Compliance Search Group Jobs in Florida

Currently, there are no Compliance Search Group jobs available in Florida. You may wish to explore other locations on the Compliance Search Group jobs page or view related jobs below.
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Our client, a top financial services provider, seeks a Senior Risk Management Analyst to join their team. The Senior Risk Management Analyst will prepare strategies to achieve departmental objectives and lead staff in the execution of these strategies. The Senior Risk Management Analyst is expected to expand departmental responsibilities as reasonable given changes in the business, regulatory or...
Position will build upon our client’s existing trade compliance program, which is regulated by a number of regulatory bodies such as the US Commodity Futures Trading Commission (CFTC) and the Federal Energy Regulatory Commission (FERC) who require a proactive compliance program. Emphasis will be on the surveillance of trading practices and the establishment of policies and procedures. In this ro...
Full-service, integrated financial services firm providing investment guidance for high net worth individuals and middle-market institutions looking for Executive Assistant to provide comprehensive support to two senior executives. Successful candidates should have a minimum of 3 years’ experience supporting executive level management in the securities industry and must possess a strong ability to...
Our client, a well-respected boutique law firm serving a loyal and expanding client base of entrepreneurial and growing companies, including a significant number of independent investment advisers and others in the financial services industry, seeks a Senior Corporate Counsel. Along with their affiliated regulatory compliance consulting firm, they are uniquely positioned to deliver trusted counse...
Our client is a leading regulatory compliance consulting firm and their affiliated boutique securities law firm are seeking a Investment Adviser Litigation Counsel for their growing business. Along with their affiliated regulatory compliance consulting firm, they are uniquely positioned to deliver trusted counsel and innovative solutions to the complex business challenges faced by independent inv...
Our client is a leading regulatory compliance consulting firm and their affiliated boutique securities law firm are seeking to onboard an Investment Adviser Regulatory Counsel. Successful candidates will demonstrate the behaviors and skills that we particularly value in their colleagues such as exercising sound judgment, driving continuous improvement, making a substantial impact, bringing intens...
A global investment managers specializing in alternative investments, seeks two Senior Compliance Analysts who will assist in compliance monitoring to ensure accounts are invested in accordance with client guidelines, internal policies and procedures and regulatory law. Responsibilities: • Performing daily trade reviews and analysis. • Liaising with Investment Professionals on trading and portf...
A global financial services firm seeks a Chief Compliance for their annuities division. The candidate will play a key management role within the Annuities business unit as a member of the Annuities Senior Leadership Team as well as assist Compliance management in the firms’ Enterprise-wide initiatives within the LCBE (Law, Compliance, Business Ethics and External Affairs) organization. CCO will ...
A national retail institutional brokerage firm is seeking a Senior Compliance Examiner who will be responsible for ensuring branch compliance with Firm policies, procedures and industry rules. S/he will conduct on-site audits which test for compliance with SEC Books and Records and prepares summary reports indicating the status of any findings and plans for corrective actions. The candidate will ...
A leading global financial services firm seeks an Anti-Money Launder Testing Analyst who will be responsible for working closely with business unit and regional Anti-Money Laundering (AML) teams to plan and execute Compliance testing on AML processes performed by business units and third party vendors. Knowledge of banking regulations is desired. This role reports to the Head of Global AML Testi...
An Investment Advisor seeks a Regulatory Compliance Officer who will be responsible for supporting the Firm’s Compliance program with respect to multiple core compliance areas. The Compliance Officer will also support the Firm’s compliance training program. The Compliance Officer will be a member of the Legal and Compliance Group working under the direction of the Compliance Manager, Chief Compli...
An asset management firm seeks a Compliance and Risk Analyst who will be responsible for conducting reviews of portfolios for compliance with client and regulatory restrictions using Charles River. This Position requires knowledge of system coding and investment instruments and work closely with, US Compliance and US Risk, Traders and Portfolio Managers. Responsibilities • Code client guideline...
Our client, a top tier global financial services firm, is seeking an individual to manage and direct their Investigations Unit in the U.S. Investigations Case management (30%) • This Department is responsible for all investigations referred by the firm’s business entities, principally in the Americas, but with Global reach where necessary. • Utilize the dedicated Case Management System for the ...
Our client, a Top Tier Global Investment Bank, is seeking an AVP Level Compliance Analyst for its E-Communications Compliance Division Responsibilities • Day to day responsibilities of reviewing and analyzing electronic communications generated by firm employees across the global enterprise to detect potentially suspicious activity, such as, but not limited to, market abuse, deceptive sale pract...
Our client, an IT consulting firm that works with major financial services firms, seeks a Compliance Analyst who will work on the implementation of application and security policies. This role is responsible for the planning and development of an information business risk strategy, including cyber security, information security, legislature requirements and business continuity. A number of the r...
A leading global financial services firm seeks a Senior Compliance Professional who will be responsible for assisting in running and enhancing an appropriate compliance program for the investment management businesses, to support the businesses in complying with applicable securities laws and regulations, and to assist the broader mission of the Department to foster adherence to the Firm’s Policie...
A leading Investment Management firm seeks an Executive Director who will be responsible for providing compliance guidance to equity investment professionals and traders with respect to client guidelines and regulatory requirements imposed by US and foreign financial authorities. S/he will lead a staff of skilled compliance professionals responsible for conducting portfolio surveillance and monit...
This position reports directly into the Vice President of Investment Management Compliance. This individual should have between 3 and 5 years experience working for a mutual fund/Investment Adviser and be highly conversant with relevant rules and regulations under the 1940 Act. Responsibilities: • Preparation of board materials; • Review of compliance policies and procedures, quarterly certific...
Our client, a top-tier asset management firm, seeks a Compliance Officer with Anti-Money Laundering experience. This position manages Compliance Department programs and projects as assigned by the Chief Compliance Officer (“CCO”) and Deputy CCO to help the firm and its affiliates maintain compliance with federal, state and foreign financial industry laws and regulations. The position includes pe...
A top tier Boutique Investment Bank / Broker Dealer seeks a Compliance Associate who will be responsible for primarily performing Anti- Money Laundering (AML) risk rating of customer accounts and generally assist the AML Compliance team. The Compliance Associate will handle AML related documents, evidence, and logs. Therefore the candidate must be discreet, well organized and detail oriented. Th...

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