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Compliance Search Group jobs - New York, NY

Viewing 1 - 10 of 159 jobs

  • Consumer Banking Compliance Examiner

    Compliance Search Group - New York, NY

    activities, ascertaining adherence to and compliance with consumer protection laws and regulations that ... and remediation of mortgage related compliance risks found during the assessment process. •Track and...

    17 hours ago from The Ladders

  • Capital Markets Attorney with 3-5 years of corporate experience

    BCG Attorney Search - New York, NY

    as with advising public companies on ongoing securities compliance and disclosure (13D/G, Section 16, etc.), ... law reporting obligations and related regulatory and compliance matters. The principal law office is located in...

    6 days ago from BCG Attorney Search

  • Senior Compliance Officer - Market Surveillance

    Compliance Search Group - New York, NY

    who will be responsible for providing independent Compliance coverage for the Equities, Fixed Income, ... candidate will work alongside specialists in Product Compliance, the sales and trading business, technology and...

    7 days ago from The Ladders

  • Compliance Officer - Surveillance

    Compliance Search Group - New York, NY

    with regulatory rules, partnering with product compliance to resolve questionable trading patterns, and ... years of experience in capital markets or securities compliance or regulation. · Strong regulatory, product and...

    7 days ago from The Ladders

  • Senior Compliance Analyst, Policies & Procedures

    Compliance Search Group - New York, NY

    Discuss as needed regulatory developments with Group and Compliance Directors to ensure awareness and help determine ... • Work independently or with P&P Group, other members of Compliance and/or various members of other departments, to coor...

    21 days ago from The Ladders

  • Compliance Manager

    Standard Chartered Bank - Manhattan, NY

    Risk Committee (CORC), Process Governance Committee, and Group Business Risk Committee, Anti Money Laundering ... * Focus on Regulations, regulatory compliance and associated operational risks, cross border Legal & Compliance issues a...

    1 day ago from eFinancial Careers

  • Control Room Compliance Officer, Regulatory Affairs & Compliance

    Compliance Search Group - New York, NY

    candidate that would join the Control Room Compliance Group, which is responsible for Research and Investment ... with other members of the Control Room Compliance Group and Compliance Department in carrying out the assigned...

    21 days ago from The Ladders

  • Vice President Consumer Compliance Generalist

    Compliance Search Group - New York, NY

    initiatives, compliance monitoring and dual employment compliance branch reviews. Responsibilities: • Offer ... in compliance monitoring activities • Assist the on compliance-related business impact analyses, driven by changes to...

    30+ days ago from The Ladders

  • Product Marketing Manager

    Switch Digital Search - New York, NY

    Company DescriptionSwitch Digital Search ( is an NYC-based talent provider for tech-focused ... provider of privacy governance services globally, powering compliance for more than $2 billion of advertising and...

    14 hours ago from ZipRecruiter

  • Compliance Alternative, Director

    Compliance Search Group - New York, NY

    Job Responsibilities: • Assist in the development and/or revising procedures designed to ensure compliance with the Inve ... Qualifications: • Minimum of 5 years of experience in securities compliance with a mutual fund and/or investment adviser...

    30+ days ago from The Ladders