Compliance Search Group Jobs & Careers - Page 2

59 jobs

Compliance Search Group
A large successful asset management firm seeks a Chief Compliance Officer for their Exchange Traded Funds (ETF) division. The CCO will be responsible for all aspects of the ETF Businesses. Responsibilities: • Support the Corporate Chief Compliance Officer (CCO) on compliance strategic initiatives and all compliance matters to ensure that the firm is in compliance with all laws and regulations, ...

Compliance Search Group
A Financial services firm, SEC-registered investment adviser division, seeks a Compliance Manager who be responsible for supporting the adviser compliance related activities where the firm’s acts as an adviser. This position will work closely with the firm’s Broker/Dealer and Distribution to ensure that products that involve both the adviser and the broker/dealer have adequate compliance coverage...

Compliance Search Group
An asset management firm seeks a legal analyst will be responsible for interacting and communicating with a variety of individuals across the organization and with external parties, including clients and outside counsel. The Paralegal/ Legal Analyst will work with a small group of attorneys and provide legal support to investment business. The legal analyst is expected to exercise appropriate ju...

Compliance Search Group
An SEC-registered investment adviser seeks a Compliance Analyst who will be responsible for assisting in review of Retail funds compliance oversight, RESPONSIBILITIES INCLUDE, BUT ARE NOT LIMITED TO: • Assist with review of Retail Board meeting minutes. • Preparing scheduled and ad hoc Retail Board reports. • Participate in Prospectus and SAI updates • Oversee Adviser and Fund manual updates ...

Compliance Search Group
A Financial services firm a seeks Director of Anti-Money Laundering (AML) who will be responsible for working across futures commission merchant, swap dealer, and broker dealer entities, leads and streamlines AML programs. This position requires in depth knowledge of the BSA, CFTC, NFA, FINRA, and SEC regulations, as well as KYC. This position will provide both day-to-day oversight and strategic ...

Compliance Search Group
A global asset management firm seeks a Compliance Manager who will be responsible for ensuring that the firm and its employees adhere to the laws, regulations and ethical standards of the securities industry by supporting the Chief Compliance Officer (CCO) in the management and execution of the investment compliance program for the firm. The successful candidate’s responsibilities will include: ...

Compliance Search Group
A financial services firm seeks a Compliance Officer who will be responsible for planning, executing and reporting compliance examinations for the firm’s operating units and affiliates primarily in the North American region, as well as globally, to assess compliance with regulations, industry practice codes, Codes of Conduct and compliance policies and procedures. Responsibilities: • Conduct on-...

Compliance Search Group
The Compliance Search Group, LLC is a leading dynamic Executive Search Firm which offers traditional recruiting and staffing services; as well as a niche job board, newsletter and blog. Our firm specializes in the placement of Compliance, Legal, Risk and Regulatory professionals. We are seeking a motivated, experienced Business Development/Marketing and Sales Representative to join our firm. The ...

Compliance Search Group
Our client, a multi-national financial services firm, seeks a Vice President in Compliance that will be responsible for a managing a team that owns company-wide compliance programs including Anti-Corruption, Gifts and Entertainment, Political Law Compliance and a range of projects. The successful candidate will have a working knowledge in some or all of the compliance areas of responsibility and ...

Compliance Search Group
Our client, a leading global financial services firm providing a wide range of services, seeks a Vice President of Global Financial Crimes in the Anti-Corruption Group. This role will be based in Hong Kong. The firm is looking for someone with strong anti-corruption compliance experience and would be open to someone coming from either a similar firm, law firm, government agency, defense contracto...

Compliance Search Group
Our client, a top-tier financial services firm seeks a KYC Analyst for their institutional KYC department. This role would involve reviewing KYC documents on the foreign (non-domestic, US) side. The person would be reviewing high-risk non-US accounts specifically at LATAM clients. Other responsibilities include: • Conduct timely and detailed KYC Due Diligence Reviews utilizing tools and on-line...

Compliance Search Group
A global investment bank seeks a Compliance Control Room Officer who will be responsible for interpreting and assisting the business in enforcing applicable rules and regulations, managing the Firm’s Watch and Restricted Lists, with emphasis on rules and regulations relating to Information Barriers, and FINRA and SEC rules related to Equity Research. This individual will work with Investment Bank...

Compliance Search Group
A global investment manager seeks a Compliance Manager who will be responsible for acting as a senior resource in investment surveillance and a senior relationship manager with the Portfolio Management (PM) team bridging the gap between Compliance and the Front Office. As an intermediary between Portfolio Management, Trading, and Operations, the Compliance Manager will ensure that orders and exec...

Compliance Search Group
Highly regarded Global consulting firm seeks individuals with strong consumer banking regulatory experience to join their Financial Services Risk & Compliance practice. Positions can be based in New York, Chicago or Charlotte. Qualifications: General Knowledge & Skills • Deep knowledge of bank and/or credit-related regulatory requirements, specifically related to consumer compliance regulations...

Compliance Search Group
A wealth management practice seeks a Deputy/Chief Compliance Officer who will be responsible for combining expertise, judgment and discretion to provide a strategic vision and to oversee all aspects of the firm’s compliance function. S/he will provide compliance/risk management leadership to senior management. Primary Responsibilities: • Enhance, design, implement and oversee a risk-based compl...

Compliance Search Group
A Financial services firm seeks a Marketing Material Review, Compliance Director who will be responsible for leading the compliance function associated with the review and approval of advertisements, sales literature, correspondence, and other marketing material developed or utilized by Investments. Responsibilities include: • Review and approval of certain marketing materials associated with th...

Compliance Search Group
A financial services firm seeks a Compliance Data Integrity Standards and Control AVP will be responsible for operating in accordance with the relevant change governance standards, mandated project management methods, and the imperatives of operating under a risk-assessed framework. Responsibilities include: • Partner with Global Data Integrity Standards and Control (DISC) team members in the da...

Compliance Search Group
We are one of the largest and oldest Executive Recruiting firms specializing in the placement of Compliance, Legal and Regulatory professionals. We focus on Wall Street, Investment Banks, Hedge Funds and Fortune 100 companies worldwide. Why am I hiring (as an introduction, I am the Managing Director and founder of The Compliance Search Group)? It is for a very good reason, we have more business...

Compliance Search Group
A Financial advisory firm seeks a Senior Associate who will be responsible for examining the asset management/investment management businesses within a large bank which is typically in their Wealth Management. Qualifications and Knowledge: • Regulatory Risk and compliance experience w/asset management • Wealth reviews • Regulation 9 review (banking regulations governed by OCC) • OCC experienc...

Compliance Search Group
A global advisory firm seeks a Senior Associate who will be responsible for advising financial services institutions on enabled solutions in support of securities processing from trade capture to risk and product control through settlement Responsibilities: • Advise financial services institutions on SEC rules and regulations, especially those under the Investment Advisers Act and Investment Com...