Compliance Search Group Jobs & Careers - Page 2

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58 Compliance Search Group jobs found on Monster.

Jobs 21 to 40 of 58
Compliance Search Group New York, NY
A Commodities firm seeks an individual who will be in an integral part of the Sarbanes–Oxley Act (SOX) team supporting the firm’s internal control design, development and SOX compliance efforts. The successful person in this role will demonstrate good business judgment, strong critical thinking and project management skills, and be able to work in a highly decentralized environment, requiring ongo...
Compliance Search Group New York, NY
A Global Management Consulting firm seeks a Regulatory and Compliance Professional. This role is a great opportunity for a Compliance person pursuing entrepreneurial and/or business orientated career. Responsibilities: • Provide regulatory compliance services to financial institutions in the capital markets area • Assist our capital markets clients to identify and understand the sales and trading...
Compliance Search Group New York, NY
A Top-tier management consulting firm seeks a Director in Financial Risk Management and Regulatory Risk. Responsibilities: • Provide regulatory compliance advisory services to capital markets institutions • Develop and execute go to market strategies related to regulatory reform initiatives including trading and markets regulation • Participate in business development and relationship management e...
Compliance Search Group New York, NY
A top-tier management consulting firm seeks an Advisory Compliance Officer who will focus on their Assessment Management Division. Responsibilities: • Lead and support business development activities for individual opportunities, such as identification and proposal development, while working with the appropriate resources from other service lines and asset management industry • Help execute the da...
Compliance Search Group New York, NY
A Top-Tier Management Consulting Firm is seeking a VP Capital Markets Compliance professional who will be involved in all aspects of compliance support. Responsibilities will include: • Identify opportunities for enhancements to existing internal controls utilized by the client broker-dealers to manage their regulatory risks • Provide regulatory compliance services to financial institutions in the...
Compliance Search Group New York, NY
A large International bank that deals in retail , business and institutional banking, funds management, insurance, investment and broking services seeks an operational risk and compliance professional who will be responsible for managing the overall risk portfolio, including credit, market, operational, compliance and insurance risk for Institutional & Business Banking (I&BB) This role has a focus...
Compliance Search Group Boston, MA
A Commercial and Retail bank seeks a Chief Compliance Officer who will perform diversified functions in connection with the management of the compliance staff and management of the overall functions and processes of the Compliance Program consistent with policies and procedures. She/He will report administratively to the Chief Risk Officer, and provides a quarterly update to the Board of Directors...
Compliance Search Group New York, NY
A Commercial bank seeks a Deputy Chief Compliance Officer who will be responsible for ensuring that the Compliance Programs appropriately addresses the regulatory risks relative to the Division/Unit’s business activities. The Candidate will be actively engaged with multiple businesses to provide compliance advice, monitoring and oversight of effective programs. She/he will report directly to the C...
Compliance Search Group New York, NY
A Global Assessment Management firm seeks an experienced Compliance Professional to provide advisory Compliance support on the Volcker Rule. The Responsibilities include: • Act as the designated Compliance Point Person. • Participate in various Bank-wide and Asset Management work streams relating to the interpretation and implementation of the Volcker Rule • Work with Legal and Outside Counsel to...
Compliance Search Group New York, NY
Well regarded asset management firm seeks a Senior Compliance Officer for Advertising and Marketing Review. This role is primarily responsible for leading the review and approval of Investment Advisor marketing material for content and disclosure prior to use. The Advisor is an SEC registered investment advisor providing asset management to institutional separate accounts and sub-advised mutual fu...
Compliance Search Group New York, NY
Our Client, a global investment bank, seeks a Compliance Officer to perform a trading desk advisory position. The Candidate will be responsible for implementing and managing the overall compliance program for the Cores Rates business in The Firms’ New York Office. This coverage includes Core Rates Trading, Structuring and Sales functions. Desks covered: Governments (including the Primary Dealer),...
Compliance Search Group Washington, DC
Counsel/Compliance Officer- Alternative Investments State/Location: Washington, DC Company: The Compliance Search Group Contact: Jack Kelly - ***** Description: Our client, a global asset management and alternative investments firm, seeks a counsel/compliance officer to focus on supporting global marketing efforts from a legal and compliance perspective. The Candidate will pr...
Compliance Search Group New York, NY
Well respected Asset Management firm seeks a Paralegal to focus on Compliance and legal matters related to advertising, marketing and sales literature Essential Duties and Responsibilities: • Review requests for proposals and client questionnaires and creating sophisticated written responses related to the company’s compliance practices. • Reviewing sales and marketing literature and associated di...
Compliance Search Group New York, NY
A global financial services firm seeks a Director of Compliance who will be responsible providing real-time compliance leadership to Corporate and Investment Banking business compliance team for US, Canada and Mexico who will be involved in advising on issues related to Conflicts of Interests, Chinese walls and information barriers, underwriting securities offerings, leverage loan buyouts, and int...
Compliance Search Group New York, NY
An International bank seeks an experience Compliance Officer to oversee their U.S. Branch. She/He will contribute proactively to developing, enhancing and maintaining a compliance culture within the firms’ supporting compliance leadership initiatives of management, setting an example on ethical best practices, communicating often with management and staff on compliance issues, proactively contribu...
Compliance Search Group New York, NY
We are seeking an attorney to join the New York Legal Department as senior counsel who will focus on the company’s Latin American (LATAM) platform with transactional experience representing US, Latin American and multinational clients on a wide range of corporate and financial transactions in Latin America. The attorney will join a small, leanly-staffed legal department and must have the flexibili...
Compliance Search Group Jersey City, NJ
A Large International Bank seeks a Compliance Analyst to conduct surveillance of business activities to ensure that the company, its clients and employees are not violating money laundering rules and regulations. Responsibilities: - Addressing monthly and daily alert investigations. - Recommending and supporting escalation of unusual or potentially suspicious activity to the Transaction Surveillan...
Compliance Search Group New York, NY
A global provider of support sources for the financial services industry seeks Division Chief Compliance Officer. The candidate will be responsible for establishing and administering the compliance program that is designed to prevent violations of the obligations of a swap data repository under Dodd-Frank, the Commodity Exchange Act and other applicable laws and regulations. The Chief Compliance O...
Compliance Search Group New York, NY
A global investment bank seeks a compliance officer who primarily focuses on the Compliance oversight of Domestic and International Equities Trading platform, including the Firm’s NYSE Trading Floor personnel. The Candidate will be in oversight of the following businesses: ETFs, Equity Convertible Bonds, Program Trading, Securities Based Swaps and CFTC Regulated Swaps, Securities Lending, Electron...
Compliance Search Group New York, NY
A Global Bank seeks a Counsel who will advise salespersons and traders who create and market new proprietary indices, shelf-registered derivatives and privately placed securities. The Successful Candidate will deal with issues arising under the Securities and Exchange Acts, Investment Company and Advisers’ Acts, FINRA and exchange rules and ERISA. The Candidate will counsel on and help craft outco...
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