Compliance Search Group Jobs in Tampa

Currently, there are no Compliance Search Group jobs available in Tampa, Florida. You may wish to explore jobs in nearby locations on the Compliance Search Group jobs in Florida page or view related jobs below.
Here are some related jobs:
Our client, a top financial services provider, seeks a Senior Risk Management Analyst to join their team. The Senior Risk Management Analyst will prepare strategies to achieve departmental objectives and lead staff in the execution of these strategies. The Senior Risk Management Analyst is expected to expand departmental responsibilities as reasonable given changes in the business, regulatory or...
Position will build upon our client’s existing trade compliance program, which is regulated by a number of regulatory bodies such as the US Commodity Futures Trading Commission (CFTC) and the Federal Energy Regulatory Commission (FERC) who require a proactive compliance program. Emphasis will be on the surveillance of trading practices and the establishment of policies and procedures. In this ro...
Full-service, integrated financial services firm providing investment guidance for high net worth individuals and middle-market institutions looking for Executive Assistant to provide comprehensive support to two senior executives. Successful candidates should have a minimum of 3 years’ experience supporting executive level management in the securities industry and must possess a strong ability to...
Our client, a well-respected boutique law firm serving a loyal and expanding client base of entrepreneurial and growing companies, including a significant number of independent investment advisers and others in the financial services industry, seeks a Senior Corporate Counsel. Along with their affiliated regulatory compliance consulting firm, they are uniquely positioned to deliver trusted counse...
Our client is a leading regulatory compliance consulting firm and their affiliated boutique securities law firm are seeking a Investment Adviser Litigation Counsel for their growing business. Along with their affiliated regulatory compliance consulting firm, they are uniquely positioned to deliver trusted counsel and innovative solutions to the complex business challenges faced by independent inv...
Our client is a leading regulatory compliance consulting firm and their affiliated boutique securities law firm are seeking to onboard an Investment Adviser Regulatory Counsel. Successful candidates will demonstrate the behaviors and skills that we particularly value in their colleagues such as exercising sound judgment, driving continuous improvement, making a substantial impact, bringing intens...
A global investment managers specializing in alternative investments, seeks two Senior Compliance Analysts who will assist in compliance monitoring to ensure accounts are invested in accordance with client guidelines, internal policies and procedures and regulatory law. Responsibilities: • Performing daily trade reviews and analysis. • Liaising with Investment Professionals on trading and portf...
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 ...
Our client, a U.S.-based high-tech commercial bank with offices in a number of other countries, is seeking an Enterprise Wide Risk Management Manager to join their Dept. The Enterprise-wide Risk Management Department (EWRM) oversees the Corporate Risk Management programs and other key risk management activities including the following: Risk and Control Self-Assessment (RCSA) program, Risk Appetit...
A leading provider of credit and bond ratings seeks a Compliance Associate/Examiner who will be responsible for performing continuous testing and examinations of ratings documentation for compliance with internal policies and procedures. The candidate will work with Line of Business and Operations senior management to develop, track, and validate remediation plans. S/he will prepare periodic and ...
A leading provider of credit and bond ratings seeks a Senior Compliance Associate/Examiner who will be responsible for performing continuous testing and examinations of ratings documentation for compliance with internal policies and procedures. The candidate will work with Line of Business and Operations senior management to develop, track, and validate remediation plans. S/he will prepare period...
The largest combined electric and gas municipal utility in the United States is seeking a Corporate Compliance & Ethics- Director who will be responsible for championing and socializing the Enterprise Compliance Program (“ECP”) through Business Units, to ensure the ECP is implemented, administered and continually improved upon so that it serves as a useful tool to identify, measure, monitor and im...
Location: NY or Baltimore, MD A Boutique investment bank and broker/dealer seeks a Compliance Analyst who will be responsible for assisting in revising or creating appropriate policies and procedures for multiple broker-dealer affiliates. Main focus for this position will be Institutional Policies and Procedures. Knowledge of FINRA, NYSE, and SEC Rules required. Responsibilities: • Draft, revi...
A national retail institutional brokerage firm is seeking a Junior Compliance Examiner who will be responsible for ensuring branch compliance with Firm policies, procedures and industry rules. S/he will conduct 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. The candidate will ...
A Global Advisory firm seeks a Chief Compliance Officer (CCO) who will be responsible for the overall management of the compliance component of investment adviser functions supporting the securities related business of minor assigned subsidiaries. S/he will support the Corporate CCO on compliance strategic initiatives and all compliance matters to ensure that the firm is in compliance with all la...
A Top Tier Global Corporate & Investment Bank is seeking a Compliance, Legal or Project Management Professional to provide global, cross-divisional (Corporate Banking & Securities, Asset & Wealth Management, and others) advisory Compliance support on the Volcker Rule. The group currently consists of team of 2 directors and 1 VP, and is seeking an Associate (or, if appropriate and needed to secure...
A national retail institutional brokerage firm is seeking a Senior Compliance Examiner who will be responsible for ensuring branch compliance with Firm policies, procedures and industry rules. S/he will conduct 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. The candidate will ...
A leading global financial services firm seeks an Anti-Money Launder Testing Analyst who will be responsible for working closely with business unit and regional Anti-Money Laundering (AML) teams to plan and execute Compliance testing on AML processes performed by business units and third party vendors. Knowledge of banking regulations is desired. This role reports to the Head of Global AML Testi...
An Investment Advisor seeks a Regulatory Compliance Officer who will be responsible for supporting the Firm’s Compliance program with respect to multiple core compliance areas. The Compliance Officer will also support the Firm’s compliance training program. The Compliance Officer will be a member of the Legal and Compliance Group working under the direction of the Compliance Manager, Chief Compli...
An asset management firm seeks a Compliance and Risk Analyst who will be responsible for conducting reviews of portfolios for compliance with client and regulatory restrictions using Charles River. This Position requires knowledge of system coding and investment instruments and work closely with, US Compliance and US Risk, Traders and Portfolio Managers. Responsibilities • Code client guideline...

Didn't find the right job at Compliance Search Group in Tampa, Florida?
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

Transportation and Warehousing Jobs Article Rating
Transportation and warehousing workers move materials around the country. Learn about jobs in this sector.
Engineering Jobs Article Rating
Engineers of all specialties are in demand. Explore careers in the engineering industry and search for engineering jobs now.
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
©2015 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: 2015.3.0.5-315
eTrustLogo