Loading

Connecting...

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.

find your consultant

  • BSA/AML Manager - Broker-Dealer - New York

    Our client, a leading investment bank, is building out its executive financial crime team in New York and is looking for a Senior AML Manager that will serve as the dedicated AML advisory subject matter expert ("SME") for the registered broker-dealer and future commission merchant ("FCM"). This role will cover all lines of business and will provide support and leadership relating to AML/OFAC regulatory broker-dealer compliance matters in the US. The ideal candidate will have: A minimum of 5 years' experience working in a compliance/regulatory role at a broker-dealer and/or financial institution; Expertize covering FINRA broker-dealer rules, with specific emphasis related to AML/OFAC; Expe...

    Read more about this job
    job type:
    Permanent
    location:
    New York, USA
    salary:
    US$140000.00 - US$180000.00 per year + bonus
    sector:
    financial services
    apply now
  • NYDFS 504 Compliance - Investment Banking - New York

    A leading investment bank is looking for an individual with exposure to the NYDFS 504 Certification in New York. This role will support and facilitate the administration of the annual certification process as part of the implementation of the New York Department of Financial Services' Part 504 Banking Division Transaction Monitoring and Filtering Program Requirements and Certifications ("NYDFS 504"). Key responsibility will be: Preparing the annual schedule for the administration of the NYDFS 504 certification. Working with internal stakeholders to embed the certification schedule into annual planning activities Maintaining an inventory of processes that fall within the scope of the NYDFS...

    Read more about this job
    job type:
    Permanent
    location:
    New York, USA
    salary:
    US$140000.00 - US$180000.00 per year + 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
  • Senior Paralegal - Private Equity - Texas

    Our client is one of the top 5 private equity firms globally. This is a challenging opportunity for 3 talented Paralegal professionals to join the group's Legal & Compliance team supporting their Investor Relations team. Requirements Investment management, investment funds, securities or other regulatory background 7 years' experience in a paralegal role at a large corporate office of large, multi-platform alternative investment firm Record of executing their responsibilities in a confidential, trustworthy manner and demonstrate effective written and oral communication and attention to detail Quick learner with a positive "can do" attitude and a team player Willing to help out whenever ne...

    Read more about this job
    job type:
    Permanent
    location:
    Fort Worth, Texas
    salary:
    US$60000.00 - US$120000.00 per year + Bonus
    sector:
    financial services
    apply now
  • KYC QA Manager - Investment Banking - New York

    A leading investment bank in New York is looking for a VP level KYC QA/QC Manager to support and develop the Quality Assurance (QA) program in the US. You will be a key member of the AML Compliance team and will report directly to the US Head of AML/KYC. The ideal candidate will have experience: Developing a Quality Assurance/Quality Control program and implementing key metrics and control reporting processes with KYC. Strong understanding of KYC processes required. Strong understanding of commercial banking and broker dealer products and services. ACAMS certification and legal background a plus People Management experience This is a high visibility level role that will see you build and ...

    Read more about this job
    job type:
    Permanent
    location:
    New York, USA
    salary:
    US$110000.00 - US$150000.00 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 Financial Crime Advisory - Banking - New York

    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
  • Director: Fraud Strategy - Banking - Wilmington

    Our client, a leading Investment bank is looking for a Director - Fraud Strategy in Wilmington, Delaware. This position will report into the Head of Fraud Risk Strategy and will play a key role with the overall assessment, management and optimization of the fraud risk program in the US. The ideal candidate will have: Led Fraud Strategy teams in financial services, payments or at a leading fintech firm; Experience and deep knowledge of technical and regulatory matters to mitigate risk and protect the business and its clients from fraud; Exposure to strategy development, problem solving, controls and business innovation. This is a high visibility level role that will see you build and manag...

    Read more about this job
    job type:
    Permanent
    location:
    Wilmington, Delaware
    salary:
    US$170000.00 - US$210000.00 per year + bonus
    sector:
    financial services
    apply now
  • Senior Paralegal - Private Equity - Texas

    Our client is one of the top 5 private equity firms globally. This is a challenging opportunity for 3 talented Paralegal professionals to join the group's Legal & Compliance team supporting their Investor Relations team. Requirements Investment management, investment funds, securities or other regulatory background 7 years' experience in a paralegal role at a large corporate office of large, multi-platform alternative investment firm Record of executing their responsibilities in a confidential, trustworthy manner and demonstrate effective written and oral communication and attention to detail Quick learner with a positive "can do" attitude and a team player Willing to help out whenever ne...

    Read more about this job
    job type:
    Permanent
    location:
    Fort Worth, Texas
    salary:
    US$60000.00 - US$120000.00 per year + Bonus
    sector:
    financial services
    apply now
  • Compliance Analyst - Financial Services - New York

    Our client, a leading US consulting firm providing investment advisers and broker dealers compliance services, are looking to hire consultants at all levels in New York and San Francisco. 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. Compensation is competitive and commensurate wit...

    Read more about this job
    job type:
    Permanent
    location:
    New York, USA
    salary:
    US$70000.00 - US$80000.00 per year + Bonus
    sector:
    financial services
    apply now
  • Paralegal - Private Equity - New York

    Our client, a global private equity firm with 50+ bln aum, is looking for a Paralegal in New York. You will manage projects related to the firm's infrastructure and operations and partner with a variety of departments within the firm. The paralegal will report directly to the Legal and Compliance Departments. The successful candidate will be responsible for assisting with fund management, entity formation and maintenance processes as well as serve as record keeper and source of information. You will also prepare, edit, review and file SEC documents and constantly interface with legal and compliance departments with regards to legal matters applicable to the firm. A paralegal or equivalent...

    Read more about this job
    job type:
    Permanent
    location:
    New York, USA
    salary:
    US$70000.00 - US$100000.00 per year + bonus
    sector:
    financial services
    apply now