Compliance Search Group jobs
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Featured Job Postings from the Web
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| May 30 | Compliance and Administrative Branch Manager / High-Net | Compliance Search Group | Greenwich, CT |
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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 30 | Engineering Compliance Auditor - Maintenance Relia | Advanced Search Group | Joliet, IL |
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a talented and innovative Engineering Compliance Auditor to join our Engineering ... The Engineering Compliance Auditor will perform Operational and Compliance Assessments or... more |
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| May 28 | Compliance Officer Bank Review, AVP | Compliance Search Group | New York, NY |
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support areas with a view towards assessing compliance with applicable federal and state ... professionals in the organization, including Compliance Advisory Teams, Regulatory Inquiry... more |
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| May 28 | Anti-Money Laundering Compliance Officer | Compliance Search Group | New York, NY |
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and maintenance of the BSA/AML/OFAC Compliance Program for the bank. The ... and work closely with senior legal and compliance officers to adopt procedures to... more |
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| May 27 | Senior Compliance Analyst | Compliance Search Group | New York, NY |
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Chief Compliance Officer and Deputy Chief Compliance Officer in the advisers manager of ... via Compliance Dashboard of the Funds for compliance with investment guidelines,... more |
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| May 27 | Senior Compliance Officer - Private Equity Firm | Compliance Search Group | Dallas, TX |
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a private equity firm, seeks to hire a Compliance professional. The Compliance ... Review review marketing material for compliance with regulatory requirements... more |
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| May 27 | Institutional Options 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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| May 27 | KYC Anti-Money Laundering Compliance Officer | Compliance Search Group | Orlando, FL |
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Five years of AML / Compliance / KYC experience is required ... Qualifications: Undergraduate degree Five Years AML / Compliance / KYC experience Knowledg... 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 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 | 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 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 | 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 | 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 | 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 | 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 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 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 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 | 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 | 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 | 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 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 14 | Manager / Compliance - Regulatory Support and Legislativ | Compliance Search Group | New York, NY |
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Compliance Policy and Procedures Oversight Ensue compliance Policy and Procedures manual i ... Managed other compliance professionals in either a small or large Compliance or similar de... 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 | Mortgage Banking Compliance Officer - Third Party | Compliance Search Group | New York, NY |
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Mortgage Banking Legal & Compliance Practice group is to provide both transactional and ... TPO Compliance officer in the execution of a compliance plan covering the Compliance risks... 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 | 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 | Chief AML Compliance Officer | Compliance Search Group | New York, NY |
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Our client, an international financial services firm, seeks a Chief Anti-Money Laundering Officer for their U.S. Bank and Broker Dealer division, based in New York... 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 | 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 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 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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