Compliance Search Group Jobs & Careers - Page 3


49 Compliance Search Group jobs found on Monster.

Jobs 41 to 49 of 49
Compliance Search Group New York, NY
A top-tier global bank seeks a Volcker Metrics Monitor Professional (VMM) who will be responsible for supporting the front-office/trading desk Supervision program established to meet regulatory obligations under the Firm’s Volcker Program. The VMM performs on-going monitoring of metrics for monthly reporting to various regulatory bodies. Particular focus is given to assessing the reasonableness o...
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 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 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 Advisory firm seeks a Manager/Director in Financial Risk Management (FRM)-Regulatory Risk, who will be responsible for providing regulatory compliance advisory services to investment management institutions, specific to SEC rules and regulations, especially those under the Investment Advisers Act and Investment Company Act of 1940 Responsibilities: • Assist with the preparation or revi...
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
Global investment bank seeks a senior level Compliance Officer for their Investment Banking Division. Main Function: This candidate will provide primary compliance coverage for the firm’s M&A and FIG divisions in IBD and work in close coordination with other Private Side Compliance officers to provide product advisory compliance coverage for the firm’s Corporate Finance division. Main Duties: ...
Compliance Search Group Los Angeles, CA
Our client, a leading global alternative asset manager. The firm is currently in need of a Compliance Portfolio Associate for their Los Angeles office. They would like someone with some rule building/compliance system experience in addition to the following responsibilities:  Perform pre‐ and post‐trade compliance across a set of portfolios in accordance with investment guidelines.  Monitor p...
Compliance Search Group Los Angeles, 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...

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