projects simultaneously in a fast-paced, demanding and ever-changing environment while

Please contact David Dermody at ddermody@tmdg.com or 914-524-0301 ext 107

Responsibilties

" Assists in developing compliance policy and provides support to the assigned business units with regard to business developments

" Monitors and ensures compliance with applicable US regulations including FINRA and SEC rules and ensures consistent implementation for compliance and risk programs

" Identifies and leads initiative to strengthen risk management practices within assigned business lines

" Enhances engagement of compliance by the business

" Provides management reporting to senior Compliance management regarding various aspects of the CMP

" Maintains and develops a risk based regulatory testing and monitoring process including compliance procedures

" Analyzes staff workflow to maximize operational efficiency and compares the department's procedures with current regulatory requirements to identify potential gaps

" Collaborates with senior management to develop, recommend, and/or execute business plans for area of responsibility

" Responsible for providing direction and training to staff

" Handles personnel-related issues within parameters of the firm and compliance department policy

Qualifications

" BS/BA or equivalent work experience

" Law degree/MBA is a plus

" 7-10 years of related compliance experience

" Audit, compliance examination and issue tracking experience required

" Proficiency in written and oral communication skills

" Knowledge of the securities industry and current regulatory requirements applicable to broker-dealers including FINRA and SEC rules

" MUST HAVE direct Institutional Trading compliance experience

" Demonstrated ability to manage a staff

" Ability to work well under stress

" Series 7 and 24 - preferred. If not, willingness to take and pass exams within 6 months of employment

Please contact Jared Bukzin at jbukzin@tmdg.com or 914-524-0301 ext 153

1.Assistance to Business Segments with AML Compliance Activities and Issues

a.Provides assistance to lines of business on AML compliance matters including control design, emerging AML risks and new regulatory requirements impacting our businesses and its AML compliance program.

b.Assists lines of business (LOB) in developing appropriate procedures to assure compliant business activities in accordance with applicable AML laws, rules, regulations and internal policies.

c.Participates in the AML compliance risk assessment processes and assures consistency in applying AML compliance advice and execution of program elements across the enterprise.

d.Reviews LOB compliance monitoring and testing plans and activities relating to AML programs, processes, and activities.

e.Responds to questions, issues, and identifies areas of weakness and helps address and resolve identified issues.

2.AML Compliance Reporting and MIS

a.Prepares meaningful reports for the Head of AML Compliance, Chief Compliance Officer, Senior Management and the Board of Directors on AML compliance risks, controls and activities across the enterprise.

b.Delivers independent, professional judgment and expertise in creating and enhancing AML reporting to effectively communicate the state of the AML compliance program and the level of money laundering risk facing the company.

c.Provides innovative solutions to representing AML metrics and information in meaningful formats to effectively monitor and manage AML risk.

3.AML Compliance Issue Tracking and Escalation

a.Ensures that AML issues, projects, metrics, information and data are recorded in an enterprise-wide compliance issue tracking database.

b.Monitors LOB progress against AML compliance related action plans and escalates issues to the Head of AML Compliance, CCO and Senior Management as appropriate.

c.Verifies resolution of AML compliance issues and ensures that businesses, corporate compliance staff and others understand AML issues, weaknesses, and the actions required to remediate them.

d.Performs periodic AML compliance issue trend analysis and other reviews and summaries of AML related metrics.

4.AML Compliance Training

a.Reviews AML related compliance training materials and assures their consistency and effectiveness across the enterprise, working with other members of the corporate compliance staff, Human Resources Talent and Strategy Group, and others stakeholders involved in global compliance training.

b.Advises BUCOs, compliance staff, business leaders and staff and others in development of training materials specialized for AML compliance subject matter and collaborates with training officers to ensure AML content and delivery is robust.

5.AML Compliance Record Management

•2+ years as an AML officer or member of an AML compliance group in a regulated financial institution or regulator

•Strong knowledge of the Patriot Act, Bank Secrecy Act, and related AML regulations

•Experience in administering and working closely in all areas of AML compliance.

•Effective communications skills, including excellent writing and oral communications ability.

•Ability to work effectively and collaboratively with business leaders and compliance officers in a global organization to achieve desired objectives.

•Demonstrated ability to focus on details and ability to execute daily tasks independently and effectively.

•Undergraduate degree required.

•Dedication to helping build a s

Please contact Jared Bukzin at jbukzin@tmdg.com or 914-524-0301 ext 153

This role is part of a growing Corporate Compliance department and a newly established Compliance Testing Program. The requirements of the role include performing regular compliance testing to ensure the effectiveness of implemented compliance controls and robust compliance control environments in the businesses and support functions throughout the organization. Designing, conducting and reporting on compliance tests are the principal responsibilities of the role. Areas for testing will include compliance controls, business level controls, adherence to compliance policies and procedures, and others. The objective of the testing program is to ensure that the organization maintains a strong, consistent, and effective control environment and that weaknesses, deficiencies and failures are identified early and corrected. The officer will work with business, support function, compliance and Risk leadership and staff, and others to coordinate testing, will liaise with Internal Audit Services to coordinate testing activity and share information, and work to advance the established control processes designed to meet regulatory requirements. The officer will be required to document testing activities in great detail, maintain records of testing, and write and present reports on compliance tests to Compliance management.

REQUIRED SKILLS

1. Undergraduate degree

2. 3+ years experience working with (and having a demonstrated knowledge of) U.S. banking and Bank Holding Company laws, rules and regulations at a regulated financial institution or financial services regulatory agency

3. Internal Audit, Compliance Testing or Quality Assurance experience required.

4. Highly detailed and organized and able to deliver high quality work product, including written compliance testing reports.

5. Ability to travel occasionally to conduct tests at locations other than the principal office location, including travel to New York, New York and other locations as required.

6. Strong written and oral communication skills.

7. The ability to function effectively as part of a team and also ability to work independently.

Please contact Jared Bukzin at jbukzin@tmdg.com or 914-524-0301 ext 153

REQUIRED SKILLS

•Undergraduate degree

•5+ years experience working with (and have a demonstrated knowledge of) U.S. banking and Bank Holding Company laws, rules and regulations at a regulated financial institution of financial services regulatory agency. AVP role would require 2+ years experience.

•Internal Audit, Compliance Testing or Quality Assurance experience required.

•Highly detailed and organized and able to deliver high quality work product, including written compliance testing reports.

•Ability to travel occasionally to conduct tests at locations other than the principal office location.

•Strong written and oral communication skills.

•The ability to function effectively as part of a team and also ability to work independently

Please contact Jared Bukzin at jbukzin@tmdg.com or 914-524-0301 ext 153