Compliance Search Group Jobs in Bayonne

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58 Compliance Search Group jobs in Bayonne, New Jersey found on Monster.

Jobs 1 to 20 of 58
Our client, a well-respected boutique law firm serving a loyal and expanding client base of entrepreneurial and growing companies, including a significant number of independent investment advisers and others in the financial services industry, seeks a Senior Corporate Counsel. Along with their affiliated regulatory compliance consulting firm, they are uniquely positioned to deliver trusted counse...
Our client is a leading regulatory compliance consulting firm and their affiliated boutique securities law firm are seeking a Investment Adviser Litigation Counsel for their growing business. Along with their affiliated regulatory compliance consulting firm, they are uniquely positioned to deliver trusted counsel and innovative solutions to the complex business challenges faced by independent inv...
Our client is a leading regulatory compliance consulting firm and their affiliated boutique securities law firm are seeking to onboard an Investment Adviser Regulatory Counsel. Successful candidates will demonstrate the behaviors and skills that we particularly value in their colleagues such as exercising sound judgment, driving continuous improvement, making a substantial impact, bringing intens...
Full-service, integrated financial services firm providing investment guidance for high net worth individuals and middle-market institutions looking for Executive Assistant to provide comprehensive support to two senior executives. Successful candidates should have a minimum of 3 years’ experience supporting executive level management in the securities industry and must possess a strong ability to...
A financial services firm seeks a Vice President- Capital Markets professional who will be responsible for maintaining relationships with the firm’s Chief Market Risk Officer, Chief Investment Risk Officer, Chief Investment Officer and members of the asset management, financial reporting and treasury functions and influence the market risk management processes and controls across the firm’s U.S. b...
An asset management firm seeks a Compliance and Risk Analyst who will be responsible for conducting reviews of portfolios for compliance with client and regulatory restrictions using Charles River. This Position requires knowledge of system coding and investment instruments and work closely with, US Compliance and US Risk, Traders and Portfolio Managers. Responsibilities • Code client guideline...
Our client, a top tier global financial services firm, is seeking an individual to manage and direct their Investigations Unit in the U.S. Investigations Case management (30%) • This Department is responsible for all investigations referred by the firm’s business entities, principally in the Americas, but with Global reach where necessary. • Utilize the dedicated Case Management System for the ...
Our client, a Top Tier Global Investment Bank, is seeking an AVP Level Compliance Analyst for its E-Communications Compliance Division Responsibilities • Day to day responsibilities of reviewing and analyzing electronic communications generated by firm employees across the global enterprise to detect potentially suspicious activity, such as, but not limited to, market abuse, deceptive sale pract...
Our client, an IT consulting firm that works with major financial services firms, seeks a Compliance Analyst who will work on the implementation of application and security policies. This role is responsible for the planning and development of an information business risk strategy, including cyber security, information security, legislature requirements and business continuity. A number of the r...
A leading global financial services firm seeks a Senior Compliance Professional who will be responsible for assisting in running and enhancing an appropriate compliance program for the investment management businesses, to support the businesses in complying with applicable securities laws and regulations, and to assist the broader mission of the Department to foster adherence to the Firm’s Policie...
A leading Investment Management firm seeks an Executive Director who will be responsible for providing compliance guidance to equity investment professionals and traders with respect to client guidelines and regulatory requirements imposed by US and foreign financial authorities. S/he will lead a staff of skilled compliance professionals responsible for conducting portfolio surveillance and monit...
This position reports directly into the Vice President of Investment Management Compliance. This individual should have between 3 and 5 years experience working for a mutual fund/Investment Adviser and be highly conversant with relevant rules and regulations under the 1940 Act. Responsibilities: • Preparation of board materials; • Review of compliance policies and procedures, quarterly certific...
A top tier Boutique Investment Bank / Broker Dealer seeks a Compliance Associate who will be responsible for primarily performing Anti- Money Laundering (AML) risk rating of customer accounts and generally assist the AML Compliance team. The Compliance Associate will handle AML related documents, evidence, and logs. Therefore the candidate must be discreet, well organized and detail oriented. Th...
My client, a global investment bank, is looking for a Chief Counsel - Mutual Funds to be based in New York. The bank currently has 10 funds with $9B AUM and will be launching additional 40 Act funds in 2015. Responsibilities include: private fund formation and structuring, negotiating IMAs for separate accounts, negotiating standard documentation (ISDAs, repos, sec lending agreements, prime broker...
Our client, a leading global financial services firm, seeks a Fixed Income Compliance Officer. This position will focus on Foreign Exchange and Emerging Markets, including corporate and government bonds and certain credit derivatives. This role will also provide ancillary coverage support for U.S. Government and Agency trading desks. Primary Responsibilities • Provide Compliance support for F...
A Preeminent, Boutique, Top Tier Global financial services firm seeks an Investment Banking (“IB”) and Research Compliance Officer who will be responsible for providing coverage to the Investment Banking and Equity Research businesses of the firm’s SEC and FINRA registered broker dealers. The responsibility of the IB and Research Compliance Officer is to provide primary compliance coverage, inclu...
A top tier Boutique Investment Bank / Broker Dealer seeks a Compliance Associate who will be responsible for primarily performing Anti- Money Laundering (AML) risk rating of customer accounts and generally assist the AML Compliance team. The Compliance Associate will handle AML related documents, evidence, and logs. Therefore the candidate must be discreet, well organized and detail oriented. Th...
A Global bank seeks a Financial Crimes Professional who will report directly to the Head of the Special Inquiries Unit Americas. The Unit reports into the Global Head of Financial Crimes Inquiries and Surveillance for Corporate and Investment Banking. Responsibilities: • Conduct financial crime (FinCrime”) investigations into suspicious or unusual transactions as they relate to Corporate Bankin...
A Global bank seeks an Advisory Compliance Generalist who will be responsible for supporting global Compliance initiatives locally by being the touch point for Compliance Policies, Training, Compliance Risk Assessment, Management Information Reporting and Annual Compliance Plan. Responsibilities: • Ability to manage existing policies and author updates as needed • Manage Compliance initiatives ...
A Global bank seeks a Compliance Advisory Director who will be responsible for providing primary compliance coverage for the firm’s Mergers and Acquisitions (M&A) and Fixed Income Group (FIG)divisions in Investment Bank Division (IBD) and work in close coordination with other Private Side Compliance officers to provide product advisory compliance coverage for the firm’s Corporate Finance division....

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