Compliance Search Group Jobs in Bronx

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40 Compliance Search Group jobs in Bronx, New York found on Monster.

Jobs 1 to 20 of 40
A global bank seeks an Operations, Governance, & Investing AVP, who will be responsible for financial reporting, governance, evaluation processes for non-profit partners, management of non-profit programs, and preparation for Investment Committee meetings. The Candidate will oversee governance for regional team including risk and controls for the regional budget and employee engagement budget sup...
A top mortgage lender seeks a Compliance Associate who will be responsible for providing servicing compliance support to Mortgage Servicing Oversight team. The Compliance associate will be responsible for compliance reviews of loan servicing-related documents specific to MSR purchases and sales, mortgage servicing transfers, delinquent, non-performing, and re-performing loans, and sub-servicer co...
A global advisory firm seeks an Associate/Senior Associate in Financial Risk Management (FRM)-Regulatory Risk who will be responsible for providing regulatory compliance services to financial institutions in the capital markets area. Responsibilities: • Assist our capital markets clients to identify and understand the sales and trading regulatory risks related to the business • Focus on assisti...
The global wholesale banking seeks a Business Management and Advisory Professional who will be responsible for primarily focusing on Investment Banking and Infrastructure Finance. In this capacity, the Business Manager assists the Bank in achieving their mandate to be the premier client-focused wholesale bank globally. The Business Management group serves as the primary liaison between the Front ...
A well-regarded financial services firm seeks a Control Room and Compliance Research Professional who will be responsible for providing compliance coverage of the Control Room. This includes interpreting and assisting the business in enforcing applicable rules and regulations, managing the firm’s watch and restricted lists, with an emphasis on rules and regulations relating to information barrier...
A global wholesale bank seeks a Business Process and Controls Professional who will be responsible for the management of the Bank’s regional business process and controls which include responsibilities for Business Continuity, Operational Risk Profiles, Client on Boarding, Anti Money Laundering, Record Retention, Internal Control Reporting, Governance and Controls testing. This individual will co...
A global financial services firm seeks a Control Room Senior Associate/Manager who will be responsible for participating in all aspects of the day-to-day operation of the Control Room, which includes the following: • Ensuring the integrity of the firm's Chinese Walls and Information Barriers. • Assisting in the oversight and maintenance of the Firm's Watch and Restricted lists for the region, in...
A top mortgage lender seeks a Compliance Associate will be responsible for performing legal and compliance review of advertising and training materials delivered to the legal and compliance department from the marketing department. The types of marketing materials include but are not limited to be the following: direct mail, website content, correspondent, and commercial and investment loan adver...
A global asset management firm seeks a Compliance & Risk Associate who will be part of the Compliance division who will provide direct support to the Chief Compliance Officer and Risk Management globally. This individual will report directly to the Chief Compliance Officer as well as the Risk Analyst. This person will have the opportunity to learn and grow within a multicultural environment. Com...
A Financial services firm seeks a Head of Operational Risk who will be responsible for operational risk analysis across all business and process activities. As Head of Operational Risk (Director Level) the role will be responsible for: Operational Risk (OR) FRAMEWORK EXECUTION Governance: • Lead and set strategy of the Americas Operational Risk department • Ensure Corporate Investment Bank (C...
A global investment bank seeks a Mutual Fund Attorney who will be responsible for providing legal advice and services to the firm’s management division. This firm advises over 10 open and closed end funds with approximately 9 billion in assets that primarily invest in non-traditional asset classes and has recently launched two business development companies that focus on technology venture capita...
A Major global bank seeks a Senior Audit Manager (“SAM”) will support the Anti-Money Laundering (AML) Auditor (“AMLA”) to provide a level of assurance regarding the adequacy and effectiveness of the Bank’s Bank Secrecy Act (BSA)/AML and Sanctions Programs, including Compliance work conducted by the bank outside the United States impacting the BSA/AML and Sanctions Program. The incumbent will be r...
A Major global bank seeks an Audit Manager who will be responsible for assisting the Regional Anti-Money Laundering Auditor (AMLA) in providing a level of local audit coverage that meets US regulatory requirements in all material respects. The incumbent will perform or lead where directed, internal audit engagements, related to the bank’s New York Branch Bank Secrecy Act (BSA)/AML & OFAC Complian...
A Prominent Broker Dealer is seeking an Anti-Money Laundering Transaction Monitoring Analyst who will be responsible for performing surveillance on retail and institutional clients maintained at the firm. This surveillance can be accomplished by reviewing Mantas alerts, exception reports, conducting detailed research on the involved parties, and analyzing activity for those parties for possible m...
A global bank is seeking an Attorney who will support the firm’s Alternatives and Real Assets Group (ARA) of the U.S. Asset & Wealth Management (AWM) division. The Successful candidate for this position should have at least 5 years of legal experience, at a law firm and/or as an in-house lawyer at a financial institution. S/he should have a working knowledge of alternatives products, and the reg...
Locations: New York NY, Los Angeles CA, or Dallas Texas, Century City or San Francisco, CA Our client, a leading global bank, is seeking a qualified Anti Money Laundering (AML) Monitoring Senior Compliance Officer with 7+ years of experience in financial services with a good understanding of AML relevant business domains. The successful candidate will be responsible for launching and managing a ...
Our client, a leading global bank, is seeking a qualified Management Control Assessment Manager with at least 7 years of experience in Banking, Financial or Securities Services as well as direct experience in Operational Risk Management and/or Control, Audit, Risk Management background. The successful candidate will be responsible for working with business partners to identify solutions to contro...
An investment bank/broker-dealer seeks a Compliance Associate who work closely with Human Resources to ensure disclosure by new hires of their brokerage accounts and outside business activities. The candidate will review employee trade confirms against the Firm’s Watch and Restricted Lists. Responsibilities include but are not limited to: • Work with the Control Room Manager regarding obtaining ...
A leading global digital risk management and investigations firm seeks a Director who will be responsible for providing direct client facing support for work involving the investigative services provided by the Intelligence & Due Diligence division. Responsibilities: • Conduct detailed investigative research and analysis focused on emerging markets to help the firm’s clients identify and underst...
A financial services firm seeks a Financial Crimes Compliance Officer- Associate Director who will be responsible for overseeing the management of the firm’s Americas Anti-Money Laundering/Counter Terrorist Financing ("AML/CTF") & Anti-Bribery Compliance ("ABC") Program across institutional business groups. Responsibilities: • Create increased visibility of AML/CTF and Sanctions risks within the...

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