Compliance Search Group jobs - New York City, NY
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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 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 | 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 | 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 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 | 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 | 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 | 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 | 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 | AML Compliance Officer | Financial Services Company | New York, NY |
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program for Private Wealth Management AML Compliance. Responsibilities: Review high ... Advanced knowledge of effective internet search techniques Strong IT skills Previous... 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 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, 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 | 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 17 | Director of Ad Operations | Annalect Group | New York, NY |
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Media/ Investment teams across Omnicom Media Group agencies (search, social, mobile, ... Data Policy & Logisitcs to pioneer 100% compliance with industry and corporate... 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 | 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 | 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 | 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 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 | 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 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 | 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 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 | Director of Accounting | Henderson Harbor Search | New York, NY |
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that all financial reporting is prepared in compliance with all financial policies, SEC ... and other documents to ensure this compliance. Ensures that company financial... 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 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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| 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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| 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 | 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 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 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 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 | 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 | Sr Associate-Financial Planning and Technical Analysis | Marcum Search | New York, NY |
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services throughout the Company, the group reviews and determines the accounting ... accounting policies and procedures to ensure compliance with relevant accounting standards... 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 | 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 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 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 | 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 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 06 | Analyst | Strategic Investments Group | New York, NY |
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in NYCEDC, such as Real Estate Development, Compliance, Legal, Planning, Corporate Communications, and Research Writing memoranda and presenting to senior staff of NYCEDC and the... more |
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| Mar 27 | Sr Director of Global Regulatory Ops -239K +20-25% Bonus-Pharma | Pharma Search | Woodcliff Lake, NJ |
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management and tracking systems. 3. Compliance: Oversee and manage the Global ... Evaluation, Implementation, and Maintenance Compliance Knowledge/Skills/Abilities... 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 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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