Compliance Search Group Jobs in Texas
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Compliance Search Group
Los Angeles, CA
Our client, a 50+ year old, Southern California based consumer & commercial business banking institution with over 80 offices in the U.S., is seeking a Bank Regulatory Compliance Officer for its Real Estate Division. Responsibilities include: Act as internal compliance reviewer in the Bank’s Real Estate Division. Responsible for reviewing all loan requests boarded in the Real Estate Division for a...
Compliance Search Group
New York, NY
Our client, a highly regarded asset management firm providing superior investment returns is seeking a Legal Analyst. The Legal Analyst will work closely with five attorneys in providing legal and regulatory support to the investment management business. The legal analyst will interact and communicate with a variety of individuals across the organization and with external parties, including client...
Compliance Search Group
Dallas, TX
Our client, one of the country's largest diversified investment banks is seeking an Anti-Money Laundering Compliance Professional. The ideal candidate will be responsible for implementing/amending policies, procedures and internal controls designed to achieve compliance with Anti-Money Laundering rules and regulations. Responsibilities: • Investigating and responding to various types of AML focuse...
Compliance Search Group
Chicago, IL
Our client, a commodity brokerage firm located in Chicago is currently seeking an experienced senior accountant. Primary Responsibilities include but are not limited to: • Monthly financial statement closings and account reconciliations • Payroll • Brokerage commission calculations • Management Reporting • Forecasting and budgeting • Year-end audit preparation • Tax compliance liaison • Regulatory...
Compliance Search Group
Pittsburgh, PA
Our client is seeking a Corporate Policies and Procedures Program Manager to be responsible for the development and implementation of Corporate Policies and Procedures in addition to the oversight of business and shared service specific policies and procedures. The ideal candidate will ensure that corporate policies and procedures are designed to be compliant with relative rules and regulations of...
Compliance Search Group
New York, NY
Our client is seeking a Compliance Manager to be responsible for the oversight of adviser compliance for a registered investment adviser. The ideal candidate will be responsible for developing and maintaining the Compliance Program for consisting of: o Policies and Procedures adequate to prevent violations of federal securities laws o Procedures adequate to comply with corporate policies o Testing...
Compliance Search Group
New York, NY
Seeking an experienced Compliance Officer to join our client’s Global Transaction Banking and Bank Regulatory Compliance team in providing Compliance advice for the growing GTB businesses: Trust & Securities Services, Trade Finance, Cash Management Corporates and Cash Management Financial Institutions. Responsibilities: • Provide compliance coverage for the GTB businesses, including: Trust & Secur...
Compliance Search Group
Austin, TX
Corporate VP, Compliance will report directly into the Corporate VP of Product Management for the Long-Term Care (LTC) Insurance Division within the Insurance Organization. Primary Essential Accountabilities: • Manage all aspects of LTC insurance compliance department, ensuring that the company is maintaining compliance with applicable laws and regulations, as well as supporting the company’s stra...
Compliance Search Group
New York, NY
Our client, a large inter-dealer broker and institutional futures commission merchant is seeking a Compliance Associate, reporting directly to the Chief Compliance Officer, to be responsible for the following: • Surveilling, auditing and monitoring the Firm’s futures activity (financial futures, index futures, energy) and fixed income security activity (Corporate, Treasury, ABS and MBS, Agencies,...
Compliance Search Group
New York, NY
The Business Service Manager directs and manages various technology-related activities for a Business Unit under the supervision of the Business Unit CIO. The ideal candidate will be responsible for constructing business plans and directing the flow of work of all technology resources assigned to work on business unit related IT projects; Oversight for day-to-day technology operations and portfoli...
Compliance Search Group
Mount Laurel, NJ
A leading outsource provider of mortgage and fleet management services is seeking a Monitoring and Testing Analyst. Reporting to the Monitoring and Testing Compliance Manager, the Analyst will conduct ongoing testing of business operations and procedures, performing risk assessments on assigned businesses and reports identified risks. Responsibilities • Monitor and test ongoing activities of LOBs...
Compliance Search Group
Chicago, IL
Seeking an Internal Audit professional to lead the Internal Audit function of our client, a well regarded financial services firm. The primary responsibility of this position is to develop and execute an on-going and risk-based internal audit program. Relocation is an option for this role Key Skills & Responsibilities: • Developing a dynamic on-going and risk-based internal audit program for busin...
Compliance Search Group
New York, NY
One of the largest financial services providers in the world seeks a person to join a team of Surveillance professionals in conducting, creating and implementing surveillance reviews for activity traded on Futures exchanges. The ideal candidate will be responsible for the following: • Develop new surveillance reports and enhance existing processes • Interact with the Futures Compliance and Technol...
Compliance Search Group
New York, NY
The Insurance Regulatory Controls Senior Associate of the Corporate Compliance Department (CCD) will oversee, assist, and monitor the Insurance Group business units, ensuring that they are effectively implementing new market conduct regulation and rules into their business practices. Specific responsibilities of the role include: - Ensuring that all market conduct laws and regulations are implemen...
Compliance Search Group
Bala Cynwyd, PA
To satisfy the needs of their growing client base, our client a private, independent firm providing equity investment management is looking to hire a Compliance Officer. Candidate must have experience in the daily compliance functions of an SEC-registered investment adviser with significant experience in the review of performance information and track records and the drafting of policies and proce...
Compliance Search Group
New York, NY
The role of the VP, Training Development is to develop training courses and communications designed to instill the appropriate level of knowledge around Compliance-related policies and procedures by all staff globally. The VP, Compliance Training Development will partner with compliance, regulatory affairs and legal staff, policy content owners, business managers, learning organizations and others...
Compliance Search Group
San Francisco, CA
Management consulting firm that provides practical compliance and risk management solutions to investment advisers, broker-dealers, and registered funds is seeking a Senior Compliance Management Consultant. The Senior Compliance Management Consultant will be responsible for evaluating enterprise risk for registered investment adviser clients in accordance with regulatory compliance policies, goals...
Compliance Search Group
New York, NY
Seeking a team-oriented individual with thought leadership, risk assessment and mitigation skills to join the Registrations team of a major investment banking firm. In this role, the candidate will work with internal Business and Compliance personnel in order to implement registrations and licensing requirements, and to proactively strengthen processes in support of registrations and other employe...
Compliance Search Group
New York, NY
Top global New York based investment bank is seeking a VP Compliance to join their Merchant Banking& Real Estate Investing division. The position will report to Chief Compliance Officer for Merchant Banking & RE Investments. The ideal candidate will have four + years of compliance experience, preferably in the context of investment adviser compliance. The primary responsibilities will be to assist...
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©2013 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: 2013.5.0.223-210