Compliance Search Group jobs
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Featured Job Postings from the Web
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| May 24 | Compliance Generalist | Compliance Search Group | New York, NY |
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The compliance role will report to the Chief Compliance Officer and have responsibility ... etc) and testing to ensure compliance with Compliance Manual, including monitoring... more |
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| May 24 | Fixed Income sales & trading floor Compliance Attorney | Compliance Search Group | New York, NY |
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Bank, including the Credit Portfolio Group, Special Credits, and Credit Risk ... policies and procedures required for compliance with US securities laws, banking... more |
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| May 24 | Hedge Fund / Trading Compliance Officer | Compliance Search Group | New York, NY |
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Fund. The firm seeks an experienced trading compliance professional to join their team. ... in designing and developing effective compliance procedures and controls in support... more |
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| May 22 | Vice President Compliance Municipal Securities | Compliance Search Group | New York, NY |
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Qualifications: Minimum five years compliance experience specializing in ... Knowledge of broker-dealer regulatory compliance including MSRB, FINRA, and SEC... more |
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| May 22 | Senior Compliance Officer / Investment Management | Compliance Search Group | Philadelphia, PA |
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Compliance, assist in the oversight of the compliance program of the firms US divisions, ... Compliance Monitoring Perform specialized compliance exams based on regulatory... more |
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| May 22 | Branch Administrative Manager | Compliance Search Group | Philadelphia, PA |
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for entire branch office Communicate compliance, sales practice and legal issues ... of certain transactions that require Compliance and/or legal intervention... more |
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| May 22 | Vice President Institutional Equities and Derivatives C | Compliance Search Group | New York, NY |
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This individual will provide advisory compliance support for the Institutional Equity ... projects. Job Responsibilities: Provide Compliance support for equity and derivative... more |
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| May 22 | Compliance Manager - Information Provider Company | Compliance Search Group | New York, NY |
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of the registered investment adviser compliance program of the firm. ... compliance issues and for prioritizing compliance tasks Other duties, as assigned... more |
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| May 22 | VP, Investment Advisory Attorney - Investment Bank | Compliance Search Group | New York, NY |
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activities of the advisory platform to have compliance with applicable laws and ... for the products and services, and compliance with the Investment Advisers Act. more |
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| May 22 | Equity Capital Markets Compliance VP | Compliance Search Group | New York, NY |
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Key Responsibilities Supporting Compliance initiatives including writing ... Advising management on significant compliance matters and issues; Interacting... more |
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| May 22 | Hedge Fund Compliance -Control Room- | Compliance Search Group | New York, NY |
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seeks to build a "first in class proactive Compliance program. As part of this ... banking, control room, trading or related Compliance, Legal and /or Regulatory... more |
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| May 22 | Hedge Fund Compliance Officer | Compliance Search Group | New York, NY |
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and personal trading compliance Monitor compliance with insider trading procedures, ... retention oversight Monitor and coordinate compliance activities of other departments... more |
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| May 22 | Employee Trading Compliance | Compliance Search Group | New York, NY |
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a top-tier ratings agency, seeks a Senior Compliance Associate. The candidate must have ... Office software suite, Bloomberg, and a compliance monitoring tool such as SunGards... more |
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| May 22 | Assistant General Counsel / Compliance Advisory | Compliance Search Group | New York, NY |
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Assistant General Counsel/ Compliance Advisory - Fixed Income Credit Risk Our client is a ... Compliance Officer providing regulatory and compliance advice to several key Credit Risk... more |
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| May 22 | Compliance Technology Developer | Compliance Search Group | Stamford, CT |
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customized reporting and analysis tools for Compliance staff. General responsibilities ... - Understanding of regulatory compliance for financial services is a plus... more |
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| May 22 | Branch / Region Compliance Manager | Compliance Search Group | Irvine, CA |
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financial services firm, seeks a Field Compliance Manager. Responsibilities include: ... - Handle complaints. - Follow-up and track compliance and supervision operations. -... more |
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| May 20 | Sr. Investment Operations Assoc. - Proxy (Temp to Perm) | Compliance Search Group | New York, NY |
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Work with management to ensure regulatory compliance with proxy voting rules, ... (Trading, Portfolio Management, Legal, Compliance, Internal Audit, Fund Accounting,... more |
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| May 20 | Anti-Money Laundering Banking Compliance Officer | Compliance Search Group | New York, NY |
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seeks an Anti-Money Laundering Banking Compliance Officer Responsibilities include: ... account opening, monitoring, reporting and compliance reviews. Develop effective... more |
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| May 20 | VP, Business Control Risk Officer - Wealth Management | Compliance Search Group | New York, NY |
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& Testing to manage and resolve audit/compliance findings Perform testing and ... sales experience with an expertise in compliance and/or business control and risk... more |
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| May 20 | Marketing Material Review Compliance Officer | Compliance Search Group | Philadelphia, PA |
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Clearly and effectively communicate compliance policies internally Review ... Conduct compliance training Regulatory Assist in the reviewing / implementing changes in r... more |
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| May 20 | VP, Advertising, Marketing Material Review Compliance | Compliance Search Group | New York, NY |
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investment bank, seeks a Marketing Material Compliance professional. This individual will ... organization including; Marketing, Legal, Compliance, Management, and Investment... more |
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| May 20 | Senior Compliance Officer - Distribution | Compliance Search Group | Philadelphia, PA |
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Oversee vendor relationships supporting compliance objectives Attend committee ... Clearly and effectively communicate compliance policies internally Oversee... more |
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| May 20 | Broker - Dealer Compliance, Director Level | Compliance Search Group | Jersey City, NJ |
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matters and filings; Oversight of the compliance professional responsible for ... Strong knowledge of securities/broker-dealer compliance, including FINRA rules and regulat... more |
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| May 20 | Compliance Manager - Alternative Investments | Compliance Search Group | Dallas, TX |
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Compliance Officer in managing the firm's compliance platform, including implementation ... or other analytical major 5-10 years of compliance experience in corporate finance,... more |
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| May 20 | Compliance Officer - Adviser / Fund | Compliance Search Group | Philadelphia, PA |
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Compliance Monitoring Perform specialized compliance exams based on regulatory ... are compliant with the firms Compliance Program and regulatory... more |
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| May 14 | Anti-Money Laundering Project Manager VP and SVP role | Compliance Search Group | New York, NY |
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with Anti-Money Laundering experience. The Compliance Project Management Program Office ... enhancing the quality of integrated Global Compliance Control data and operating... more |
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| May 14 | Investment Banking - VP Anti-Money Laundering | Compliance Search Group | New York, NY |
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policies and procedures applicable to AML Compliance for the Investment Bank Stay ... on internal committees and projects Provide compliance support for audit and exam... more |
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| May 14 | Assistant General Counsel - U.S. Bank Operations | Compliance Search Group | New York, NY |
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Our client seeks an Assistant General Counsel for their U.S. Bank Operations. Responsibilities: Has responsibility for advising the Executive Vice President, General Counsel and... more |
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| May 14 | Chief Compliance Officer - Derivatives & Swaps | Compliance Search Group | New York, NY |
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o real-time market monitoring; o compliance with audit trail requirements; o ... written policies and procedures, including a compliance manual, designed to prevent... more |
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| May 14 | Alternative Investments Compliance Officer | Compliance Search Group | New York, NY |
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their Alternative Investments division. The Compliance Officer will be responsible for ... 7+ years of experience working with hedge funds/private equity, providing compliance suppo... more |
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| May 14 | Derivatives Compliance Manager | Compliance Search Group | New York, NY |
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testing and reporting, with other groups compliance, as well as Audit, Legal, ... the Annual Compliance Report attesting to compliance with applicable rules, including... more |
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| May 14 | Fixed Income Sales & Trading Desk Compliance VP Inves | Compliance Search Group | New York, NY |
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responsibilities for providing real-time Compliance advisory support to the Rates ... products Interact with and present to senior compliance and front office personnel on... more |
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| May 14 | Bank Regulatory Compliance | Compliance Search Group | New York, NY |
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Services firm is seeking a Bank Regulatory Compliance officer. Responsibilities include: ... support to the Bank Regulatory Compliance unit Other ad hoc duties and... more |
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| May 14 | Manager Supervisory Compliance Affairs | Compliance Search Group | Chicago, IL |
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Our client, a top-tier financial services firm is looking for someone with a minimum of 7 years experience preferably with or previously out of state regulator. - 50% of this role... more |
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| May 14 | Hedge Funds Compliance Associate | Compliance Search Group | New York, NY |
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will support the General Counsel and Chief Compliance Officer and have diversified ... accounting on bill tracking -Maintaining compliance documents and data - Create... more |
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| May 14 | Banking Compliance VP | Compliance Search Group | New York, NY |
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requested information. Assess current compliance polices, including employee ... trends. Establish and conduct a bank-wide compliance training program. Job... more |
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| May 14 | Compliance Attorney - Real Estate | Compliance Search Group | Miami, FL |
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Bank seeks a Compliance Attorney. Responsibilities: Work closely with the Company's Executive Vice President, General Counsel and Portfolio Managers to enhance the value of the... more |
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| May 11 | Compliance & Anti-Money Laundering Officer - VP | Compliance Search Group | New York, NY |
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He/She will be responsible for all AML/BSA and general Compliance relating to the company ... validations; Provide strategic advice on Compliance issues, identifying future trends... more |
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| May 11 | Executive Director FI Rates and Currency Compliance | Compliance Search Group | New York, NY |
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sovereigns. Strong knowledge of general compliance issues such as supervision, ... T; FR-2004 reporting; primary dealer compliance program; Treasury Market Best... more |
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| May 11 | Branch Compliance Administrative Manager High-Net-Worth | Compliance Search Group | Los Angeles, CA |
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The company seeks an Administrative/Compliance Manager for their leading Los Angeles offic ... The Branch Compliance/Administration manager will be responsible for a variety of activiti... more |
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| May 07 | Vice President Municipal Sales & Trading Compliance | Compliance Search Group | New York, NY |
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Trading Compliance (Institutional Securities Group) Our client, a top-tier financial ... projects. Job Responsibilities: Provide Compliance support for municipal sales and... more |
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| May 07 | Options Compliance Officer | Compliance Search Group | New York, NY |
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and other services, seeks an Options Compliance Officer. The compliance ... and/or regulations. Assist to position Compliance as a business partner to... more |
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| May 06 | Vice President / Assist Manager Regulatory Inquiry Group | Compliance Search Group | New York, NY |
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would act as the Assistant Manager for the group that researches, analyzes and responds ... personnel, external and internal counsel, compliance coverage, etc., as required to... more |
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| May 06 | Management Consultant - Bank Compliance & Regulatory | Compliance Search Group | New York, NY |
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assess, and manage risks related to compliance. Primary responsibilities will ... specifically related to consumer compliance regulations (e.g., Federal Reserve... more |
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| May 06 | Compliance Officer - FX Advisory Compliance. | Compliance Search Group | New York, NY |
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Providing regulatory/compliance training as needed ... Ability to make, support and defend difficult and complex regulatory/compliance decisions... more |
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| May 06 | Compliance Risk Assessment - Investment Bank | Compliance Search Group | New York, NY |
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annual Supervisory and Internal Control and Compliance Risk Assessment Methodology ... Previous experience: o Minimum of five years of compliance, audit, and/or regulatory expe... more |
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| Apr 29 | Regulatory & Compliance - Audit Director | Compliance Search Group | New York, NY |
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strategic direction of the regulatory and compliance audit coverage of the Bank. This ... with respect to appropriate regulatory and compliance internal audit coverage. The Audit... more |
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| Apr 29 | Bank and Anti-Money Laundering Compliance Officer | Compliance Search Group | New York, NY |
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through compliance seminars, conferences, compliance committees, external training and ... serious compliance issues to the Head Office Compliance resp. the Chief Compliance Office... more |
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| Apr 29 | Fixed Income Rates Compliance Officer AVP / VP | Compliance Search Group | New York, NY |
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Providing regulatory/compliance training as needed ... Ability to make, support and defend difficult and complex regulatory/compliance decisions... more |
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| Apr 22 | Compliance Officer - Hedge Fund | Compliance Search Group | New York, NY |
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firms compliance program, including various compliance logs and checklists (e.g., ... developments in compliance area. Design new compliance initiatives as law, compliance and... more |
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| Apr 22 | Compliance Manager - Public Communications & Social Media | Compliance Search Group | New York, NY |
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Compliance Manager will be a member of the Compliance Department and will help to ensure ... owners/review deadlines and personnel. The Compliance Manager will be responsible for... more |
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| Apr 22 | Compliance - Alternative Investments | Compliance Search Group | Chicago, IL |
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The Compliance Search Group is the oldest, largest and most ... search firm focused on the placement of Compliance, Legal, Risk Management, Audit,... more |
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| Apr 22 | Trading Floor Compliance - Investment Bank | Compliance Search Group | New York, NY |
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Compliance Officer-Products will manage compliance projects related to sales and ... lines Lead the process of publishing Compliance Alerts, Compliance Manuals and... more |
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| Apr 22 | Senior Compliance Manager / Deputy Compliance Director | Compliance Search Group | New York, NY |
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Candidate must have familiarity with compliance monitoring and testing programs ... compliance program. Maintaining and updating compliance manuals for a registered... more |
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| Apr 22 | Senior Compliance Anti-Money Laundering | Compliance Search Group | Los Angeles, CA |
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Ensure that the firm has implemented and is in compliance with all BSA/AML laws, regulati ... Ensure that the firm has implemented and is in compliance with all BSA/AML polices, direc... more |
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| Apr 22 | Compliance Attorney | Compliance Search Group | Chicago, IL |
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Implementing the Firms comprehensive compliance initiative, including a calendar ... and procedures to standardize routine compliance tasks Supervising paralegal tasks... more |
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| Apr 22 | Compliance Officer - Corporate Finance | Compliance Search Group | New York, NY |
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Provide regulatory/compliance training ... Ability to make, support and defend difficult and complex regulatory/compliance decisions... more |
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| Apr 22 | Compliance Monitoring and Testing | Compliance Search Group | New York, NY |
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cycle requirements Perform testing of compliance and regulatory related controls to ... and conduct compliance reviews Work with Compliance and Business colleagues to prepare... more |
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| Apr 15 | Compliance Associate | Compliance Search Group | New York, NY |
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Company Seeks Investment Management Compliance Associate The Compliance Associate ... investment advisers with tailored compliance and regulatory services and... more |
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| Apr 15 | Compliance Officer | Complaince Search Group | New York, NY |
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Senior Compliance Officer New York The compliance role will report directly to the ... must have strong experience working in compliance within the investment management... more |
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| Apr 15 | Compliance Monitoring and Testing - Wealth Management | Compliance Search Group | New York, NY |
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division of an investment bank seeks a Compliance professional to be involved with ... and conduct compliance reviews. Work with Compliance and Business colleagues to prepare... more |
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| Apr 15 | Compliance VP Securities Trade Monitoring | Compliance Search Group | New York, NY |
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ratings agency seeking an experienced compliance professional to supervise the ... He/she will also provide guidance on trading to Compliance and company stakeholders, manag... more |
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| Apr 15 | Fair Lending Compliance Officer | Compliance Search Group | New York, NY |
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investment bank. The firm seeks a Head of Compliance Mortgage Banking Fair Lending. ... The role will report to the Chief Compliance Officer. Qualifications: Minimum... more |
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| Apr 15 | Senior Compliance Officer | Compliance Search Group | New York, NY |
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must have strong experience working in compliance within the investment management ... policies Monitoring of trade execution and compliance oversight of the trade execution... more |
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| Apr 15 | Regulatory Consumer Compliance Manager / Senior Manager | Compliance Search Group | New York, NY |
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Regulatory Consumer Compliance Manager/Senior Manager several positions Job Description M ... and maintaining effective regulatory compliance programs. The Management... more |
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| Apr 15 | Trading Compliance Specialist | Compliance Search Group | New York, NY |
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investment adviser is seeking a Trading Compliance Specialist with primary ... reports for clients Assist in annual compliance reviews by performing test work... more |
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| Apr 13 | Hedge Fund Compliance Associate | Complaince Search Group | Chicago, IL |
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electronic communication for violations of compliance policies and procedures Monitor ... employee questions concerning the firm's compliance policies and procedures Analyze... more |
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| Apr 09 | Management Consultant - Consumer Bank Compliance & Regu | Compliance Search Group | New York, NY |
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assess, and manage risks related to compliance. Primary responsibilities will ... specifically related to consumer compliance regulations (e.g., Federal Reserve... more |
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| Mar 25 | Anti-Money Laundering Compliance Associate | Compliance Search Group | New York, NY |
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Compliance Associate. Anti-Money Laundering Compliance Associate for an International ... account opening, monitoring, reporting and compliance reviews. developing effective... more |
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| Mar 25 | Compliance Associate - Hedge Funds | Compliance Search Group | Greenwich, CT |
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closely with the General Counsel and Chief Compliance Officer. This person will have a ... should have 3-5 years of hedge funds compliance experience. Please email resumes... more |
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| Mar 25 | Fixed Income Rates and Currencies Compliance | Compliance Search Group | New York, NY |
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Fixed Income Rates and Currencies Compliance State/Location: New York, NY Description: Our ... sovereigns. Strong knowledge of general compliance issues such as supervision,... more |
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| Mar 25 | Asset Management Compliance Officer | Compliance Search Group | New York, NY |
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compliancesearch.com The Compliance Search Group is the oldest, largest and most ... search firm focused on the placement of Compliance, Legal, Risk Management, Audit,... more |
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| Mar 18 | Compliance Monitoring and Testing Manager | Compliance Search Group | New York, NY |
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open for a Financial Holding Company Compliance Monitoring and Testing Manager. ... Qualifications: 5+ years of compliance testing and/or audit/risk review background... more |
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| Mar 11 | Branch Administrative and Compliance Manager | Compliance Search Group | Washington, DC |
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for entire branch office Communicate compliance, sales practice and legal issues ... of certain transactions that require Compliance and/or legal intervention... more |
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| Mar 11 | Asset Management Trading Compliance Specialist | Compliance Search Group | New York, NY |
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Principal Responsibilities: The Senior Compliance Analyst - Equity will be ... Firms application of Rule 38a-1 and 206(4)-7 compliance programs. Qualifications: Strong... more |
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