Compliance Search Group
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A private investment firm is looking for a compliance associate, who will report directly to the General Counsel/Chief Compliance Officer. The Compliance Associate will be responsible for day to day management of the compliance program for $4bn+ distressed debt hedge fund that is a Registered Investment Advisor. MAJOR RESPONSIBILITIES • Management, implementation and maintenance of firm’s complian...
A top-tier global investment bank seeks a Wealth Director. Primary Responsibilities: • Implement, maintain, and manage IA Compliance Program. • Supervise the IA compliance unit. Report directly to the IA Chief Compliance Officer. • Work closely with business to ensure regulations and firm policies are well understood and incorporated into workflow. • Help to limit the firm’s regulatory and reputat...
Our Client, a top tier bank, is looking for a Compliance officer to help with the compliance of all of the funds work and the distribution of the funds on an international level. The Compliance Officer would be supporting the investment management, private banking as well. The ideal candidate must have experience with UCITS or private funds. PRINCIPAL RESPONSIBILITIES • Provide compliance support...
Compliance Search Group Philadelphia, PA
A Global Asset management firm seeks a Senior Portfolio Compliance Analyst. He/She will report to the Manager, Portfolio Compliance and will support the goals of the portfolio compliance team as directed by the Director - Enterprise Risk Management. Some of the primary responsibilities will include the review and interpretation of new fixed income accounts’ investment restrictions, assisting in th...
Compliance Search Group Dallas, TX
A global alternative credit manager firm seeks a Senior Compliance Analyst who will be responsible for working with several different entities and with various levels of the organization. The Candidate will be supporting the compliance functions of the firm’s Broker-Dealer (B/D) and retail Registered Investment Advisor’s (RIAs), however he or she will also provide support to the firm’s institution...
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