Compliance Search Group Jobs in Minnesota

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A leading global investment firm seeks a VP level Surveillance Manager who will assist with compliance oversight of our proprietary mutual funds and registered investment advisers. Major Responsibilities/Activities • Coding in Eze Castle software for all client investment guidelines. • Knowledge how to detect Eze Castle compliance alerts. • Trading Committee – preparation of materials, broker appr...
An independent wealth management advisory firm seeks a Compliance Officer who will be responsible for management of compliance and operations. The Compliance Officer will be responsible for array of responsibilities which include, but are not limited to: • Perform compliance review of new accounts, trades, and transactions • Coordinate compliance approval of communications/advertising • Report dir...
A Global bank seeks a trading desk advisory Compliance Officer who will be responsible for implementing and managing the overall compliance program for the Securitized Products-Related Businesses. The Candidate will cover array of the firm’s business lines including the following: Credit Solutions Group; Commercial Real Estate; Residential Mortgage-Backed Securities, Asset-Backed Securities and As...
An online investing trading, assessment, and banking firm seeks a Senior Compliance Analyst, with strong bank regulatory background, who will be responsible for risk assessment, metrics reports, responding to regulatory inquiries and examinations. The Successful candidate would join a team of three and report into the Director of Regulatory Affairs. RESPONSIBILITIES ● Assist with preparation and r...
Successful alternative investment firm offering hedge funds, hedge funds-of-funds and other investment products seeks an experienced Compliance professional. The Compliance Officer will report the firm’s Chief Compliance Officer and will be responsible for array of responsibilities which are the following, but not limited to: • Working with internal Legal & Compliance team, business staff and thir...
A mid-sized asset management company with a focus on ETF’s and closed-end funds seeks a Chief Compliance Officer who will be responsible for the firm’s exchange-traded funds complex and their closed-end fund complex. She/he will responsible for a wide array of responsibilities including, but not limited to, the following: § Implementing and overseeing the 38a-1compliance program of the Funds, incl...
The Private Banking Division of a Global bank is seeking a Senior Compliance Officer who will help build and maintain a strong compliance culture/environment. The ideal candidate will also possess a solid understanding of ERISA, SEC, FINRA and CFTC regulations applicable to a hybrid wealth management business servicing high net worth individuals, trusts, foundations, small institutions, etc. His/h...
A Global Hedge fund seeks a Senior Legal Assistant who will assist the General Counsel regarding legal, Regulatory and compliance matters. Primary Responsibilities: • Maintenance of private pools (side letter monitoring, board of director’s minutes and meeting materials, fund offering documents). • Assist and collaborate with the General Counsel and Chief Compliance Officer on all regulatory inter...
A top-tier $10 billion successful Hedge Fund seeks a Compliance Counsel who will be responsible for a vast array of Responsibilities including: • Policies and procedures, interfacing with regulators, assisting in the management of the compliance team, advise portfolio managers, traders and legal compliance as well as other important matters. Qualifications include: • The candidate should have 7 pl...
A global bank seeks an Anti-Money Laundering Compliance Officer who will conduct enhanced due diligence, review and approve high risk KYC cases for the Private Bank and the Private Client Services business lines. Responsibilities Include: • Detect and investigate issues that present possible money laundering and/or terrorist finance risk during the KYC on-boarding and event driven review processes...
An International Bank seeks a Compliance Analyst who will perform a variety of AML & OFAC compliance related tasks. The Candidate will on reviewing/vetting/maintaining a critical data base of third party customers and AML/OFAC daily, weekly, monthly tasks. This position will report to the Chief Compliance Officer. Key Essentials Strategic • Know Your Customer for fund and other third party custome...
An International Bank seeks an Anti-Money Laundering/OFAC Compliance Professional who will focus on implementing key features of the Group’s Anti-Money Laundering and OFAC policies and procedures such as the monitoring of activity for possible suspicious activity and or potential OFAC violations. This position will report to the Chief Compliance Officer/ Senior AML/OFAC Manager Responsibilities: •...
A Global bank seeks a Senior Compliance Officer who will be responsible for Trade Surveillance, with daily and monthly reviews on matters relating to institutional equity, derivatives and fixed income trading. Responsibilities: • Provide proactive and direct compliance support to the Fixed Income & Currencies (“FIC”) business, including support of the Firm’s registered Swaps Dealer • Compliance tr...
A Global bank seeks a Fixed Income Advisory Compliance Professional. The Compliance Professional will be responsible for fixed income and sales trading activities, responsibilities also include: • Providing a proactive and direct compliance support to the Fixed Income & Currencies (“FIC”) business, including support of the Firm’s registered Swaps Dealer • Compliance advisory support to the FIC Sal...
A global bank seeks a Compliance Counsel, Director Level, who will provide legal advice and manage all aspects of Anti-Money Laundering and OFAC matters. He/she will also manage the Anti-Money Laundering/OFAC Team. This Position will manage under the direction of the Chief Compliance Officer. Essential Functions: Strategic: • Update and enhance (as needed) policies/procedures, design and execute E...
Banking division of major investment bank seeks a Policies and Procedures Specialistwho will be responsible for all Bank related Compliance policies, procedures and regulatory change management for the retail banking and institutional lending businesses. Key Responsibilities: Work with subject matter experts to create, review, approve, distribute, revise, activate and deactivate Bank Compliance po...
Sophisticated and successful investment firm based in California, with international offices, seeks a compliance professional with 7-10 years of diversified Asset Management Compliance experience. The firm is a well-regarded money manager offering mutual funds, separate accounts and other investment management products and services. She/he will manage the compliance program, which is already in pl...
A global bank seeks an experienced Compliance Professional to manage their Anti-Money Laundering, Sanctions and OFAC Team. She/he will be responsible for an Array of AML, OFAC and Management responsibilities including the following: Developing AML / CTF and Sanctions policies and training local staff on AML / CTF and Sanctions matters. Advising on-boarding teams on customer due diligence (CDD) req...
A Global bank seeks a Fixed Income Advisory Compliance Professional. The Compliance Professional will be responsible for fixed income and sales trading activities, responsibilities also include: · Providing a proactive and direct compliance support to the Fixed Income & Currencies (“FIC”) business, including support of the Firm’s registered Swaps Dealer · Compliance advisory support to the FIC Sal...
A Global bank seeks a Senior Compliance Officer who will be responsible for Trade Surveillance, with daily and monthly reviews on matters relating to institutional equity, derivatives and fixed income trading. Responsibilities: Provide proactive and direct compliance support to the Fixed Income & Currencies (“FIC”) business, including support of the Firm’s registered Swaps Dealer Compliance trade...
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