Compliance Search Group Jobs & Careers - Page 3


58 Compliance Search Group jobs found on Monster.

Jobs 41 to 58 of 58
Compliance Search Group New York, NY
A Global Bank seeks an individual to be responsible for regulatory risk, monitoring, testing and surveillance. The Candidate will be responsible for performing second level controls, according to the annual US control plan. The unit issues correctives measures to the departments concerned when an exception or issue is noted during the course of the control reviews. As part of this function, the ca...
Compliance Search Group New York, NY
A global money management firm seeks a Senior Compliance Officer in the Fund Chief Compliance Officer Group which supports the firms Fund Chief Compliance Officer and Fund Boards. The candidate will report to the Compliance Manager within the group and work with the other Compliance Officers in the group. Responsibilities: •Analyze Fund Service Providers’ Compliance Programs: o Perform reviews of...
Compliance Search Group New York, NY
Our client, a highly regarded, publicly traded, real estate investment firm, is looking for an experienced compliance professional that will be responsible for the creation and implementation of a comprehensive and robust compliance program for their real estate investment management portfolio. The company recently launched a new division and is looking for a compliance officer to help manage comp...
Compliance Search Group Houston, TX
A major global bank seeks a Compliance and Operational professional for their Houston, Texas Office. Responsibilities Include: Governance/Compliance • Ensure office follows all US Federal, local government, and company global compliance regulations. • Coordinate Compliance related matters with Compliance Department in New York; ex. Process Form U-4, Form U-5 for new/ exit employees, coordinate for...
Compliance Search Group New York, NY
Global financial services firm seeks a Compliance Officer who will work with management to identify and manage regulatory and reputation risks. This includes advising the business in relation to the application of particular rules/policies etc. providing training to the business; conducting compliance reviews. The candidate will operate within a team of compliance professionals providing advice an...
Compliance Search Group New York, NY
A global financial services firm seeks a professional to initiate and manage Quality Assurance and Compliance Intelligence functions for the firm. Responsibilities: - Develop fulsome program to understand if Compliance processes incorporate quality assurance principles - Prioritize planned reviews on annual basis and periodically re-assess - Work collaboratively with other functions to ensure prop...
Compliance Search Group New York, NY
A global bank seeks a Compliance Officer who will join a growing team of compliance officers responsible for the review and testing the firm’s activities as newly-registered Swap Dealers (“SD”). Responsibilities include: • Review of the SD policies and procedures and test for effectiveness, including analysis of resources set aside for compliance and discussion of any necessary improvements. • Det...
Compliance Search Group New York, NY
A preeminent financial services firm seeks a Capital Risk Partner who will be responsible for risk framework development, trade surveillance, policy development, strategic initiatives, risk assessment processes, assessing the effectiveness of internal controls. He/she is responsible for providing advice and guidance to the business, interfacing with regulators, overseeing internal and external rev...
Compliance Search Group New York, NY
Our Client a global investment firm, seeks a VP/Director who will be responsible for governance and supervisory control functions of Global Research & Investments (“GR&I”) within the firm. The candidate will assist GR&I to achieve its business objectives in a controlled, efficient and effective manner, and to embed the right risk and control management within the business by working to foster a pr...
Compliance Search Group New York, NY
Our Client, Seeks a compliance officer who will provide day-to-day compliance coverage of the Markets Clearing business of the firm. The Candidate will include advising the business on matters concerning the clearing of OTC derivatives. He/she will report to the Future Commission Merchant (FCM) Chief Compliance Officer. Responsibilities will include: • Advise the business to ensure compliance with...
Compliance Search Group New York, NY
Global Bank seeks a Compliance or Attorney professional to provide advice, counsel and guidance to investment bankers, institutional sales and traders regarding research and investment bank matters. Responsibilities: • Provide day-to-day compliance advisory services supporting the Investment Banking, Capital Markets and Research departments. • Develop or enhance existing compliance program. • Advi...
Compliance Search Group New York City, NY, 10018
Mutual Fund and Asset Management Compliance Officer The Compliance Search Group Contact:Jack Kelly - ***** Description: A global money management firm seeks a Senior Compliance Officer in the Fund Chief Compliance Officer Group which supports the firms Fund Chief Compliance Officer and Fund Boards. The candidate will report to the Compliance Manager within the group and work...
Compliance Search Group Syracuse, NY, 13202
Chief Compliance officer- Independent Community Bank An independent community bank, with a multi-state branch network, seeks a Chief Compliance Officer who will be responsible for developing, implementing and administering all aspects of the Bank's Compliance Risk Management Program through close working relationships with Management and Compliance Coordinators for each Line of Business and Suppor...
Compliance Search Group new york, NY
Structured Products Counsel-Investment Bank Global Investment bank seeks an experienced attorney to advise the business concerning Structured Notes, Structured Products, Market-Linked Products, Derivatives and other related products. The Counsel will advise structures’, salespersons and traders who create and market new proprietary indices, shelf-registered derivatives and privately placed securit...
Compliance Search Group New York, NY
Alternatives Investment Compliance Officer An Investment bank seeks a Compliance professional to oversee their alternatives investments division. This unit includes hedge funds, private equity, real estate and other non-traditional asset classes. Responsibilities Include: • Provide advisory Compliance support to the Alternatives businesses which offer investment solutions to institutional and high...
Compliance Search Group New York, NY
Midtown New York based start-up focused on the intersection of social media, news, recruiting and job boards seeks both full and part time professionals to assist us in our growth. If you have marketing, sales, administrative, recruiting experience and/or drive and ambition we would love to speak with you. If you are interested please submit your resume to our office assistant Naphky Robert - NRob...
Compliance Search Group New York, NY
Our Client, a top Global bank, seeks an Audit Director for their Internal Audit organization. The candidate will be responsible for developing and delivering the overall strategic approach and Anti-Bribery and Corruption Compliance Assurance Program providing independent assurance for compliance with regulatory and corporate requirements of anti-bribery and corruption. Key Responsibilities: • Cont...
Compliance Search Group New York, NY
One of the leading global banks, seeks an individual for their Internal Audit Organization. The firms’ Internal Audit division provides independent assessments of the company's governance, risk management and internal control environment for key stakeholders including the Board of Directors, senior management and numerous regulators globally. This role provides the Internal Audit organization with...
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