Compliance Search Group Jobs in Charlottesville

Currently, there are no Compliance Search Group jobs available in Charlottesville, Virginia. You may wish to explore jobs in nearby locations on the Compliance Search Group jobs in Virginia page or view related jobs below.
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Description: An International Bank/Broker dealer seeks Head of Anti-Money Laundering / Counter Terrorism Financing and Sanctions Compliance who will be responsible for the oversight of the design, implementation and maintenance of a comprehensive AML, counter-sanctions, and anti-fraud compliance program for the Americas platform. The program will meet the expectations of the Company’s U.S. regul...

Our client, a Top Tier Global Investment Bank is seeking a VP Level Compliance Officer to support their Sales & Trading Fixed Income Rates & Global FX Desk Responsibilities include: • Provide day to day compliance support to the US Macro Sales, Trading and Structuring businesses as a trusted partner providing best in class regulatory advice and guidance. • Coverage areas include GFX, Rates and ...

Our client, a Top Tier, Bulge Bracket Global Investment Bank has an excellent opportunity to manage all aspects of Compliance coverage for their Global FX and Rates Sales, Trading and Structuring businesses. Reporting to US Head of Macro Compliance, the successful candidate will be responsible for: • The management of the team that provides day to day support to the US Macro Sales, Trading and S...

An Investment Management firm with over $8 Billion in Assets under management, is seeking a Compliance professional to join their firm. Their investor base includes pension plans, corporations, insurance companies, university and college endowments, public and private foundations, family offices and individual investors. It is a “generalist” I/A compliance role, with a focus on review of promoti...

An Advisory firm seeks an Anti-Money Laundering (AML) Investigations who will be a responsible of investigations components to include managing investigative analysts, reviewing and approving investigative conclusions, reviewing and finalizing the team's Suspicious Activity Reports (SAR) and coordinating recommendations to either retain or exit relationships. The candidate will serve as relations...

An asset management firm seeks a Senior Compliance Analyst who will be responsible for monitoring investment guideline compliance for institutional separate accounts (ERISA and non-ERISA), commingled trusts, mutual funds and hedge funds. The candidate will be part of a team whose core responsibility is to monitor investment related activity to ensure management of client assets is in accordance w...

Our Client a fast-growing management consulting firm offering a full range of consulting involving regulatory compliance, risk advisory, forensics, financial crimes and other related services. The firm seeks a Compliance Consultant- Director who will be responsible for Interacting with Senior Management of investment advisory clients and regulatory authorities. Responsibilities: • Build and dev...

Our Client a fast-growing management consulting firm offering a full range of consulting involving regulatory compliance, risk advisory, forensics, financial crimes and other related services. The firm seeks a Regulatory Consulting- Managing Director who will be responsible for developing, managing and maintaining client relationships with financial institutions and investment advisors. Responsi...

Our Client a fast-growing management consulting firm offering a full range of consulting involving regulatory compliance, risk advisory, forensics, financial crimes and other related services. The firm seeks a Capital Markets Regulatory, Managing Director who would be responsible for developing, managing and maintaining client relationships with financial institutions and investment advisors Res...

A Financial services firm seeks a Risk and Compliance Specialist who will be responsible for monitoring matches of shareholders to worldwide government watch lists of drug dealers, terrorists, and criminals. In addition, suspicious account activity such as anti-money laundering, market timing, account take over, and fraud are monitored. Responsibilities • Coordinate Quarterly AML Certification ...

An asset management firm seeks a Senior Compliance professional who will be responsible for overseeing and administering the Code of Ethics and Personal Trading Compliance program. S/he will manage a team to ensure requirements, preclearance, Post Trade Monitoring and Employee Certifications are all met. Responsibilities: • Maintain relationship with PTA (Personal Trading Assistant) vendor, ide...

Description: A Financial services firm seeks a Regulatory Assurance Analyst who will be responsible for managing the execution and conduct of regulatory assurance reviews of key areas identified by the risk assessment process, regional Compliance management and other areas within the Business. Responsibilities: • Helping develop and implement regional strategy including governance, planning, po...

A financial services firm seeks a Risk Senior Specialist who is responsible for overseeing the daily operations of the Transfer Agency and Risk Control functions of the firm. S/he will be responsible for the development and implementation of long range planning to improve overall service delivery, maintaining quality and productivity standards for the area and lead operating procedures and polici...

A Financial services firm seeks a Chief Compliance Officer who would be responsible for the Retirement Compliance Program and will be expected to lead and continuously develop a seasoned compliance team of over 20 associates. This will include providing on-going compliance support and advice for the day-to-day retirement plan and investment product business activities as well as active participat...

Our client is a top tier Global Retail, Corporate and Investment Banking firm. They have an established, successful position in Europe, a strong presence in the Americas and solid and fast-growing businesses in Asia-Pacific. The firm is seeking a Regulatory Exams Specialist to oversee the entire regulatory examinations process; from the first point of contact through the end of the examination. T...

A Global financial services firm seeks a Legal Counsel who will be responsible for assisting in drafting and negotiating bilateral loan agreements and related documentation such as promissory notes, guarantees, powers of attorney, collateral pledge agreements, security agreements, subordination agreements and inter-creditor agreements for corporate clients. Responsibilities: • To provide assista...

A Global Financial services firm seeks a Compliance Analyst who will be responsible for assisting in all aspects of compliance with the Investment Company Act of 1940 (“1940 Act”) and the Investment Advisers Act of 1940 (“Advisers Act”) as well as specific fund restrictions for all open- and closed-end funds and separately managed institutional accounts. Additionally, the candidate will also assi...

A Top Tier Global Investment and Corporate Bank, is seeking a VP Level Financial Intelligence Unit Investigator to assess, review and update all Compliance, Legal and Regulatory policies and procedures and they relate to OFAC/Sanctions. The U.S. Financial Security Department's Financial Intelligence Unit (FIU) is responsible for detecting, analyzing and disseminating recent negative news (pertain...

A Global Corporate and Investment Bank, is seeking an AML Compliance Officer to act in an Advisory capacity for their KYC/Client Onboarding coverage. The individual will have a key role to play in continually guiding and coordinating the AML Program, keeping pace with evolving industry practices and local regulations. S/he should have excellent presentation and interpersonal skills are strongly ...

An investment management and research firm is seeking a Compliance Analyst who will be part of the firm’s Global Marketing Review team. The Global Marketing Review team is responsible for compliance functions with regard to review and approval marketing materials for all the firm’s retail businesses. The compliance analyst will be involved in marketing material review, including the review of pr...