Compliance Search Group Jobs in Arlington

Currently, there are no Compliance Search Group jobs available in Arlington, Virginia. You may wish to explore jobs in nearby locations on the Compliance Search Group jobs in Virginia page or view related jobs below.
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A global alternative asset manager seeks a Manager of Corporate Compliance who is responsible for the administration, monitoring, and testing of the firm’s global Code of Ethics program. Responsibilities: • Administer, along with other Corporate Compliance team members, the firm’s Global Code of Ethics Program including policies governing employees’ personal trading, gifts and entertainment, out...
A Boutique investment bank and broker/dealer Compliance Professional who will be responsible for monitoring and surveillance of sales and trading activities (reviews consist of best execution, short sale, trade reporting, TRF reporting, 605/606, REG NMS). Responsibilities: • Respond to real-time inquiries from traders, sales persons, technology personnel and trading management. • Work closely w...
An Alternative Investments firm seeks a Compliance Analyst/Paralegal who will assist with all aspects of a compliance program centered on regulatory requirements instituted by the Securities and Exchange Commission, the Financial Industry Regulatory Authority, and the Commodities Futures Trading Commission. The Successful candidate will assist with the Compliance Department’s monitoring and testi...
A global investment bank seeks an electronic compliance professional who will be responsible for working with the technology, business, and compliance divisions to build and enhance surveillance systems. The candidate will develop a plan for and test surveillance reports utilized by securities compliance on an on-going periodic basis to ensure they are functioning as expected. He/she will work w...
The start-up division of a successful Executive Search Firm seeks assistance due to growth. We focus on the hottest part of the financial and corporate world; Compliance. Our daily newsletter is sent to over 120,000 professionals, and accompanying job board and news blogs are a must-read and destination point for our target market. We need an experienced salesperson to help sell job listings an...
Our client is a top-tier global asset management and investment advisory firm that is seeking a Surveillance Director supporting their institutional investment management business. The individual will serve as the liaison between the guidelines, portfolio management team and compliance. The Director will also be interacting with the business side of the firm and will need strong interpersonal ski...
A global bank seeks a Compliance Professional who is responsible for supporting the Regulatory Change oversight function and the Director of Regulatory Change regionally, with regular interaction with the global arms of the function. Responsibilities: • Leading the monitoring, coordination and response for legislative and regulatory developments, including working with the business to analyze an...
Our client is a top-tier global asset management and investment advisory firm that is seeking a Surveillance Director supporting their institutional investment management business. The individual will serve as the liaison between the guidelines, portfolio management team and compliance. The Director will also be interacting with the business side of the firm and will need strong interpersonal ski...
Our client, a top global financial services firm, seeks a Compliance professional with Anti-Money Laundering and US Sanctions regulatory background, ideally in an institutional banking capacity, to provide compliance support for Treasury and Trade Services Trade Solutions. This important product set includes traditional trade services products (letters of credit, documentary collections, bank to ...
A top-tier global bank seeks a Senior Compliance Officer- Control Group who will primary focus on the distressed debt desk, loans trading desk, and loan portfolio management division (which is involved in managing the credit exposure of the firm’s loan portfolio as well as hedging counterparty exposure arising from derivative transactions). The candidate should also be comfortable supporting and ...
A top global bank seeks an Equities Compliance Advisory Professional who will become a team member of compliance professionals that provide advice and compliance support to the Institutional Equities Sales and Trading Floor, mainly in the equity cash space. Responsibilities: • Provide senior compliance advisory coverage to Institutional Equities Sales & Trading desks, with a focus on the followi...
Located: St. Louis, Mo , New York, New Jersey A national retail institutional brokerage firm is seeking a Senior Compliance Examiner to ensure branch compliance with Firm policies, procedures and industry rules. Conducts on-site audits which test for compliance with SEC Books and Records and prepares summary reports indicating the status of any findings and plans for corrective actions. Recomme...
Our client, a top-tier financial services firm, seeks a candidate who will work on life products with product development, legal, tax and other functional areas in order to draft forms and respond to insurance department comment letters. The candidate will be responsible for all aspects of a product development project. This includes drafting policy and related forms, researching state insurance ...
Our client is currently in need of a Chief Compliance Officer. The firm primarily deals with high-net worth clients as well as funds and convertible bonds. The firm has a friendly, professional and fast-moving environment. They would like for the person to have 7-10 years experience with an Registered Investment Advisory and must have a JD for the role. The successful candidate will have excellen...
A financial services firm seeks a Deputy Chief Compliance Officer who will be responsible for compliance and regulatory affairs for the registered Swap Dealer. This position will directly report to the Chief Compliance Officer. Primary Accountabilities/Responsibilities: • Identifies and interprets CFTC, NFA, state, federal, foreign jurisdiction, and self-regulatory organization rules and regula...
A start-up Job Board in a Fast Growing Space, Seeks a Social Media Marketing Associate CompliancJobs.com, www.compliancejobs.com is a niche job board catering to the incredibly fast growing compliance area of Wall Street and corporate America. If you are not familiar with this profession, these are the people responsible for keeping Wall Street, banks, and corporate America white-collar employee...
An Alternative investments firm seeks a Senior Operational Due Diligence Analyst who will work with Risk Management Team on operational due diligence on hedge funds and long-only asset managers. Responsibilities: • Primarily emphasize: risk assessment of business models, compliance policies and procedures, trade processing and valuation practices, counterparty/financing risks, technology infrast...
A Top-Tier Global bank seeks a Compliance Officer who will be responsible for covering the North American Global Managed Investments (GMI) business within the Private Bank Division. S/he will report to the Head of GMI Compliance and will be responsible for the following: • Providing support into business and product management staff to facilitate effective compliance with OCC Regulation 9 fiduci...
A top-tier global bank seeks a Compliance Officer who will be responsible for assisting with drafting, revising and advising on policies and procedures for the Americas institutional and retail businesses, including broker-dealer, banking, and asset and wealth management businesses. Responsibilities Include, but are not limited to: • Work with Compliance Advisory, the front office, and other inf...
The Compliance Search Group is a leading dynamic Executive Search firm that specializes in the placement of Compliance, Legal and Regulatory professionals. The Compliance field is hot and we seek smart, motivated people to join our team to help us with the rapid increase in business. You will be involved in all the important facets of recruiting Wall Street professionals. Responsibilities inclu...

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