Compliance Search Group jobs

The compliance role will report to the Chief Compliance Officer and have responsibility ... etc) and testing to ensure compliance with Compliance Manual, including monitoring... more

Fund. The firm seeks an experienced trading compliance professional to join their team. ... in designing and developing effective compliance procedures and controls in support... more

Key Responsibilities Supporting Compliance initiatives including writing ... Advising management on significant compliance matters and issues; Interacting... more

and other stakeholders throughout the Group on legal risk. Assist in the handling and resolution of client complaints and potential litigation relating to the funds business. more

for entire branch office Communicate compliance, sales practice and legal issues ... of certain transactions that require Compliance and/or legal intervention... more

financial services firm, seeks a Field Compliance Manager. Responsibilities include: ... - Handle complaints. - Follow-up and track compliance and supervision operations. -... more

This individual will provide advisory compliance support for the Institutional Equity ... projects. Job Responsibilities: Provide Compliance support for equity and derivative... more

Compliance, assist in the oversight of the compliance program of the firms US divisions, ... Compliance Monitoring Perform specialized compliance exams based on regulatory... more

and personal trading compliance Monitor compliance with insider trading procedures, ... retention oversight Monitor and coordinate compliance activities of other departments... more

Work with management to ensure regulatory compliance with proxy voting rules, ... (Trading, Portfolio Management, Legal, Compliance, Internal Audit, Fund Accounting,... more

Clearly and effectively communicate compliance policies internally Review ... Conduct compliance training Regulatory Assist in the reviewing / implementing changes in r... more

Compliance Monitoring Perform specialized compliance exams based on regulatory ... are compliant with the firms Compliance Program and regulatory... more

Compliance Officer in managing the firm's compliance platform, including implementation ... or other analytical major 5-10 years of compliance experience in corporate finance,... more

policies and procedures applicable to AML Compliance for the Investment Bank Stay ... on internal committees and projects Provide compliance support for audit and exam... more

Our client seeks an Assistant General Counsel for their U.S. Bank Operations. Responsibilities: Has responsibility for advising the Executive Vice President, General Counsel and... more

will support the General Counsel and Chief Compliance Officer and have diversified ... accounting on bill tracking -Maintaining compliance documents and data - Create... more

Services firm is seeking a Bank Regulatory Compliance officer. Responsibilities include: ... support to the Bank Regulatory Compliance unit Other ad hoc duties and... more

Our client, a top-tier financial services firm is looking for someone with a minimum of 7 years experience preferably with or previously out of state regulator. - 50% of this role... more

testing and reporting, with other groups compliance, as well as Audit, Legal, ... the Annual Compliance Report attesting to compliance with applicable rules, including... more

sovereigns. Strong knowledge of general compliance issues such as supervision, ... T; FR-2004 reporting; primary dealer compliance program; Treasury Market Best... more

The company seeks an Administrative/Compliance Manager for their leading Los Angeles offic ... The Branch Compliance/Administration manager will be responsible for a variety of activiti... more

Trading Compliance (Institutional Securities Group) Our client, a top-tier financial ... projects. Job Responsibilities: Provide Compliance support for municipal sales and... more

annual Supervisory and Internal Control and Compliance Risk Assessment Methodology ... Previous experience: o Minimum of five years of compliance, audit, and/or regulatory expe... more

assess, and manage risks related to compliance. Primary responsibilities will ... specifically related to consumer compliance regulations (e.g., Federal Reserve... more

and internal counsel, operation personnel, compliance coverage, etc. as required, to ... and provide advice to business and compliance personnel. Respond to real time... more

Providing regulatory/compliance training as needed ... Ability to make, support and defend difficult and complex regulatory/compliance decisions... more

strategic direction of the regulatory and compliance audit coverage of the Bank. This ... with respect to appropriate regulatory and compliance internal audit coverage. The Audit... more

Compliance Manager will be a member of the Compliance Department and will help to ensure ... owners/review deadlines and personnel. The Compliance Manager will be responsible for... more

Exchange Trading Permit Holder (TPH) compliance with trading rules and procedures designed to provide a fair and equitable options and stock marketplace, including providing real... more

cycle requirements Perform testing of compliance and regulatory related controls to ... and conduct compliance reviews Work with Compliance and Business colleagues to prepare... more

Implementing the Firms comprehensive compliance initiative, including a calendar ... and procedures to standardize routine compliance tasks Supervising paralegal tasks... more

Compliance Officer-Products will manage compliance projects related to sales and ... lines Lead the process of publishing Compliance Alerts, Compliance Manuals and... more

of legal requirements as applied to the compliance and investment management ... and administering and implementing compliance procedures from scratch. A... more

Compliance Officer will team with the Chief Compliance Officer to develop and maintain ... procedures, testing and monitoring compliance controls, conducting compliance... more

division of an investment bank seeks a Compliance professional to be involved with ... and conduct compliance reviews. Work with Compliance and Business colleagues to prepare... more

investment adviser is seeking a Trading Compliance Specialist with primary ... reports for clients Assist in annual compliance reviews by performing test work... more

ratings agency seeking an experienced compliance professional to supervise the ... He/she will also provide guidance on trading to Compliance and company stakeholders, manag... more

Regulatory Consumer Compliance Manager/Senior Manager several positions Job Description M ... and maintaining effective regulatory compliance programs. The Management... more

assess, and manage risks related to compliance. Primary responsibilities will ... specifically related to consumer compliance regulations (e.g., Federal Reserve... more

(NY/NJ, or DE, or Greater Chicago Metro) The Analytics & Design (A&D) group is responsible ... Coverage Strategy, AML Operations, and LOB Compliance in areas requiring quantitative... more

compliancesearch.com The Compliance Search Group is the oldest, largest and most ... search firm focused on the placement of Compliance, Legal, Risk Management, Audit,... more

Compliance Associate. Anti-Money Laundering Compliance Associate for an International ... account opening, monitoring, reporting and compliance reviews. developing effective... more

open for a Financial Holding Company Compliance Monitoring and Testing Manager. ... Qualifications: 5+ years of compliance testing and/or audit/risk review background... more

of equity and derivatives trading for Compliance. Responsibilities include: ... compliance documentation. Qualifications: 4+ years of Compliance surveillance... more

Exclusive engagement to find a Sr. Manager, Compliance to report directly to the VP, CECO ... other industries will be considered) compliance partner to join a 1.1 billion euro... more

reviews of placements on the various search engines. Participate in creative ... industry and company legal, regulatory and compliance rules and regulations. Success... more

the Director of Hospital Compliance or Chief Compliance Officer. 9. Presents report to ... support billing and clinical documentation compliance. 2. Performs literature search on... more

and master documents including labeling. Compliance: Manage GMP Training Program and ... leadership and assistance to assure compliance to microbial standards in the... more

to the Compliance Manager. ? Work with Compliance Manager in assuring compliance ... 515-987-0242 ext 452. Capstone Insurance Search Group is a search firm dedicated to... more

a Bank Group Compliance Manager. The Bank Group Compliance (BGC) team provides ... and Core Compliance and providing compliance coverage for the firms wholesale... more