Jobs

The sample listings below are representative of a portion of our current openings. Please visit our jobs database for all of our current open positions.

Director of Compliance

The Director of Compliance will manage processes and controls to ensure that Company is compliant with their respective mandates, federal securities laws, and the compliance policies and procedures. The Director of Compliance will manage staff overseeing portfolio compliance, code of ethics, and counterparty/derivatives functions.  It is expected that Director of Compliance will develop Board reporting and enhancements to the sub-adviser oversight process.

Specific duties and responsibilities include:

• Specific duties and responsibilities include:Oversee Compliance Department staff in monitoring and maintaining compliance policies and procedures.
• Oversee daily portfolio compliance testing and work with Compliance Department personnel to resolve portfolio compliance incidents.  Direct compliance testing function.  Select and oversees software applications and coding to assure appropriate targeting of compliance issues.  Reviews daily compliance testing.
• Assist with Code of Ethics monitoring and reporting.
• Assist with foreign regulatory reporting.
• Coordinate Fund reports and reporting.
• Ensure that staff are properly trained, supervised and developed.
• Train and coach staff to analyze compliance issues, resolve conflicts in data and communicate issues within the organization.
• Evaluate and redesign department processes to ensure strong internal controls.
• Assist with the client information requests.
• Participate in sub-adviser monitoring, including, due diligence visits.
• Develop sub-adviser oversight monitoring processes and reporting
• Assist the Chief Compliance Officer in the Rule 206(4)-7 Annual Rule 38a-1 Annual Reviews.
• In depth knowledge of the Investment Company Act of 1940, as amended, the Investment Advisers Act of 1940, as amended, and other Federal Securities Laws.
• In depth knowledge of Board governance, corporate and trust rules, regulations, and processes.
• Thorough knowledge of investment instruments.

Education and Experience Required

• Bachelor’s degree.
• 7+ years of work experience.
• JD and law license preferred.

Paralegal

The successful candidate will provide paralegal support for Client’s Employment, Benefits, and Labor Law Department.  This includes performing all activities related to litigation of employment claims and labor grievances/arbitrations; representing the Company and serving as a liaison to federal, state, and local agencies and courts; assisting with research on employment laws and HR policies; analyzing company policies/practices/procedures/programs/structures and assisting with changes/updates, as needed; processing and maintaining documentation, files, and reports; assisting with the development of training and reference materials; providing support and counsel to professional staff, including training and developing staff members to perform all the aforementioned functions. Involves regular contact with management, outside counsel, and government officials.  Works independently with minimal supervision.

Specific duties and responsibilities include:

• Perform all activities to support management of employment, benefits, and labor litigation, grievances, arbitrations, and other matters.
• Assist with questions and issues related to employment law, benefits law, labor law, and public accommodations.
• Analyze company policies/procedures/practices/programs/structures and assist with changes/updates
• Process and maintain all litigation/Rerecord-keeping and reporting.
• Assist with administration and tracking of summary plan descriptions and labor contracts.
• Support the design, development, research, revision, and implementation of training and reference materials.
• Work with outside counsel.
• Provide direction, counsel, and support to professional staff, including training and developing staff members to perform all the aforementioned functions.

Desired Skills & Experience

•  Bachelors Degree
• Paralegal certificate (preferred)
• 2-4 years experience
• Paralegal experience in a corporate legal department (preferred)
• Experience in working in the employment law, labor, corporate law or Human Resources field (preferred)
• Strong PC skills, including advanced knowledge of Microsoft Office applications

 

Senior Recruiter
Specific duties and responsibilities include:

• Manage recruiting activities for the firm which includes: Partnering with hiring
  managers on strategy and candidate selection.
• Manage online postings of all jobs; maintain relationships with recruiting
  agencies, job sites and any career fairs or employment events.
• Evaluate talent including prescreening candidates.
• Develop and negotiate offer recommendations utilizing competitive market data.
• Act as primary point of contact for candidates, building strong relationships to
  ensure a positive candidate experience and successful completion of the
  search.
• Check references for selected candidates.
• Track and maintain candidates’ status database for all open positions.
• Prepare and update job descriptions.
• Analyze employment practices (e.g., turnover, on boarding, engagement,
  etc.) prepare trend reports; analyze and develop recommendations.

SLQ DEVELOPER

Specific duties and responsibilities include:

• Following detailed rules for reporting and identifying potential problems with trading activity.
• Work closely with business managers and head of compliance to gather reporting and monitoring requirements.
• Design and develop software to meet requirements.

Qualifications include:

• Bachelors Degree in Computer Science, Computer Engineering, Mathematics, or related field or equivalent work experience.  Masters Degree is preferred.
•   Three or more years of experience programming in SQL.  MySQL highly desired
•  Three years working in a Linux environment.
• At least two years experience with Python scripting language
• Experience with C++ is nice to have but not required

SOFTWARE DEVELOPER

Specific duties and responsibilities include:

• Write high-performance computing libraries and applications to operate on massive data sets.
• Work with other C++ developers to integrate the research libraries with the production platform, and also with statisticians to guide and advise on the proper use of the libraries.
• Optimize the performance of the research platform as well as provide higher level      language interfaces (Python, R, etc.) to the research platform      libraries.

Required Experience/Skills

• Bachelors Degree in Computer Science, Computer Engineering, Mathematics, or related field or equivalent work experience. Masters Degree is preferred.
• Three or more years of experience programming in high performance C++.
• Three years working in a Linux environment.
• At least two years experience with a scripting language(Python, Perl, Ruby, etc). Python highly desired.
• R language highly desired

 

LINUX SYSTEMS ADMINISTRATOR

Specific duties and responsibilities include:

• Configuring and maintaining Linux, Windows and Network infrastructure
• Be part of a 24/5 on-call rotation for trading support
• Setup, maintain and administer low latency trading servers, applications, inter-colocation and exchange connectivity
• Setup, maintain, tune and administer SAN and NAS storage and server farm for global users
• Troubleshoot and fix problems in automated workflow processing and back-office operations
• Develop and maintain automated monitoring system for all of the above
• Take the lead on new projects and collaborate with development to create the architecture of business services

Required Experience/Skills

• Bachelor’s Degree in Computer Science, Computer Engineering, Mathematics, or related field or equivalent work experience.
• Experience with remote administration of Linux servers including rpm package building and installation; administering Puppet, Kerberos and LDAP;
• Experience with SAN, NAS and large disk array and server farm administration;
• Experience with remote monitoring of networks and servers;
• Experience scripting in Python;
• Experience with mission critical remote deployments;
• Financial trading experience desired;
• Linux kernel tuning and network stack tuning desired.

SENIOR COMPLIANCE OFFICER, LONDON UK

Specific duties and responsibilities include:

• Ensure that Company operates in compliance with FSA and other applicable laws and regulations
• Interpretation and implementation of applicable FSA and other relevant laws regulations
• Assist in identifying compliance or supervisory deficiencies and implement corrective actions
• Review and supervise the firm’s daily transactions
• Represent the firm in contacts with the FSA and other regulators, including managing regulatory examinations and inquiries
• Assist in the investigation of employee conduct with regard to violations of firm policy and procedures and regulatory requirements
• Perform routine and ad hoc trade surveillance
• Prepare and maintain current regulatory filings
• Identify, develop, organize, and deliver necessary compliance related training, and reinforce compliance-related communications.
• Maintain and update Policies and Procedures, and keep abreast of applicable existing, new and pending laws and regulations
• Maintain a strong working relationship with the other Company staff, particularly development
• Coordinate with central compliance department on shared functions (e.g., licensing & appointment, HR overlap)
• Work closely with the trading, technology, operations and finance departments to assist with the implementation of compliance programs.

Job Requirements:

Candidates must have a broad knowledge of regulated entities and compliance, regulated business environments and key regulatory issues especially as they relate to proprietary trading. This knowledge will include a demonstrated and strong track record of success working directly with key stakeholders and individuals residing within the various regulatory bodies and agencies. The candidate must also have a balance of both strong technical skills, with particular emphasis on knowledge and practical application of securities laws, regulations and procedures. The candidate should be a “decision maker” in his/her current organization and not purely a “technician”.

• Minimum of 4 years of experience working in a financial services organization that deals with principal/proprietary trading
• Strong working knowledge of the securities industry and applicable rules and regulations within the current regulatory environment
• Understands business issues and makes sound business judgments; implements and follows through on strategies to deliver results in a timely fashion.
• Bachelor degree is required. An advanced degree such as JD or MBA is a plus.

JUNIOR TACTICAL OPS ENGINEER

This role is technical in nature, as candidates are expected to be able to create scripts, parse logs, and write code to optimize our trading systems.

Specific duties and responsibilities include:

• Troubleshoot issues with outside technical support.
• Work with operations and traders when breaks occur.
• Configure API, help with connectivity to outside      venues.
• Identify/alert when firm is approaching message rate      limits.
• Help networking team test connectivity.
• Set up test environments for Quantitative Research team      to use for simulation.
• Provide ad hoc data for traders. This would include      intra-day trade, order, and messaging data.
• Reconcile drop feeds between venue and Company.
• Monitor disconnects to exchanges.
• Help allocate server and memory space for strategies.
• Log internal/external latencies for traders.

DATABASE DEVELOPER ADMIN

Specific duties and responsibilities include:

• Proven ability to resolve technical issues as they arise.
• Must have strong written and verbal communication skills.
• Must be proficient in MS Excel and other MS Office software.
• Working knowledge of python. Knowledge of C++ is      beneficial.
• Assist with selection of proper database technologies for company, and install and configure the databases
• Work closely with developers on schema and stored procedure development.
• Implement occasional scripts to generate reports or as tools for ad-hoc queries.

Required Experience/Skills

• Bachelors Degree in Computer Science, Computer Engineering, Mathematics, or related      field or equivalent work experience.       Masters Degree is preferred.
• Expert with SQL database technologies from a development, administration, and      operations point of view, preferably MySQL.
• Experience with Python scripting
• Experience with C++ is desired, but not required

INTERNAL AUDITOR, CA

Specific duties and responsibilities include:

• Graduate with at least one relevant certification – CPA, CIA or any other bank audit or risk management designation
• Bank audit experience  (Community, international or both) is a must
• Exposure in all the typical areas of the bank audit (such as BSA/AML, SOX, Compliance Regulatory Review, Accounting, Operations and Product line)
• Public accounting background desirable
• Flexibility in Travelling
• Auditor with at least 7 to 10 years of relevant professional experience

PART TIME QUALITY CONTROL/MORTGAGE UNDERWRITER, NJ

Leading consulting company and provider of compliance services to the mortgage industry seeking an underwriter in the Mortgage QC Services division located in Southern New Jersey.This opportunity is a temporary-to-permanent employment position.

Specific duties and responsibilities include:

• Complete QC audits
• Demonstrate a strong knowledge of Agency underwriting guidelines, DU and LP
• Demonstrate a working knowledge of Compliance requirements (Truth in Lending, RESPA, Reg Z)
• Knowledge of mortgage documentation
• Knowledge of document red flags and fraud indicators

Qualifications include:

• Possess broad scope of underwriting knowledge and skills
• Minimum of 5 years of front-line underwriting experience
• Strong analytical, interpersonal and organizational skills
• Excellent written and verbal communications skills

 

IT AUDIT MANAGER:

Specific duties and responsibilities include:

• Manage IT Audit projects across the company client base.
• Assist in scheduling and managing resources.
• Manage IT Audit engagements and client relationships including opening and closing meetings, regular communications, workpaper review and reporting.
• Responsible for the maintenance of IT Audit programs.
• Monitor the banking regulatory environment to stay current with new directives relating to IT.
• Primary contact point for client’s IT and management personnel.
• Assist in business development opportunities.

Qualifications Include:

• 6-10 years experience in IT Audit in a regulatory environment.
• Banking experience a big plus, consulting experience preferred.
• Must be flexible, willing to travel on short notice and be adaptable in an entrepreneurial environment.
• Bachelor’s degree is required
• ISACA certifications and an MBA preferred.
• Proficient in MS Office applications.

REGIONAL DIRECTOR, NY

Job Description

The Regional Director will be responsible for managing and growing our compliance consulting practice in the New York Region by providing comprehensive regulatory compliance services to our financial institution clients. These services include, but are not limited to: administration of our clients’ entire compliance program or specific projects such as monitoring, risk assessments, auditing, and training.

Specific duties and responsibilities include:

• Recruiting, hiring, training, managing, and motivating your professional compliance consulting staff
• Meeting with prospects and preparing proposals
• Managing consulting projects that include targeting consumer compliance reviews, website reviews, fair lending analysis, CRA evaluations, and BSA / AML testing
• Interfacing with all levels of client management as well as with Compliance staff
• Write clear and appropriate management reports to include key findings and recommendations
• Participate in client meetings and make presentations to Senior Management
• Provide/deliver regulatory compliance training

Qualifications include:

• Technical proficiency in all bank regulatory compliance matters
• Minimum of ten years of professional compliance experience in the banking industry including a minimum of three years in a management role; CRCM designation a plus
• Ability to interpret regulations and laws and disseminate information
• Bachelor’s degree in Business Administration or related field or equivalent education or experience
• Strong verbal, written, interpersonal, and public speaking skills
• Strong working knowledge of Microsoft PC software and applications

IT AUDIT MANAGER:

Specific duties and responsibilities include:

• Be a hands-on manager for IT Audit projects across the company client base.
• Assist in scheduling and managing resources.
• Manage IT Audit engagements and client relationships including opening and closing meetings, regular communications, workpaper review and reporting.
• Responsible for the maintenance of IT Audit programs.
• Monitor the banking regulatory environment to stay current with new directives relating to IT.
• Primary contact point for client’s IT and management personnel.
• Assist in business development opportunities.

Qualifications include:

• 6-10 years experience in IT Audit in a regulatory environment.
• Banking experience a big plus, consulting experience preferred.
• Must be flexible, willing to travel on short notice and be adaptable in an entrepreneurial environment.
• Bachelor’s degree is required, with ISACA certifications and an MBA preferred.
• The candidate should be proficient in MS Office applications.

Compliance Manager, CT

The Compliance Manager will be responsible for providing comprehensive regulatory compliance services to the company’s financial institution clients. These services include: administering clients’ compliance programs as well as specific projects such as assessing compliance risk, performing compliance monitoring, providing compliance training, drafting policies and procedures, developing strategies for implementing regulatory changes, and performing compliance audits.

Specific duties and responsibilities include:

• Assisting with the compliance function for our firm’s banking and credit union clients
• Performing consulting projects that include targeted consumer compliance reviews, website reviews, fair lending analysis, CRA evaluations, and BSA / AML testing
•  Interfacing with all levels of client management
•  Write clear and appropriate management reports to include key findings and recommendations
• Participate in client meetings and make presentations to Senior Management
• Deliver regulatory compliance training

Qualifications include:

• Minimum 10 years of professional compliance experience in the banking industry preferably holding a CRCM designation
• Ability to interpret regulations and laws and disseminate information
• Bachelor’s degree in Business Administration or related field or equivalent education or experience
• Strong working knowledge of Microsoft PC software and applications

Please visit our website to find an updated list of job descriptions. If you would like to hear of additional opportunities, please contact us at your convenience.

*MacPherson Group also offers referral rewards if candidates are placed.

MACPHERSON GROUP
224 Clarendon Street Suite 51, Boston MA 02116 617.262.1313
www.macpherson-group.com
integrity + diversity