Compliance Search Group Jobs & Careers

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37 Compliance Search Group jobs found on Monster.

Jobs 1 to 20 of 37
Compliance Search Group Los Angeles, CA
A global alternative asset manager seeks a Manager of Corporate Compliance who is responsible for the administration, monitoring, and testing of the firm’s global Code of Ethics program. Responsibilities: • Administer, along with other Corporate Compliance team members, the firm’s Global Code of Ethics Program including policies governing employees’ personal trading, gifts and entertainment, out...
Compliance Search Group New York, NY
A Global bank seeks a Regulatory Relations-VP who will be part of a Regulatory Relations VP team. The Regulatory Relations team’s aim is to ‘foster trust between our regulators and our colleagues to enable us to work together to achieve our common goals of a safe, sound, profitable and well controlled bank, focused on good customer outcomes. The team does so by facilitating the highest level of ...
Compliance Search Group New York, NY
A Global bank seeks a Compliance Officer-AVP who will be Responsible for the delivery of equities trade surveillance projects on behalf of the Global Trade Surveillance Team ensuring that project deadlines and deliverables are met taking into account both business and regulatory requirements. Responsibilities: • Act as both business analyst and project manager and work closely with colleagues in...
Compliance Search Group New York, NY
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...
Compliance Search Group Dallas, TX
An Alternative Investments firm seeks a Compliance Analyst/Paralegal who will assist with all aspects of a compliance program centered on regulatory requirements instituted by the Securities and Exchange Commission, the Financial Industry Regulatory Authority, and the Commodities Futures Trading Commission. The Successful candidate will assist with the Compliance Department’s monitoring and testi...
Compliance Search Group New York, NY
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...
Compliance Search Group New York, NY
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...
Compliance Search Group New York, NY
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...
Compliance Search Group New York, NY
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...
Compliance Search Group New York, NY
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...
Compliance Search Group New York, NY
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 ...
Compliance Search Group New York, NY
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 ...
Compliance Search Group New York, NY
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...
Compliance Search Group New York, NY
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...
Compliance Search Group Charlotte, NC
Our client, a top-tier financial services firm, seeks a candidate who will work on life products with product development, legal, tax and other functional areas in order to draft forms and respond to insurance department comment letters. The candidate will be responsible for all aspects of a product development project. This includes drafting policy and related forms, researching state insurance ...
Compliance Search Group Boston, MA
Our client is currently in need of a Chief Compliance Officer. The firm primarily deals with high-net worth clients as well as funds and convertible bonds. The firm has a friendly, professional and fast-moving environment. They would like for the person to have 7-10 years experience with an Registered Investment Advisory and must have a JD for the role. The successful candidate will have excellen...
Compliance Search Group Chicago, IL
A financial services firm seeks a Deputy Chief Compliance Officer who will be responsible for compliance and regulatory affairs for the registered Swap Dealer. This position will directly report to the Chief Compliance Officer. Primary Accountabilities/Responsibilities: • Identifies and interprets CFTC, NFA, state, federal, foreign jurisdiction, and self-regulatory organization rules and regula...
Compliance Search Group New York, NY
We are a unique blend of executive search coupled with media properties including blogs, newsletters and job listings. Our area is very hot and we are rapidly growing. We need assistance with our niche job board, www.ComplianceJobs.com, and blog www.CompliancEX.com that caters to the incredibly fast growing compliance area of Wall Street and corporate America. If you are not familiar with this ...
Compliance Search Group New York, NY
A Global Investment Management firm seeks a Senior Manager Central Compliance Professional who is responsible for assisting with the management of certain functions of Central Compliance. The candidate shall have the ability to play a leadership role on key issues as directed by the Head of Central Compliance. Key Responsibilities include: • Lead initiatives and projects related to central comp...
Compliance Search Group New York, NY
A global investment banking seeks a Regulatory Assurance Manager who will be part of the Regulatory Assurance Team which is responsible for monitoring regulatory risk across all business units. The Team is responsible for conducting targeted reviews for the purpose of assessing the effectiveness and appropriateness of the relevant regulatory control framework to ensure it has been designed, imple...

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