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ben ellison.

compliance & legal managing consultant | new york

email: ben.ellison@twentyrecruitment.com
linkedin: ben ellison
phone: +1 646-766-1212

Ben graduated with a Business & Spanish degree from Cardiff University in the UK and has five years’ international recruitment experience gained in Europe and the US. Ben joined Twenty’s New York financial services team in 2016 and focuses on permanent Compliance, Legal and Regulatory searches for both buy and sell side firms at all levels. Originally from Belgium, Ben is trilingual, speaking French, English and Spanish.

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  • Senior Compliance Officer - Financial Services - Boston

    Our client, a global, independent, brokerage and investment-banking firm, is looking to recruit a Senior Compliance Officer in Boston. The successful candidate for this position will play an active role in the surveillance and regulatory compliance efforts for the firm. The ideal candidate will have: Three - Five years compliance experience; Generalist Broker/dealer compliance background; Control Room Compliance (Investment banking/Research) a plus but not a requirement. Series 7 & 24 preferred; You will need to possess a strong academic profile, excellent organizational & communication as well as the ability to take initiative and assume responsibility. This position offers outstanding c...

    Read more about this job
    job type:
    Permanent
    location:
    Boston, Massachusetts
    salary:
    US$75000.00 - US$95000.00 per year + bonus
    sector:
    financial services
    apply now
  • VP Financial Crime Advisory - New York - Investment Bank

    Our client, a leading Corporate & Investment Bank, is looking for a VP level AML/KYC Compliance Advisory Manager in New York. This role will oversee the direction of the AML Compliance program and therefore serve as subject matter expert (SME) for AML/KYC policy and process-related questions. This is a newly created role which will play a key role in the team build out. The ideal candidate must have: Bachelor's degree required, J.D. preferred; Advanced subject matter expertize in AML/KYC compliance advisory ideally with front office exposure; Conduct KYC Quality Assurance (QA) and manage AML related metrics; You will need to possess a strong academic profile, excellent organizational & co...

    Read more about this job
    job type:
    Permanent
    location:
    New York, USA
    salary:
    US$100000.00 - US$150000.00 per year + Bonus & Benefits
    sector:
    financial services
    apply now
  • VP Corporate Finance Compliance Advisory - Banking - New York

    Our client, a global investment bank, is looking for a VP - Sales & Trading Compliance Advisory profile in New York City. The role will essentially provide compliance advisory services for the corporate finance business lines by providing real-time compliance advice to investment banking, leveraged finance, equity and debt capital markets (DCM). The ideal candidate will have: Experience developing and implementing policies and procedures in capital markets. Strong knowledge of practices under the Securities Act and Exchange Act as well as knowledge of FINRA regulations Experience providing regulatory, legal and compliance advice to market sales and trading - fixed income and equities sale...

    Read more about this job
    job type:
    Permanent
    location:
    New York, USA
    salary:
    US$120000.00 - US$175000.00 per year + bonus
    sector:
    financial services
    apply now
  • Compliance Director - Financial Services - USA

    A leading buy side consulting firm in New York is looking for a Compliance Director. You will be responsible for providing tailored compliance and regulatory support to SEC registered & unregistered investment advisors, broker dealers and CPO/CTAs. The ideal candidate must have experience in the Hedge/private fund compliance field and/or broker dealer compliance field and/or at a regulator handling examinations and regulatory issues. Knowledge of the Investment Advisers Act of 1940 is required with CFTC/FINRA/NFA broker dealer compliance a plus. This role offers the opportunity to work on a variety of assignments allowing you to build your compliance knowledge, network and client relation...

    Read more about this job
    job type:
    Permanent
    location:
    New York, USA
    salary:
    US$135000.00 - US$175000.00 per year + bonus
    sector:
    financial services
    apply now
  • Advisory Compliance Officer - Investment Manager - New York

    Our client, a leading investment manager, is looking to hire an Advisory Compliance officer to assist with the firm's Research and Trading Compliance program in New York. You will play an important role in developing and supporting a compliance program encompassing the full investment life cycle, including but not limited to, data acquisition, research practices and methodologies, portfolio management and trading as well as provide real-time guidance and support to the businesses on regulatory matters that impact the investment process and the firm's fiduciary duties; The ideal profile will have: Between 5-8 years of experience in compliance at either a broker-dealer or a mid/ large-sized...

    Read more about this job
    job type:
    Permanent
    location:
    New York, USA
    salary:
    US$120000.00 - US$175000.00 per year + bonus
    sector:
    financial services
    apply now
  • VP - Capital Markets Attorney

    Our client, a Global Investment bank, is looking for a VP level Capital Markets Attorney to join its Legal Group in New York. You will provide support for debt capital markets with specific emphasis on equity offerings (IPOs, follow-ons, ATMs), private placements and liability management transactions. The ideal candidate will have: Worked at a top law firm (with a focus on capital markets transactional work) and/or at an investment bank/securities firm. Additional experience in practice areas such as M&A, structured finance (including asset backed securities offerings), and general corporate work is considered a plus; A good understanding of U.S. securities laws and regulations with exper...

    Read more about this job
    job type:
    Permanent
    location:
    New York, USA
    salary:
    US$175000.00 - US$200000.00 per year + competitive bonus
    sector:
    financial services
    apply now
  • Senior Compliance Manager- Investment Management - Houston

    Our client, a leading global investment manager, is looking for a Senior Compliance Manager in Houston. You will be working closely with the US CCO. The ideal candidate must have significant experience leading a team at an SEC-registered advisor preferably at a Retail RIA and will be responsible for overseeing and monitoring the compliance program on a day-to-day basis as well as acting as CCO for the robo advisor. Strong knowledge of the Investment Advisers Act of 1940, Investment Company Act of 1940 is required with CFTC/FINRA regulatory knowledge a plus. Background with testing and reporting programs within a compliance governance setting preferred. This newly created role will suit a ...

    Read more about this job
    job type:
    Permanent
    location:
    Houston, Texas
    salary:
    US$175000 - US$200000 per year + bonus
    sector:
    financial services
    apply now
  • Compliance Manager - Financial Services - New York/SanFrancisco

    You will be responsible for providing tailored compliance and regulatory support to SEC registered & unregistered investment advisors, broker dealers and CPO/CTAs. The ideal candidate must have experience in the private fund compliance field and/or broker dealer compliance field and/or at a regulator handling examinations and regulatory issues. Knowledge of the Investment Advisers Act of 1940 is required with CFTC/FINRA/NFA broker dealer compliance a plus. This role offers the opportunity to work on a variety of assignments allowing you to build your compliance knowledge, network and client relationships. No travel required. For more information, please contact Benjamin Ellison on 646 766...

    Read more about this job
    job type:
    Permanent
    location:
    New York, USA
    salary:
    US$100000.00 - US$150000.00 per year + bonus
    sector:
    financial services
    apply now