Compliance Search Group Jobs in Minnesota

Currently, there are no Compliance Search Group jobs available in Minnesota. You may wish to explore other locations on the Compliance Search Group jobs page or view related jobs below.
Here are some related jobs:
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...
Our client, a private equity real estate investment firm, is seeking a qualified Compliance Generalist with at least 5 years of experience in asset management, investment management, private equity, REIT or hedge funds. They will be responsible for working on their code of ethics, testing, employee and personal trading as well as other general compliance related matters. The individual will repor...
A Top-tier global firm seeks a Market Compliance Officer is responsible for the implementation of the Compliance Program in Markets and Banking in the LATAM Region. The incumbent is fully knowledgeable of the Compliance Program, and has a thorough understanding of the firm’s Business Lines as well as a broad understanding of the requirements within Markets and Banking. S/he ensures that business...
A global bank seeks a Senior Audit Manager who will be responsible for directing the timely delivery of complex high quality, value added assurance and audit reports for a portfolio of business activities, which meet the requirements of the Boards of the firm, their affiliates and the firm’s respective regulators, in North America. S/He will provide objective risk based independent assurances wit...
A global financial services firm seeks a Senior Compliance Associate who will be responsible for conducting Know Your Client(KYC) /Anti Money Laundering (AML) due diligence reviews on prospective new clients that primarily consist of Registered Investment Advisors, Family Offices, Broker Dealers, Money Managers and Funds. The Candidate should possess a clear understanding of applicable Know Your ...
A major financial services firm seeks Senior Corporate Paralegal who will report into the VP Deputy Corporate Counsel. Responsibilities include but not limited to: • Assist in preparation of annual proxy statement and organization of annual shareholder’s meeting • Prepare and file all SEC Form 3s, 4s and 5s for the Company’s Directors and Section 16 Officers • Assist with preparation and distr...
A Global bank seeks a Vice President level Advisory Compliance Generalist who will supporting global Compliance initiatives locally by being the touch point for Compliance Policies, Training, and Compliance Risk Assessment. Responsibilities: • Management Information Reporting and Annual Compliance Plan. • Ability to manage existing policies and author updates as needed • Manage Compliance init...
A Financial services firm seeks a Financial Investigations Unit- Manager who will be responsible for managing and overseeing all aspects of the firm’s transaction monitoring program and investigation and reporting of cases escalated to Financial Investigations Unit (FIU), coordination of Suspicious Activity Report (SAR) filings, and ensuring the firm’s adherence to legal, regulatory and compliance...
A Global bank seeks a Compliance Officer-AVP who will be Responsible for the delivery of equities trade surveillance projects on behalf of the Global Trade Surveillance Team ensuring that project deadlines and deliverables are met taking into account both business and regulatory requirements. Responsibilities: • Act as both business analyst and project manager and work closely with colleagues in...
A Global bank seeks a Regulatory Relations-VP who will be part of a Regulatory Relations VP team. The Regulatory Relations team’s aim is to ‘foster trust between our regulators and our colleagues to enable us to work together to achieve our common goals of a safe, sound, profitable and well controlled bank, focused on good customer outcomes. The team does so by facilitating the highest level of ...
Located: St. Louis, Mo , New York, New Jersey A national retail institutional brokerage firm is seeking a Senior Compliance Examiner to ensure branch compliance with Firm policies, procedures and industry rules. Conducts 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. Recomme...
An Alternative Investments firm seeks a Compliance Analyst/Paralegal who will assist with all aspects of a compliance program centered on regulatory requirements instituted by the Securities and Exchange Commission, the Financial Industry Regulatory Authority, and the Commodities Futures Trading Commission. The Successful candidate will assist with the Compliance Department’s monitoring and testi...
A Boutique investment bank and broker/dealer Compliance Professional who will be responsible for monitoring and surveillance of sales and trading activities (reviews consist of best execution, short sale, trade reporting, TRF reporting, 605/606, REG NMS). Responsibilities: • Respond to real-time inquiries from traders, sales persons, technology personnel and trading management. • Work closely w...
Our client, a top-tier financial services firm, seeks a candidate who will work on life products with product development, legal, tax and other functional areas in order to draft forms and respond to insurance department comment letters. The candidate will be responsible for all aspects of a product development project. This includes drafting policy and related forms, researching state insurance ...
The start-up division of a successful Executive Search Firm seeks assistance due to growth. We focus on the hottest part of the financial and corporate world; Compliance. Our daily newsletter is sent to over 120,000 professionals, and accompanying job board and news blogs are a must-read and destination point for our target market. We need an experienced salesperson to help sell job listings an...
Our client is currently in need of a Chief Compliance Officer. The firm primarily deals with high-net worth clients as well as funds and convertible bonds. The firm has a friendly, professional and fast-moving environment. They would like for the person to have 7-10 years experience with an Registered Investment Advisory and must have a JD for the role. The successful candidate will have excellen...
A financial services firm seeks a Deputy Chief Compliance Officer who will be responsible for compliance and regulatory affairs for the registered Swap Dealer. This position will directly report to the Chief Compliance Officer. Primary Accountabilities/Responsibilities: • Identifies and interprets CFTC, NFA, state, federal, foreign jurisdiction, and self-regulatory organization rules and regula...
A global investment bank seeks an electronic compliance professional who will be responsible for working with the technology, business, and compliance divisions to build and enhance surveillance systems. The candidate will develop a plan for and test surveillance reports utilized by securities compliance on an on-going periodic basis to ensure they are functioning as expected. He/she will work w...
A global bank seeks a Compliance Professional who is responsible for supporting the Regulatory Change oversight function and the Director of Regulatory Change regionally, with regular interaction with the global arms of the function. Responsibilities: • Leading the monitoring, coordination and response for legislative and regulatory developments, including working with the business to analyze an...
A top global bank seeks an Equities Compliance Advisory Professional who will become a team member of compliance professionals that provide advice and compliance support to the Institutional Equities Sales and Trading Floor, mainly in the equity cash space. Responsibilities: • Provide senior compliance advisory coverage to Institutional Equities Sales & Trading desks, with a focus on the followi...

Didn't find the right job at Compliance Search Group in Minnesota?
We'll keep looking and send you new jobs that match this search.
email me

Upload your resume and let employers find you!
It's that simple!

Popular Articles

Seven Sports Jobs and What They Pay Article Rating
Why just work when you can earn a paycheck to play all day? Check out these sports-related jobs and find out what they pay.
Five Holiday Jobs for Extra Income Article Rating
Want to top up your holiday budget? Get a job that pays more than the minimum and has higher demand around the holidays. Here are five to check out.
For Employers: Post Jobs | Search Resumes | Advertise
About Monster | Work for Monster | Advertise with Us | AdChoices | Partner with Us | Investor Relations | Social Media
Terms of Use | Privacy Center | Accessibility Center | Help | Security | Contact Us | Sitemap | Mobile
©2014 Monster - All Rights Reserved U.S. Patents No. 5,832,497; 7,599,930 B1; 7,827,125 and 7,836,060 MWW - Looking for Monster Cable? - V: 2014.4.70.65-215
eTrustLogo