Compliance Search Group Jobs in Miami

Currently, there are no Compliance Search Group jobs available in Miami, Florida. You may wish to explore jobs in nearby locations on the Compliance Search Group jobs in Florida page or view related jobs below.
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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 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 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 financial services firm seeks a Vice President- Capital Markets professional who will be responsible for maintaining relationships with the firm’s Chief Market Risk Officer, Chief Investment Risk Officer, Chief Investment Officer and members of the asset management, financial reporting and treasury functions and influence the market risk management processes and controls across the firm’s U.S. b...
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 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 investment manager seeks a Compliance Analyst who will act as an intermediary between Portfolio Management, Trading and Operations to ensure that orders and executions are compliant with all investment restrictions and the firm’s applicable policies/procedures. Responsibilities • Work with team to electronically (via Bloomberg AIM) monitor compliance with all regulatory requirements and...
Location: Chicago or Kansas City A Financial Services Firm seeks a Director of Regulatory Accounting who will be responsible for implementing new regulatory accounting guidance for a jointly registered broker/dealer. S/he will provide technical accounting information to regulatory reporting group for assessing financial reporting impact on SEC and CFTC reporting requirements. The Candidate will...
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 private equity investment adviser seeks a Vice President, Compliance Officer who will be responsible for managing the Compliance Department programs and projects as assigned by the Chief Compliance Officer (“CCO”) and Deputy CCO to help the firm maintain compliance with federal, state and foreign financial industry laws and regulations. The firm will offer relocation for the right candidate. Th...
A market-leading global information services and publishing firm seeks a Regulatory Developments and Change Management/Sales Support Subject Matter Expert, who will provide expertise in US Securities compliance and operational risk to the US Market Managers, product managers, sales, marketing and consultants in order to promote the firm’s industry leading position and create trusted advisor relati...
State/Location: Dallas, TX/ San Francisco, CA A top-tier, alternative investments firm seeks an experienced compliance professional. The Compliance professional will initially primarily focus on insider trading related matters. S/he will be responsible for ensuring that the firm and its employees uphold the highest standards that the company expects. The candidate should have hedge fund, invest...
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...

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