Compliance Search Group Jobs in California

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6 Compliance Search Group jobs in California found on Monster.

Jobs 1 to 6 of 6
A global alternative asset manager seeks a Manager of Corporate Compliance who is responsible for the administration, monitoring, and testing of the firm’s global Code of Ethics program. Responsibilities: • Administer, along with other Corporate Compliance team members, the firm’s Global Code of Ethics Program including policies governing employees’ personal trading, gifts and entertainment, out...
A privately-owned investment advisory firm that focuses on high-net-worth families and their foundations seeks a highly motivated compliance professional for the role of Compliance Officer. The Compliance Officer will be responsible for helping to design and implement the compliance program associated with a limited purpose broker/dealer that distributes alternative assets. The Successful candid...
Our client, a top lending firm, seeks a Branch Risk Officer who will be responsible for a wide variety of supervisory, compliance, and risk functions. In conjunction with risk, legal and compliance, the Branch Risk Officer has accountability for maintaining a consistent controlled environment through adherence of business ethics and practices and adherence to all applicable Federal, State and Loc...
An Investment Management firm seeks an experienced Compliance Professional for their asset management division. The Compliance Officer will work with other members of the Compliance team in Santa Monica, New York, and business units around the firm to provide oversight and advice on compliance matters affecting the institutional advisory business. RESPONSIBILITIES INCLUDE: • Assist with advisor...
Our client, a leading global alternative asset manager. The firm is currently in need of a Compliance Portfolio Associate for their Los Angeles office. They would like someone with some rule building/compliance system experience in addition to the following responsibilities:  Perform pre‐ and post‐trade compliance across a set of portfolios in accordance with investment guidelines.  Monitor p...
A privately-owned investment advisory firm that focuses on high-net-worth families and their foundations seeks a highly motivated compliance professional for the role of Compliance Officer. The Compliance Officer will be responsible for helping to design and implement the compliance program associated with a limited purpose broker/dealer that distributes alternative assets. The Successful candid...

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