Compliance Search Group Jobs & Careers - Page 2

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49 Compliance Search Group jobs found on Monster.

Jobs 21 to 40 of 49
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 San Francisco, CA
A privately-owned investment advisory firm that focuses on high-net-worth families and their foundations seeks a highly motivated compliance professional for the role of Compliance Officer. The Compliance Officer will be responsible for helping to design and implement the compliance program associated with a limited purpose broker/dealer that distributes alternative assets. The Successful candid...
Compliance Search Group New York, NY
A Preeminent privately-owned wealth management and investment advisory firm seeks an Investment Management Compliance Officer. This position reports directly into the Associate Directors of Investment Management Compliance but will work daily with the Chief Compliance Officer Responsibilities: • Oversight of the preparation of board materials. • Review of compliance policies and procedures, qu...
Compliance Search Group New York, NY
A global bank seeks a Compliance Director who will be primarily responsible for providing and/or managing the delivery of day to day advice and compliance advisory coverage to the Structuring and Client Capital Management groups within the Markets business of the firm’s Investment Banking division. The Client Capital Management group is a front-office business centralized team focused on the mana...
Compliance Search Group Pasadena, CA
Our client, a top lending firm, seeks a Branch Risk Officer who will be responsible for a wide variety of supervisory, compliance, and risk functions. In conjunction with risk, legal and compliance, the Branch Risk Officer has accountability for maintaining a consistent controlled environment through adherence of business ethics and practices and adherence to all applicable Federal, State and Loc...
Compliance Search Group Santa Monica, CA
An Investment Management firm seeks an experienced Compliance Professional for their asset management division. The Compliance Officer will work with other members of the Compliance team in Santa Monica, New York, and business units around the firm to provide oversight and advice on compliance matters affecting the institutional advisory business. RESPONSIBILITIES INCLUDE: • Assist with advisor...
Compliance Search Group Philadelphia, PA
Our client is a fast growing privately held proprietary derivatives trading firm. The firm will soon be registering as a investment adviser. They are currently seeking a Compliance Generalist. The person will work in a team environment providing day to day compliance support and oversight for the firm. The role will require taking on projects, reviews and ad hoc tasks. Responsibilities include: ...
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...
Compliance Search Group New York, NY
A Global Bank seeks a Compliance Officer-VP who will be responsible for the delivery of fixed income 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. The Candidate will act as the business analyst for the project and work closely with colleagues in the...
Compliance Search Group Norwalk, CT
An Alternative investments firm seeks a Senior Operational Due Diligence Analyst who will work with Risk Management Team on operational due diligence on hedge funds and long-only asset managers. Responsibilities: • Primarily emphasize: risk assessment of business models, compliance policies and procedures, trade processing and valuation practices, counterparty/financing risks, technology infrast...
Compliance Search Group Stamford, CT
A Top-Tier Global bank seeks a Compliance Officer who will be responsible for covering the North American Global Managed Investments (GMI) business within the Private Bank Division. S/he will report to the Head of GMI Compliance and will be responsible for the following: • Providing support into business and product management staff to facilitate effective compliance with OCC Regulation 9 fiduci...
Compliance Search Group New York, NY
A top-tier global bank seeks a Compliance Officer who will be responsible for assisting with drafting, revising and advising on policies and procedures for the Americas institutional and retail businesses, including broker-dealer, banking, and asset and wealth management businesses. Responsibilities Include, but are not limited to: • Work with Compliance Advisory, the front office, and other inf...
Compliance Search Group New York, NY
The Compliance Search Group is a leading dynamic Executive Search firm that specializes in the placement of Compliance, Legal and Regulatory professionals. The Compliance field is hot and we seek smart, motivated people to join our team to help us with the rapid increase in business. You will be involved in all the important facets of recruiting Wall Street professionals. Responsibilities inclu...
Compliance Search Group Norwalk, CT
An Alternative investments firm seeks a Compliance Officer Professional will be responsible for managing compliance efforts for the Company as they relate to complex regulatory and policy requirements, program and project development. The candidate will analyze existing and proposed legislation, regulatory announcements, and industry practices, and helps businesses develop and implement procedure...
Compliance Search Group New York, NY
A Top-tier private equity firm seeks a candidate to join them as Senior Compliance Counsel. This role will report to the CFO/CCO. The Senior Compliance Counsel will be responsible for the day-to-day administration of the firm’s regulatory compliance program. In addition, the Senior Compliance Counsel will be expected to take on other legal and operational responsibilities as needed. Responsibil...
Compliance Search Group New York, NY
A leading global asset management firm seeks a Chief Compliance Officer (CCO) to lead its US compliance efforts as part of the Global Compliance team. As one of the key professionals ensuring successful growth of the firm’s US business, it will be the individual’s responsibility to work with local management both on the investment and business sales side. This will include overseeing the firm’s ...

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