Compliance Search Group jobs - New York, NY

Viewing 1 - 10 of 20 jobs

• Bank Compliance Testing & Monitoring VP

  Compliance Search Group - New York, NY

  Bank Compliance Testing & Monitoring VP Global Corporate/Wholesale Bank/Broker Dealer seeks a Bank Compliance Officer DE ... • Performing special projects assigned by the Local Compliance Officer or Chief Compliance Officer. EXPERIENCE...

  9 hours ago from TheLadders.com

• Securities Compliance Officer - VP

  Compliance Search Group - New York, NY

  compliance officer will advise on the regulatory and compliance aspects of US and foreign equity related matters ... surveillance of equity transactions for market abuses and compliance with supervisory requirements. • Advise on...

  9 hours ago from TheLadders.com

• Compliance Analyst - Employee Trading

  Compliance Search Group - New York, NY

  Compliance Analyst - Employee Trading A top-tier ratings agency, seeks a Compliance Analyst to assist, manage and ... support such as the preparation of Compliance training materials • Ongoing liaison with the business and...

  7 days ago from TheLadders.com

• Bank Compliance Officer, AVP

  Compliance Search Group - New York, NY

  testing program. o Ongoing management and execution of compliance monitoring activities on a risk-assessed basis ... o Performing special projects assigned by the Local Compliance Officer or Chief Compliance Officer.

  7 days ago from TheLadders.com

• Senior Compliance Auditor

  Compliance Search Group - New York, NY

  Senior Compliance Auditor Our client, a top-tier ratings agency, seeks a Senior Compliance Auditor. Within this position ... •Experienced compliance or internal auditor, compliance monitoring professional or regulatory examiner with an...

  7 days ago from TheLadders.com

• VP - Compliance Officer - Swap Dealer

  Compliance Search Group - New York, NY

  global CCO Compliance Program for Swap Dealers to ensure compliance with all applicable regulatory requirements.Swap ... • Ability to make, support and defend difficult and complex regulatory/compliance decisions in a fast-paced trading floo...

  7 days ago from TheLadders.com

• Futures Trade Surveillance Compliance - VP

  Compliance Search Group - New York, NY

  enhance existing processes • Interact with the Futures Compliance and Technology teams • Liaise globally with Futures ... • Four-year college degree • 6+ years of Compliance or Regulatory experience • 3+ years prior experience...

  9 hours ago from TheLadders.com

• Central Compliance Officer VP

  Compliance Search Group - New York, NY

  Central Compliance Officer – VP Our client, a major investment banking firm seeks a Central Compliance Officer to lead ... (BAU) procedures for the various groups within Central Compliance. The functions of the Central Compliance team...

  21 days ago from TheLadders.com

• Sr. Global Anti-Money Laundering AML Operations

  Compliance Search Group - New York, NY

  at all levels • Manage Communications Network, a group of regional representatives tasks with various communications ... monthly Archer data collection process, and Compliance end-to-end metrics project Qualifications: •...

  7 days ago from TheLadders.com

• Financial Crime Compliance - Enhanced Due Diligence

  Compliance Search Group - New York, NY

  providers in the world is seeking an Financial Crime Compliance Enhanced Due Diligence Professional to assist in ... The ideal candidate will advise compliance management on potential client and/or transaction risk by conducting on deman...

  21 days ago from TheLadders.com