Compliance Search Group Jobs in Bayonne
10 Compliance Search Group jobs in Bayonne, New Jersey found on Monster.Jobs 1 to 10 of 10
Our client, a highly regarded asset management firm providing superior investment returns is seeking a Legal Analyst. The Legal Analyst will work closely with five attorneys in providing legal and regulatory support to the investment management business. The legal analyst will interact and communicate with a variety of individuals across the organization and with external parties, including client...
Our client is seeking a Compliance Manager to be responsible for the oversight of adviser compliance for a registered investment adviser. The ideal candidate will be responsible for developing and maintaining the Compliance Program for consisting of: o Policies and Procedures adequate to prevent violations of federal securities laws o Procedures adequate to comply with corporate policies o Testing...
Seeking an experienced Compliance Officer to join our client’s Global Transaction Banking and Bank Regulatory Compliance team in providing Compliance advice for the growing GTB businesses: Trust & Securities Services, Trade Finance, Cash Management Corporates and Cash Management Financial Institutions. Responsibilities: • Provide compliance coverage for the GTB businesses, including: Trust & Secur...
Our client, a large inter-dealer broker and institutional futures commission merchant is seeking a Compliance Associate, reporting directly to the Chief Compliance Officer, to be responsible for the following: • Surveilling, auditing and monitoring the Firm’s futures activity (financial futures, index futures, energy) and fixed income security activity (Corporate, Treasury, ABS and MBS, Agencies,...
The Business Service Manager directs and manages various technology-related activities for a Business Unit under the supervision of the Business Unit CIO. The ideal candidate will be responsible for constructing business plans and directing the flow of work of all technology resources assigned to work on business unit related IT projects; Oversight for day-to-day technology operations and portfoli...
One of the largest financial services providers in the world seeks a person to join a team of Surveillance professionals in conducting, creating and implementing surveillance reviews for activity traded on Futures exchanges. The ideal candidate will be responsible for the following: • Develop new surveillance reports and enhance existing processes • Interact with the Futures Compliance and Technol...
The Insurance Regulatory Controls Senior Associate of the Corporate Compliance Department (CCD) will oversee, assist, and monitor the Insurance Group business units, ensuring that they are effectively implementing new market conduct regulation and rules into their business practices. Specific responsibilities of the role include: - Ensuring that all market conduct laws and regulations are implemen...
The role of the VP, Training Development is to develop training courses and communications designed to instill the appropriate level of knowledge around Compliance-related policies and procedures by all staff globally. The VP, Compliance Training Development will partner with compliance, regulatory affairs and legal staff, policy content owners, business managers, learning organizations and others...
Seeking a team-oriented individual with thought leadership, risk assessment and mitigation skills to join the Registrations team of a major investment banking firm. In this role, the candidate will work with internal Business and Compliance personnel in order to implement registrations and licensing requirements, and to proactively strengthen processes in support of registrations and other employe...
Top global New York based investment bank is seeking a VP Compliance to join their Merchant Banking& Real Estate Investing division. The position will report to Chief Compliance Officer for Merchant Banking & RE Investments. The ideal candidate will have four + years of compliance experience, preferably in the context of investment adviser compliance. The primary responsibilities will be to assist...
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