Compliance Search Group Jobs & Careers

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82 Compliance Search Group jobs found on Monster.

Jobs 1 to 20 of 82
Compliance Search Group Dallas, TX
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...
Compliance Search Group Houston, TX
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...
Compliance Search Group New York, NY
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...
Compliance Search Group Jersey City, NJ
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...
Compliance Search Group Jersey City, NJ
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...
Compliance Search Group Jersey City, NJ
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...
Compliance Search Group Los Angeles, CA
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...
Compliance Search Group Newark, NJ
A Global Financial Services firm seeks a Portfolio Guidelines Monitoring Compliance Manager who will be responsible for ensuring that all portfolios are in compliance with applicable regulatory and contractual requirements, and for ensuring that the activities of the firm’s associates are in accordance with general compliance policies governing employee conduct. Core Responsibilities: • Review i...
Compliance Search Group New York, NY
A Global Investment Bank seeks Compliance Consultant who will be responsible for managing and conducting risk-focused audits on all activities carried out by the Corporate Investment Bank (CIB) platform as instructed by the CIB Head of Audit. The Auditor will review all processes and risks, including those related to new products and/or activities, in order to evaluate the effectiveness and effic...
Compliance Search Group Dallas, TX
A Global advisory firm seeks a Compliance Consultant who will be responsible for performing the oversight of Financial Advisors and employees, with a primary focus of overseeing and monitoring activities for compliance with the various state, FINRA, and federal securities rules and regulations. Core Responsibilities: • Conducts Branch Office Inspections and Auditing • Monitors, reviews and appr...
Compliance Search Group New York, NY
Are you interested in Starting your Career in Compliance? Compliance is one of the fastest growing careers on Wall Street and in corporate America. A career in Compliance offers you the opportunity to make a difference, effect real change, help and protect people. We have indications from our clients, which include top-tier Investment Banks, Hedge Funds, and Fortune 500 companies that they need...
Compliance Search Group New York, NY
A Global bank seeks a Compliance Director- Head of Anti- Money Laundering will be responsible for managing the policy and training programs for AML globally and will report to the Deputy Head of AML Compliance. This professional will be responsible for managing a best-in-class, AML policy and training organization leading through influence and collaboration with various stakeholders. Responsibil...
Compliance Search Group New York, NY
Our client, an Investment Management firm, is a provider of exchange-traded funds that facilitates access to investment opportunities across the global markets. The firm offers exchange-traded funds that target Commodity Producers, Income, and International, Alternatives, Industry, and Asset Allocation fund suites. They are looking for a Senior Compliance Officer who would grow into a CCO role, o...
Compliance Search Group Long Island City, NY
Location: Long Island City, NY/ New Castle, DE A Wealth Management firm seeks a Compliance Director who will be responsible for providing compliance sales practice advisory support, monitoring and reviews, as well as regulatory guidance and establishing the compliance framework for retail sales practices, compliance policy development and implementation. Responsibilities: • Lead a team of Compl...
Compliance Search Group New York, NY
A Global bank seeks a Compliance Director-Regulatory Unit Manager who will be responsible for provide regulatory examination management coverage for the firm’s Retail Investments lines of business. The Candidate Provide regulatory specialist support/advice to compliance teams and business management in support of ongoing and anticipated examinations, proposed rules, regulatory guidance and develo...
Compliance Search Group New York, NY
A Global Bank seeks a Compliance Director who would be responsible for managing and leading the global Electronic Communications (Ecomm) Surveillance and Supervision program. The regional Compliance Electronic Communication teams administer the firm's electronic communications surveillance platform and provide email and instant messaging pre-screening services to the markets and banking businesse...
Compliance Search Group New York, NY
A Global bank seeks a Governance & Control Manager who will be responsible for managing Legal Risk with the firm. S/he will protect and support the firm in becoming the ‘Go-To’ bank. Main Duties and Responsibilities • Improving sensible quality standards • Driving continued efficiencies and maintaining control of their internal and external costs. • Provision of business coverage and support t...
Compliance Search Group New York, NY
A leading global finance firm is seeking a seasoned Consumer Protection Compliance Officer. This position will cover key areas of consumer protection and regulatory focus, such as fair lending and UDAAP. The candidate will be responsible for reviewing and approving all marketing & advertising materials for the firm’s U.S. Banks. The candidate will also serve as the Fair Lending Officer for the ...
Compliance Search Group Stamford, CT
Location: Stamford, CT and New York, NY A global investment manager specializing in alternative investments, seeks an a AVP Compliance Professional who will be responsible for providing the business with real-time compliance advice as it pertains to portfolio management and trading for the Emerging Markets Equity, International Convertibles and Emerging Markets Distressed Debt Strategies, as well...
Compliance Search Group Boston, MA
Our client, a top-tier investment management firm seeks an investment compliance portfolio manager. They would like someone with 5-10 years of experience with regards to trade monitoring, guidelines monitoring and someone with '40 Act experience. Ideally someone who have used Charles River, Bloomberg or a similar product would be preferred. Responsibilities: Using in depth knowledge of regulator...

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