Compliance Search Group
Compliance Search Group Company Information
Compliance Search Group Company Information
Compliance Search Group Jobs & Careers
47 Compliance Search Group jobs found on Monster.
Compliance Search Group
New York, NY
Our client, a major investment banking firm seeks a Central Compliance Officer to lead the implementation of the target operating model in establishing new Business As Usual (BAU) procedures for the various groups within Central Compliance. The functions of the Central Compliance team includes: Licenses and Registrations, Personal Account Dealings, Private Investments, Outside Affiliations, Gifts...
Compliance Search Group
California, CA
A Los Angeles based investment manager is seeking a Chief Compliance Officer. The Chief Compliance Officer will primarily be responsible for day-to-day implementation and maintenance of the compliance program. The CCO will work closely with colleagues in every functional area within the firm. Key responsibilities include: • Development, implementation and maintenance of compliance policies and pro...
Compliance Search Group
New York, NY
One of the largest financial services providers in the world is seeking an Financial Crime Compliance Enhanced Due Diligence Professional to assist in the management of anti-money laundering (AML), anti-bribery and corruption (ABC) and sanctions risks associated with prospective customers across Corporate and Investment Bank in the Americas region. The ideal candidate will advise compliance manage...
Compliance Search Group
New York, NY
Lead compliance coverage officer for U.S. Finance Division. Report to global compliance coverage head for Operations, Finance and Technology Divisions. Primary coverage areas include: • Customer protection-related processes for the firm’s U.S. institutional and retail broker-dealers, including regulatory reporting (e.g. FOCUS), net capital requirements under Securities Exchange Act (SEA) Rule 15c3...
Compliance Search Group
New York, NY
Top global New York based financial services firm seeks a VP in their Legal Department to support their Institutional Asset Management division. Position requires knowledge of the Investment Advisers Act of 1940. Candidate should have the ability to work well in a fast paced, interactive environment. Possess good business judgment as well as legal expertise/judgment. Knowledge of Investment Compan...
Compliance Search Group
New York, NY
Well known and highly regarded information services company is seeking a SVP of Compliance Product Solutions. The position reports directly to the Chief Product Officer. DUTIES AND RESPONSIBILITIES In parting with other departments (e.g., Marketing, Technology, Sales etc.); oversee the design of effective strategies that result in high growth and successful execution. Develop the overall Complianc...
Compliance Search Group
Florida, FL
A leading global financial services company is seeking an Anti-Money Laundering Optimization Regional Team Manager to manage a team of statisticians and technical specialists in providing expertise on the firm’s globally consistent approach to anti-money laundering monitoring including: • Utilizing rigorous statistical techniques for optimizing thresholds to improve effectiveness and efficiency. •...
Compliance Search Group
New York, NY
Our client is seeking a Senior Manager to join their Global Anti-Money Laundering (AML) Program Management Office (PMO) in efforts of enabling, and evaluating all AML programs across the functions (Operations, Technology, Compliance, Audit) and businesses (ICG and Consumer.) The Senior Lead is responsible for reporting all programs to senior management, the Board of Directors, and the Regulators....
Compliance Search Group
New York, NY
The RIA division of a financial institution seeks a Chief Compliance Officer. The CCO will oversee the managed accounts, wrap products, investments and asset allocations. The ideal candidate will support the following: advising on monitoring of Investment Advisor Representatives (IRA), new products, and due diligence of third party providers, financial planning, trading and preparing compliance re...
Compliance Search Group
New York, NY
Well respected, long-established money management firm seeks a Senior Compliance Specialist to provide compliance support for their broker dealer division. The ideal candidate will ensure compliance with the applicable laws, regulations and Firm policy and procedures. Responsibilities: • Leverage technology and new forms of media to drive a creative approach to training and maintaining a strong cu...
Compliance Search Group
New York, NY
Seeking a candidate who has a great understanding of the Dodd Frank act and the impact that the various laws, rules, regulations and policies will have on the firm. International Investment bank seeks a Senior Legal Counsel to support the Head of Regulatory Reform in the delivery of a strategic, consistent, holistic, effective and efficient legal and compliance framework for the management of the...
Compliance Search Group
New York, NY
The primary focus of the role will be on managing the compliance program. He/She will also be responsible for various legal matters as needed. Hedge Fund/ Private Equity firm with $2 billion in AUM is seeking a Chief Compliance Officer. The CCO will report directly to the General Counsel, and manage all aspects of compliance, including regulatory, marketing, and HR. The hedge fund is responsible f...
Compliance Search Group
New York, NY
Our client is a leading international financial institution engaged in corporate banking, institutional brokerage and capital market activities. The Bank seeks to hire a candidate to head the Compliance and Regulatory Risk component for their Americas group. The professional will manage compliance in the offshore branch and broker-dealer to assist the business to comply with laws, regulations, ind...
Compliance Search Group
Connecticut, CT
A Highly regarded international banking and financial services company is seeking a Policies & Procedures professional to join their Policies/Procedures and Training unit with specific focus on documenting and tracking training's. The ideal candidate will work to upgrade the Policy / Procedures Program in ensuring that local Business and/or Compliance policies or procedures have been aligned. Resp...
Compliance Search Group
New York, NY
The person performing this advisory position will be responsible for supporting the implementation and management of the overall compliance program for the CFTC-regulated swap trading and clearing activities of the Global investment bank, and for the foreign-regulated swap activities conducted by the Bank in the US. The Swap Dealer Compliance Officer will generally support the designated Chief Com...
Compliance Search Group
New York, NY
Our client a Global Investment Bank is seeking a Compliance Officer – Markets Advisory professional. The person performing this trading desk advisory position will be responsible for implementing and managing the overall compliance program for the Securitized Products-related businesses in bank’s New York Office. This coverage includes the following business lines: Credit Solutions Group; Commerci...
Compliance Search Group
New Jersey, NJ
Division of a major financial services and banking firm seeks a Senior Anti-Money Laundering Compliance Professional. This senior Anti-Money Laundering role will focus on international Anti-Money Laundering and Know Your Customer issues in helping to mitigate risk related to higher risk clients and jurisdictions, including LATAM and Asia Pacific regions. This role interfaces with senior business l...
Compliance Search Group
New York, NY
Our client, one of the largest financial services providers in the world is seeking a Records Management Compliance Professional to conduct comprehensive individual department self assessments ensuring that the firm meets its legal and regulatory records retention obligations. The ideal candidate will identify assessed department records management gaps, advises on how to improve risk profile and...
Compliance Search Group
New York, NY
Global investment bank seeks a candidate to join their Compliance Conformance Testing team responsible for developing consistent standards for Compliance across the organization and enforcing these standards. The Compliance Quality Assurance Testing professional will be responsible for the review, audit and examinations of the Compliance Department to ensure that the division is discharging their...
Compliance Search Group
New York, NY
Global investment bank seeks a person to join a team of Compliance Officers charged with the reviews of all U.S. banking and broker-dealer activities. Responsibilities will include: • Lead the planning and review of bank entities, the holding companies, related businesses, and/or support areas with a view towards assessing compliance with applicable federal and state banking laws, and policies and...
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©2013 Monster - All Rights Reserved U.S. Patents No. 5,832,497; 7,599,930 B1; 7,827,125 and 7,836,060 MWW - Looking for Monster Cable? - V: 2013.1.5.22-210 
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©2013 Monster - All Rights Reserved U.S. Patents No. 5,832,497; 7,599,930 B1; 7,827,125 and 7,836,060 MWW - Looking for Monster Cable? - V: 2013.1.5.22-210