Compliance Search Group Jobs & Careers - Page 3


51 Compliance Search Group jobs found on Monster.

Jobs 41 to 51 of 51
Compliance Search Group Philadelphia, PA
A Major asset management firm seeks a Senior Compliance Associate who will be responsible for assisting in the development, implementation and maintenance of the Firm’s regulatory compliance program including the development of compliance policies, procedures and processes and the performance of compliance tests. Responsibilities: • Assist in the development, implementation and maintenance of co...
Compliance Search Group New York, NY
A top-tier global bank seeks a Senior Fixed Income Compliance Officer within the firm’s Institutional Client Group (ICG), supporting G10 Rates and Securitized Markets Trading and Sales, and the Markets Quantitative Analysis product areas. The Candidate must have strong working knowledge of fixed income products, securities, and derivatives. Primary responsibilities include providing day-to-day C...
Compliance Search Group Newark, NJ
A Financial services firm seeks a Compliance Policies, Procedures & Training Manager who will supports Compliance’s efforts to foster the firm’s compliance with applicable regulations and laws, particularly through the development, distribution, and maintenance of written policies and procedures and dissemination of relevant news and information. The Candidate will develop original compliance tra...
Compliance Search Group New York, NY
A global bank seeks an Anti-Bribery and Corruption (ABC), Compliance Officer who will be responsible, along with the Regional Head of ABC for assisting with the implementation of aspects of the ABC compliance program and in the development of a robust ABC programme and the strategic direction of the ABC programme within the firm. The Candidate will act as a subject matter expert on bribery and co...
Compliance Search Group Philadelphia, PA
Our client, an established global investment firm, is seeking a qualified Risk Analyst with at least three years of risk management and/or audit experience. They will be responsible for leading, managing, or supporting audits or examinations that support regulatory or client requirements. They will also be responsible for documenting internal controls, maintaining risk registers and control matric...
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: ...

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