Compliance Search Group jobs

Viewing 1 - 10 of 1,000+ jobs

• Compliance Director, Sales Literature & Marketing Mater

  Compliance Search Group - New York, NY

  establishment, implementation and revision of compliance systems, policies and procedures.  9. Lead compliance ... and sales literature for compliance with FINRA and SEC requirements.  3. Candidate must have a thorough...

  3 days ago from Get Sales Manager Jobs

• Compliance - Monitoring, Surveillance and Investigations

  Compliance Search Group - New York, NY

  global investment bank seeks a Compliance professional to join a team of Compliance Officers to review of all ... from these divisions with a view towards assessing compliance with applicable laws, rules, policies and...

  1 day ago from Compliance Search Group

• Prime Brokerage Compliance Officer

  Compliance Search Group - New York, NY

  firm seeks a Prime Brokerage Compliance Officer for their New York Office. Responsibilities will include: ... that the Firms Prime Brokerage business operates in compliance with applicable regulations. Monitoring and...

  1 day ago from Compliance Search Group

• Hedge Funds Compliance Analyst

  Compliance Search Group - Connecticut

  well-respected, long-established hedge fund seeks a Compliance Analyst. The person will be involved with ... liaison with IT for new systems development projects for Compliance. This is a great opportunity to join a...

  1 day ago from Compliance Search Group

• Equities Trading Compliance Officer

  Compliance Search Group - Connecticut

  respected, well established hedge fund seeks a Compliance Officer to oversee trading matters. The person will ... should have 5-10 years of trading related Compliance experience. Please email resumes to Jack Kelly...

  1 day ago from Compliance Search Group

• Fixed Income Compliance Officer

  Compliance Search Group - New York, NY

  operate in compliance with securities regulation and securities law ... should have 2-3 years experience in implementing/auditing compliance with FINRA/SEC laws and regulations applicable...

  1 day ago from Compliance Search Group

• Chief Compliance Officer IA and Broker-Dealer

  Compliance Search Group - Alabama

  Advisor and Broker Dealer located in Alabama seeks a Chief Compliance Officer. The firm seeks a Chief Compliance ... purpose broker-dealer it would be helpful to also have Compliance experience at a brokerage firm. Please email...

  1 day ago from Compliance Search Group

• Asset Management - Investment Advisory Compliance Officer

  Compliance Search Group - New York, NY

  Management division of a global investment bank seeks a Compliance Officer. The Compliance professional will ... assisting in the development and maintenance of the firm's compliance program. ? Serve as a liaison between the...

  1 day ago from Compliance Search Group

• Trust Compliance Officer

  Compliance Search Group - New York, NY

  Division of a global investment bank seeks a Trust Compliance Officer. The Trust Compliance Officer will be ... implementation, ongoing maintenance and oversight of the compliance program. The Compliance Officer will advise...

  5 days ago from Compliance Search Group

• Director- Equities Sales and Trading Compliance

  Compliance Search Group - New York, NY

  and Trading Compliance officer. RESPONSIBILITIES: Provide compliance advice and guidance to business lines, firm ... and compliance support. Train business line and compliance support staff on relevant rules and...

  5 days ago from Compliance Search Group