Compliance Search Group Jobs in Berwyn

Unfortunately, there are currently no Compliance Search Group jobs available in Berwyn:

A global fund manager seeks a compliance officer with 4 plus years of experience related to the hedge funds, mutual funds or within the financial industry. He/ she will be responsible for an array of compliance related issues which include, but not limited too • Filing relevant SEC forms • Reviewing pitch books and other relevant materials • Ongoing monitoring of internal compliance sign offs and...
Our client, a leading U.S. broker-dealer, seeks a Finance Compliance Officer. Primary responsibilities include: - Provide compliance coverage of customer protection-related processes for The firm’s U.S. institutional and retail broker-dealers, including regulatory reporting (e.g. FOCUS), net capital requirements under Securities Exchange Act (SEA) Rule 15c3-1, and customer reserve formula under SE...
Our client, a leading global investment bank/broker-dealer, seeks a Regulatory Exams Compliance Officer. The Regulatory Exams Group is responsible for managing examinations of the firm’s broker-dealer entities conducted by the Firm's securities and commodities regulators, their Self-Regulatory Organizations (SROs), the exchanges and the states. Responsibilities include: - Manage and coordinate all...
Global Bank seeks a Compliance Officer who will report directly to the Head of the Special Investigations Unit Americas. The Unit reports into the Global Head of Financial Crimes Investigations and Surveillance for Corporate and Investment Banking. Main Duties • Conduct complex financial crime (“FinCrime”) investigations into suspicious or unusual transactions as they relate to Corporate Banking,...
Our client, a major bank seeks a Global Compliance Assurance professional who will be responsible for executing assurance reviews on product, geographic and functional lines as directed by Global Leads and/or Regional Heads. He/She will be a member of a resource pool, providing Assurance across all Compliance business lines as required. By executing assurance work, the Assurance role holder will c...
Our client is a New York based financial technology company dealing with swaps and other financial derivatives. They are seeking a Market Surveillance Manager to conduct real-time and post-trade market surveillance for disruptive trading practices and rule violations on both the DCM and SEF. Furthermore, the Market Surveillance Manager will be the first responder to review inquiries from traders r...
Our client, a global bank/broker-dealer seeks a Head of Regulatory Reform Strategy. The candidate must have a solid understanding of Dodd-Frank and they will be involved in strategies related to global swaps business. The firm is looking for someone who will have product knowledge, strong project management skills and they will be involved with reporting to regulators such as CFTC and NFA. JD a pl...
A leading global investment firm seeks a VP level Surveillance Manager who will assist with compliance oversight of our proprietary mutual funds and registered investment advisers. Major Responsibilities/Activities • Coding in Eze Castle software for all client investment guidelines. • Knowledge how to detect Eze Castle compliance alerts. • Trading Committee – preparation of materials, broker appr...
An independent wealth management advisory firm seeks a Compliance Officer who will be responsible for management of compliance and operations. The Compliance Officer will be responsible for array of responsibilities which include, but are not limited to: • Perform compliance review of new accounts, trades, and transactions • Coordinate compliance approval of communications/advertising • Report dir...
A Global bank seeks a trading desk advisory Compliance Officer who will be responsible for implementing and managing the overall compliance program for the Securitized Products-Related Businesses. The Candidate will cover array of the firm’s business lines including the following: Credit Solutions Group; Commercial Real Estate; Residential Mortgage-Backed Securities, Asset-Backed Securities and As...
An online investing trading, assessment, and banking firm seeks a Senior Compliance Analyst, with strong bank regulatory background, who will be responsible for risk assessment, metrics reports, responding to regulatory inquiries and examinations. The Successful candidate would join a team of three and report into the Director of Regulatory Affairs. RESPONSIBILITIES ● Assist with preparation and r...
Successful alternative investment firm offering hedge funds, hedge funds-of-funds and other investment products seeks an experienced Compliance professional. The Compliance Officer will report the firm’s Chief Compliance Officer and will be responsible for array of responsibilities which are the following, but not limited to: • Working with internal Legal & Compliance team, business staff and thir...
A mid-sized asset management company with a focus on ETF’s and closed-end funds seeks a Chief Compliance Officer who will be responsible for the firm’s exchange-traded funds complex and their closed-end fund complex. She/he will responsible for a wide array of responsibilities including, but not limited to, the following: § Implementing and overseeing the 38a-1compliance program of the Funds, incl...
The Private Banking Division of a Global bank is seeking a Senior Compliance Officer who will help build and maintain a strong compliance culture/environment. The ideal candidate will also possess a solid understanding of ERISA, SEC, FINRA and CFTC regulations applicable to a hybrid wealth management business servicing high net worth individuals, trusts, foundations, small institutions, etc. His/h...
A Global Hedge fund seeks a Senior Legal Assistant who will assist the General Counsel regarding legal, Regulatory and compliance matters. Primary Responsibilities: • Maintenance of private pools (side letter monitoring, board of director’s minutes and meeting materials, fund offering documents). • Assist and collaborate with the General Counsel and Chief Compliance Officer on all regulatory inter...
A top-tier $10 billion successful Hedge Fund seeks a Compliance Counsel who will be responsible for a vast array of Responsibilities including: • Policies and procedures, interfacing with regulators, assisting in the management of the compliance team, advise portfolio managers, traders and legal compliance as well as other important matters. Qualifications include: • The candidate should have 7 pl...
A global bank seeks an Anti-Money Laundering Compliance Officer who will conduct enhanced due diligence, review and approve high risk KYC cases for the Private Bank and the Private Client Services business lines. Responsibilities Include: • Detect and investigate issues that present possible money laundering and/or terrorist finance risk during the KYC on-boarding and event driven review processes...
An International Bank seeks a Compliance Analyst who will perform a variety of AML & OFAC compliance related tasks. The Candidate will on reviewing/vetting/maintaining a critical data base of third party customers and AML/OFAC daily, weekly, monthly tasks. This position will report to the Chief Compliance Officer. Key Essentials Strategic • Know Your Customer for fund and other third party custome...
An International Bank seeks an Anti-Money Laundering/OFAC Compliance Professional who will focus on implementing key features of the Group’s Anti-Money Laundering and OFAC policies and procedures such as the monitoring of activity for possible suspicious activity and or potential OFAC violations. This position will report to the Chief Compliance Officer/ Senior AML/OFAC Manager Responsibilities: •...
A Global bank seeks a Senior Compliance Officer who will be responsible for Trade Surveillance, with daily and monthly reviews on matters relating to institutional equity, derivatives and fixed income trading. Responsibilities: • Provide proactive and direct compliance support to the Fixed Income & Currencies (“FIC”) business, including support of the Firm’s registered Swaps Dealer • Compliance tr...
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