Compliance Search Group Jobs in Kiryas Joel

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The Compliance Search Group, LLC is a leading dynamic Executive Search Firm which offers traditional recruiting and staffing services; as well as a niche job board, newsletter and blog. Our firm specializes in the placement of Compliance, Legal, Risk and Regulatory professionals. We are seeking a motivated, experienced Business Development/Marketing and Sales Representative to join our firm. The ...

Our client, a leading global financial services firm providing a wide range of services, seeks a Vice President of Global Financial Crimes in the Anti-Corruption Group. This role will be based in Hong Kong. The firm is looking for someone with strong anti-corruption compliance experience and would be open to someone coming from either a similar firm, law firm, government agency, defense contracto...

Our client, a top-tier financial services firm seeks a KYC Analyst for their institutional KYC department. This role would involve reviewing KYC documents on the foreign (non-domestic, US) side. The person would be reviewing high-risk non-US accounts specifically at LATAM clients. Other responsibilities include: • Conduct timely and detailed KYC Due Diligence Reviews utilizing tools and on-line...

A global investment bank seeks a Compliance Control Room Officer who will be responsible for interpreting and assisting the business in enforcing applicable rules and regulations, managing the Firm’s Watch and Restricted Lists, with emphasis on rules and regulations relating to Information Barriers, and FINRA and SEC rules related to Equity Research. This individual will work with Investment Bank...

Highly regarded Global consulting firm seeks individuals with strong consumer banking regulatory experience to join their Financial Services Risk & Compliance practice. Positions can be based in New York, Chicago or Charlotte. Qualifications: General Knowledge & Skills • Deep knowledge of bank and/or credit-related regulatory requirements, specifically related to consumer compliance regulations...

A wealth management practice seeks a Deputy/Chief Compliance Officer who will be responsible for combining expertise, judgment and discretion to provide a strategic vision and to oversee all aspects of the firm’s compliance function. S/he will provide compliance/risk management leadership to senior management. Primary Responsibilities: • Enhance, design, implement and oversee a risk-based compl...

A financial services firm seeks a Compliance Data Integrity Standards and Control AVP will be responsible for operating in accordance with the relevant change governance standards, mandated project management methods, and the imperatives of operating under a risk-assessed framework. Responsibilities include: • Partner with Global Data Integrity Standards and Control (DISC) team members in the da...

We are one of the largest and oldest Executive Recruiting firms specializing in the placement of Compliance, Legal and Regulatory professionals. We focus on Wall Street, Investment Banks, Hedge Funds and Fortune 100 companies worldwide. Why am I hiring (as an introduction, I am the Managing Director and founder of The Compliance Search Group)? It is for a very good reason, we have more business...

A Financial advisory firm seeks a Senior Associate who will be responsible for examining the asset management/investment management businesses within a large bank which is typically in their Wealth Management. Qualifications and Knowledge: • Regulatory Risk and compliance experience w/asset management • Wealth reviews • Regulation 9 review (banking regulations governed by OCC) • OCC experienc...

A global advisory firm seeks a Senior Associate who will be responsible for advising financial services institutions on enabled solutions in support of securities processing from trade capture to risk and product control through settlement Responsibilities: • Advise financial services institutions on SEC rules and regulations, especially those under the Investment Advisers Act and Investment Com...

An advisory services practice seeks a Director who will be responsible for assisting clients in providing regulatory analysis of the impact of the Volcker rule. Responsibilities: • Advise financial services industry clients in assessing operational risks associated with executing, reporting, and transactional activity in supported securities processing areas from trade capture to risk and produc...

A global advisory firm seeks a Financial and Operations Principal (FINOP) Senior Associate who will be responsible for assisting clients in providing regulatory analysis of the impact of SEC and FINRA rules and regulations Responsibilities: • Assist clients in providing regulatory analysis for Monthly Net Capital 15c3-1 calculation, Customer protection Rule 15c3-3 calculation and FOCUS reporting...

A global advisory firm seeks a Senior Associate who will be responsible for providing compliance services to financial institutions in the capital markets area. Responsibilities: • Provide Assist clients with building and assessing their inventory of regulatory obligations • Assist capital markets clients with supervisory and compliance risk and control assessments • Support clients with inter...

A global advisory firm seeks a Director who will be responsible for providing regulatory compliance advisory services to capital markets institutions. Responsibilities: • Develop and execute go to market strategies related to regulatory reform initiatives including trading and markets regulation • Participate in business development and relationship management efforts, and write and present cle...

An Advisory Services Firm seeks a Senior Associate who will be responsible for clients in providing regulatory analysis of the impact of Volcker rule. Responsibilities: • Assist clients in providing regulatory analysis of the impact of the Volcker rule • Advise financial services industry clients in assessing operational risks associated with executing, reporting, and transactional activity in ...

An International investment bank seeks a Global Banking and Markets (GBAM) Senior Compliance Manager supporting the Fixed Income Commodities and Currency (FICC) Compliance Rates Advisory Coverage. Responsibilities for the GBAM Sr. Compliance Manager will include the following: • Advise the Rates Business on transaction, client, regulatory, and policy issues • Work with LOB and P&P teams on immi...

An International investment bank seeks a Global Banking and Markets (GBAM) Senior Compliance Manager supporting the Fixed Income Commodities and Currency (FICC) Compliance FX Advisory Coverage. Responsibilities for the GBAM Senior Compliance Manager role will include the following: • Advise the FX business on transaction, client, regulatory, and policy issues o Work with LOB and P&P teams on im...

A registered investment adviser firm seeks a Chief Compliance Officer who will be responsible for overseeing all aspects of an investment advisory compliance program. It is anticipated that the position’s duties and responsibilities will expand over time as the adviser grows larger and becomes involved in different investment strategies. Responsibilities • Supervising the annual review of polici...

A leading financial services firm seeks a Vice President Level Compliance Officer who will be responsible for contributing to developing and implementing the strategic direction for the policy governance and maintenance functions. This includes being accountable for the planning and management of Policy Governance projects and objectives, oversight of Policy Governance processes and day-to-day ma...

Our client, a top-tier asset management firm, seeks a Senior Compliance Manager responsible for Code of Ethics, Employee Trading, Outside Business Activities, Gifts and Entertainment, Political Activities, Employee Conduct and Pay to Play. They will be managing a small group of direct reports. Responsibilities include: • Develops and maintains corporate compliance monitoring programs designed t...