Compliance Search Group Jobs in New York

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20 Compliance Search Group jobs in New York found on Monster.

Jobs 1 to 20 of 20
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...
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...
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 a top-tier global asset management and investment advisory firm that is seeking a Surveillance Director supporting their institutional investment management business. The individual will serve as the liaison between the guidelines, portfolio management team and compliance. The Director will also be interacting with the business side of the firm and will need strong interpersonal ski...
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...
Our client is a top-tier global asset management and investment advisory firm that is seeking a Surveillance Director supporting their institutional investment management business. The individual will serve as the liaison between the guidelines, portfolio management team and compliance. The Director will also be interacting with the business side of the firm and will need strong interpersonal ski...
Our client, a top global financial services firm, seeks a Compliance professional with Anti-Money Laundering and US Sanctions regulatory background, ideally in an institutional banking capacity, to provide compliance support for Treasury and Trade Services Trade Solutions. This important product set includes traditional trade services products (letters of credit, documentary collections, bank to ...
A top-tier global bank seeks a Senior Compliance Officer- Control Group who will primary focus on the distressed debt desk, loans trading desk, and loan portfolio management division (which is involved in managing the credit exposure of the firm’s loan portfolio as well as hedging counterparty exposure arising from derivative transactions). The candidate should also be comfortable supporting and ...
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...
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...
A start-up Job Board in a Fast Growing Space, Seeks a Social Media Marketing Associate CompliancJobs.com, www.compliancejobs.com is a niche job board catering to the incredibly fast growing compliance area of Wall Street and corporate America. If you are not familiar with this profession, these are the people responsible for keeping Wall Street, banks, and corporate America white-collar employee...
A top-tier global bank seeks a Compliance Officer who will be responsible for assisting with drafting, revising and advising on policies and procedures for the Americas institutional and retail businesses, including broker-dealer, banking, and asset and wealth management businesses. Responsibilities Include, but are not limited to: • Work with Compliance Advisory, the front office, and other inf...
The Compliance Search Group is a leading dynamic Executive Search firm that specializes in the placement of Compliance, Legal and Regulatory professionals. The Compliance field is hot and we seek smart, motivated people to join our team to help us with the rapid increase in business. You will be involved in all the important facets of recruiting Wall Street professionals. Responsibilities inclu...
A Top-tier private equity firm seeks a candidate to join them as Senior Compliance Counsel. This role will report to the CFO/CCO. The Senior Compliance Counsel will be responsible for the day-to-day administration of the firm’s regulatory compliance program. In addition, the Senior Compliance Counsel will be expected to take on other legal and operational responsibilities as needed. Responsibil...
A leading global asset management firm seeks a Chief Compliance Officer (CCO) to lead its US compliance efforts as part of the Global Compliance team. As one of the key professionals ensuring successful growth of the firm’s US business, it will be the individual’s responsibility to work with local management both on the investment and business sales side. This will include overseeing the firm’s ...
A top-tier global bank seeks a Volcker Metrics Monitor Professional (VMM) who will be responsible for supporting the front-office/trading desk Supervision program established to meet regulatory obligations under the Firm’s Volcker Program. The VMM performs on-going monitoring of metrics for monthly reporting to various regulatory bodies. Particular focus is given to assessing the reasonableness o...
A top-tier global bank seeks a Senior Fixed Income Compliance Officer within the firm’s Institutional Client Group (ICG), supporting G10 Rates and Securitized Markets Trading and Sales, and the Markets Quantitative Analysis product areas. The Candidate must have strong working knowledge of fixed income products, securities, and derivatives. Primary responsibilities include providing day-to-day C...
A global bank seeks an Anti-Bribery and Corruption (ABC), Compliance Officer who will be responsible, along with the Regional Head of ABC for assisting with the implementation of aspects of the ABC compliance program and in the development of a robust ABC programme and the strategic direction of the ABC programme within the firm. The Candidate will act as a subject matter expert on bribery and co...
A Global Advisory firm seeks a Manager/Director in Financial Risk Management (FRM)-Regulatory Risk, who will be responsible for providing regulatory compliance advisory services to investment management institutions, specific to SEC rules and regulations, especially those under the Investment Advisers Act and Investment Company Act of 1940 Responsibilities: • Assist with the preparation or revi...
Global investment bank seeks a senior level Compliance Officer for their Investment Banking Division. Main Function: This candidate will provide primary compliance coverage for the firm’s M&A and FIG divisions in IBD and work in close coordination with other Private Side Compliance officers to provide product advisory compliance coverage for the firm’s Corporate Finance division. Main Duties: ...

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