Compliance Search Group Jobs in Bakersfield

Currently, there are no Compliance Search Group jobs available in Bakersfield, California. You may wish to explore jobs in nearby locations on the Compliance Search Group jobs in California page or view related jobs below.
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Our client is one of the world's leading private investment firms with approximately $80 billion in assets under management. In business for over 30 years, their family of funds includes private equity, public equity, leveraged debt assets, venture capital, and absolute return capital. Headquartered in Boston, the firm has offices throughout the US, and London, Munich, Mumbai, Palo Alto, Hong Kong...

A utility bill auditing firm seeks an experienced Utility Auditor to play a key role on a forensic utility bill analysis. The individual should have a record of success in a role focused on gathering data, cost analysis, analyzing complicated laws and regulations, and identifying cases, opportunities and solutions. This position interfaces directly with customers, so strong communication, presen...

Our client, a Top Tier Global Investment Bank is seeking a VP Level Compliance Officer to support their Sales & Trading Fixed Income Rates & Global FX Desk Responsibilities include: • Provide day to day compliance support to the US Macro Sales, Trading and Structuring businesses as a trusted partner providing best in class regulatory advice and guidance. • Coverage areas include GFX, Rates and ...

Our client, a Top Tier, Bulge Bracket Global Investment Bank has an excellent opportunity to manage all aspects of Compliance coverage for their Global FX and Rates Sales, Trading and Structuring businesses. Reporting to US Head of Macro Compliance, the successful candidate will be responsible for: • The management of the team that provides day to day support to the US Macro Sales, Trading and S...

Our client, a global pharmaceutical company, whose mission is to discover, develop and deliver innovative medicines to patients with serious diseases seeks a Director of Compliance and Ethics – Investigations. The position reports to the Head of Investigations and will have primary responsibility for supporting worldwide investigations, including close partnership with Intercon (China, Russia, In...

A global pharmaceutical company, whose mission is to discover, develop and deliver innovative medicines to patients with serious diseases seeks an Associate Director of Compliance Ethics who will be responsible for providing risk assessment, policy, training, counseling and operational support to assigned business partner groups; this includes both special-project and day-to-day operational suppor...

A global investment bank seeks a Vice President, Equity Sales & Trading Compliance Professional who would d be responsible for supporting the Firm’s Equity electronic trading businesses. The successful candidates will provide compliance advisory coverage to the Institutional Equities Sales and Trading Desks, primarily focused on electronic trading. S/he will Interface with senior members of the ...

Our client, a top tier global Corporate and Investment Bank, is seeking a VP Level Compliance Officer to join their AML Compliance Department; as the AML Transaction Monitoring Manager. The firms’ AML Compliance Department for the Americas, is responsible for all aspects of AML Compliance for their US Operations. A key component of the program is a Global Transaction Bank Monitoring system that c...

A global investment bank/ broker dealer seeks a Vice President to join their Credit Policy, Governance, and Regulatory Relations Group. This group oversees the development of Credit policies and procedures and manages Credit related regulatory exams and internal audits. Its key functions are to establish Credit policy and governance standards and to spearhead projects related to regulatory and a...

A global asset management firm focused on strategically managing real estate and other investment platforms seeks a Senior Compliance Officer who will be responsible for helping and ensure the Company satisfies the requirements set forth under the Investment Advisers Act of 1940 for the Company’s newly formed Registered Investment Adviser and the Investment Company Act of 1940. Reports directly t...

Description: An International Bank/Broker dealer seeks Head of Anti-Money Laundering / Counter Terrorism Financing and Sanctions Compliance who will be responsible for the oversight of the design, implementation and maintenance of a comprehensive AML, counter-sanctions, and anti-fraud compliance program for the Americas platform. The program will meet the expectations of the Company’s U.S. regul...

A registered broker-dealer who provides brokerage services to institutional investors, seeks an Experienced Compliance Associate who will be responsible for opening accounts, including Anti-Money Laundering (AML), (OFAC and FINCEN), Know Your Client (KYC) reviews, trade reconciliations (daily review of what each affiliate traded), best execution reviews, e-mail review, branch office inspection and...

Under the supervision of a knowledgeable General Counsel and Chief Compliance Officer, you will have the chance to work on a vast array of compliance projects and assignments that will both challenge you and help you grow your experience. A registered Global Investment Bank and Securities Firm who provides brokerage services to institutional investors, seeks an Experienced Compliance Associate wh...

A global investment manager seeks a Senior Compliance Analyst who will be responsible for assisting in all aspects of compliance with the Investment Company Act of 1940 (“1940 Act”) and the Investment Advisers Act of 1940 (“Advisers Act”) as well as specific fund restrictions for all open- and closed-end funds and separately managed institutional accounts. Additionally, the candidate will also as...

A global bank seeks an Assistant Vice President, Trade Surveillance Professional responsible of reviewing trade surveillance exceptions and ensuring significant surveillance issues are identified, fully investigated and promptly escalated in a timely manner. S/he will play a role in enhancing current systems and developing new surveillance tools, reports and procedures Responsibilities Include ...

An investment banking boutique that offers investment banking , capital markets, brokerage, and research seeks a Compliance person with Research Compliance experience to join their Compliance division. The Compliance Associate will be responsible for the following matters: • Take responsibility of the coordination and monitoring of the interaction among the different business units; • Manage th...

A global healthcare provider seeks a Compliance Specialist who will be responsible for managing compliance processes, including the preparation, communication, implementation and monitoring of adherence to, policies and standards to promote compliance with legal and regulatory requirements, and assisting with oversight of such compliance. The individual will research applicable compliance require...

Our client, a top tier Global Corporate and Investment Bank, is seeking to hire a highly motivated candidate to provide compliance oversight for three Capital Markets business lines: Structured Finance, Structuring and Emerging Markets Debt. The firms’ Structured Finance business consists of three distinct business lines: Structured Credit, Commercial Real Estate, and Securitized Product Trading....

Our client is one of the world's leading private investment firms with approximately $80 billion in assets under management. In business for over 30 years, their family of funds includes private equity, public equity, leveraged debt assets, venture capital, and absolute return capital. Headquartered in Boston, the firm has offices throughout the US, and London, Munich, Mumbai, Palo Alto, Hong Kong...

A Global Financial Institution seeks a Head of Advisory and Trading Compliance who would be responsible for managing and setting the direction of the Advisory Compliance Group (“Advisory Compliance”) and reports to and supports the Chief Compliance Officer. The Advisory Compliance is responsible for all aspects of advisory compliance across all the firm’s entities and product lines in the America...