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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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  • CCO - Wholesale Banking - New York

    Our client is looking for a Head of US Compliance/Chief Compliance Officer to lead the US Compliance program for their branch office in New York. You will primarily be responsible for overseeing and managing regulatory & financial crime compliance issues as well as establish and maintain the compliance program. Key responsibilities include: Monitor changes and new regulatory requirements affecting the Bank and communicating those requirements to the Board of Directors & Global Compliance Officer at the Head Office. Update the compliance program on a timely basis when applicable federal, state and home country laws regulations impact the Bank's operations. Carry out compliance monitoring i...

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    job type:
    Permanent
    location:
    New York, USA
    salary:
    US$135000 - US$200000 per year + Bonus
    sector:
    financial services
    apply now
  • Compliance Counsel Manager - Private Equity - Dallas/FW area

    Our client, a global asset manager and private equity firm, is looking for a Compliance Counsel/Manager to join the team in the Dallas/Fort Worth area. This unique and newly created role will partner with the senior compliance and legal team and will be responsible for administering and running the compliance program while providing tailored compliance support to the different product lines. The role will suit a highly motivated, entrepreneurial professional with an appetite to learn and a desire to work in a fast paced international environment. The ideal candidate must have experience in the private fund/credit compliance field and/or RIA compliance field and/or at a regulator (SEC) han...

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    job type:
    Permanent
    location:
    Fort Worth, Texas
    salary:
    US$130000.00 - US$175000.00 per year + competitive bonus
    sector:
    financial services
    apply now
  • Compliance Manager - Consulting firm - Permanent - 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, Chicago 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 commens...

    Read more about this job
    job type:
    Permanent
    location:
    New York, USA
    salary:
    US$120000 - US$2000000 per year + Bonus
    sector:
    financial services
    apply now
  • Compliance Officer (BK & RIA) - Asset Manager - New York

    We are looking for a Compliance Officer to help administer and enhance our client's broker-dealer and private equity RIA compliance program. The Compliance Officer will work closely with our Legal and Compliance team on a variety of compliance matters including: Responsibilities & Goals Maintain and update broker-dealer and private equity RIA compliance calendar Support regular compliance testing and monitoring of policies and procedures of the broker-dealer and RIA, including personal trading, outside business activities, gifts and entertainment, registrations and filings, sales practice and operations Prepare written policies and procedures and support remediation efforts of compliance ...

    Read more about this job
    job type:
    Permanent
    location:
    New York, USA
    salary:
    US$100000.00 - US$130000.00 per year + Bonus
    sector:
    financial services
    apply now
  • Capital Markets Policies and Procedures Consultant - New York

    We are looking add a consultant to a team at a large international bank in midtown Manhattan. They are assisting the bank in homogenizing their various wide ranging policies. The focus is centered around front office activities and Federal Reserve regulations. This a an immediate need. We have considered attorneys with financial services experience in this role. Strong demonstrated writing skills. Writing samples are required. Role: Capital Markets Policies and Procedures Consultant Location: New York - Manhattan Duration: Long term (12+ month) More information: recruiting for a sharp management consultant with interest in growing their skills working with one of our financial services cl...

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    job type:
    Permanent
    location:
    New York, USA
    salary:
    US$55.00 - US$75.00 per year
    sector:
    financial services
    apply now
  • VP - Regulatory Change Manager - Banking - New York

    A major US global banking group is seeking to appoint a Senior Regulatory Change Manager to join the Front Office Regulatory Reform Team in New York. This newly created role will be responsible for identifying, designing and implementing major regulatory reform solutions for Global Markets and its clients. The ideal candidate will have: Strong understanding of Front Office trading processes as well as exposure to global markets; Experience running and organizing large scale change projects/ strong project management skills involving regulatory change; Understanding and previous exposure to the Volcker Rule given its impact on financial markets. This is a high visibility level role that wi...

    Read more about this job
    job type:
    Permanent
    location:
    New York, USA
    salary:
    US$150000.00 - US$185000.00 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 ...

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    job type:
    Permanent
    location:
    Houston, Texas
    salary:
    US$175000 - US$200000 per year + bonus
    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
  • 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
  • US CCO - Fintech - New York

    Exciting career opportunity for a 10+ year broker-dealer compliance manager to join an innovative fast-growth FinTech firm establishing itself in New York. The successful candidate will be responsible for developing, implementing, testing and maintaining an effective US compliance program to address all relevant SEC and FINRA regulatory requirements. Reporting into the global head of compliance in the UK, you will need to possess Equities Trading Compliance experience - Trading Group, Cash Equities, Options, and Fixed Income Trade Desks ideally. Substantial experience running a broker dealer compliance program and/or working at a regulator handling examinations and regulatory issues is re...

    Read more about this job
    job type:
    Permanent
    location:
    New York, USA
    salary:
    US$175000.00 - US$200000 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
  • Compliance Director - Investment Manager - New York

    Our client, an Investment Manager, is seeking a Director of Compliance to join its compliance and Legal Group in New York. This position will report directly to the Deputy CCO and work with a highly collaborative legal and compliance team and other business groups (particularly Operations, Investor Relations, Fund Accounting, Trading and IT). The candidate will work on a variety of compliance-related matters involving the firm's private funds business and SMA clients and he/she will have exposure to all areas of the compliance program. The individual will be involved with all compliance functions within the team, including team management matters. Primary responsibilities will include but...

    Read more about this job
    job type:
    Permanent
    location:
    New York, USA
    salary:
    US$175000.00 - US$200000.00 per year + 25% bonus
    sector:
    financial services
    apply now
  • Senior Paralegal - Private Equity - Texas & New York

    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
  • Fund Attorney - Private Equity

    Our client, a leading global asset manager with a well-established track record currently managing ~$120+ billion in AUM is looking for a Corporate Governance/Funds Attorney (6 month contract) in New York. You will need to have had in-house and/or top-tier law firm experience. Exposure to corporate governance, with some experience with legal operations, M&A/transaction support and/or investment funds preferred. This role reports in the General Counsel (GC). Compensation is competitive and commensurate with industry experience. For more information, please contact Benjamin Ellison on 646 766 1212 or

    Read more about this job
    job type:
    Contract
    location:
    New York, USA
    salary:
    US$0.00 per year
    sector:
    financial services
    apply now
  • Volcker Compliance Advisory - Investment Banking - New York

    Our client, a leading Corporate & Investment Bank, is looking for a VP or Director level Volcker Compliance Advisory Manager in New York. This role will oversee the direction of the Volcker Compliance program and therefore serve as subject matter expert (SME) and primary point of contact for Volcker and respective compliance program matters. 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 - legal background is beneficial but not required; Advanced subject matter expertise in Volcker compliance advisory ideally with front office exposure; Strong knowledge of Banking (DFS and FED), and S...

    Read more about this job
    job type:
    Permanent
    location:
    New York, USA
    salary:
    US$140000.00 - US$240000.00 per year + Bonus
    sector:
    financial services
    apply now