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Compliance Search Group jobs - New York, NY

Viewing 1 - 10 of 29 jobs

  • 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...

    22 days ago from TheLadders.com

  • Vice President / Assist Manager Regulatory Inquiry Group

    Compliance Search Group - New York, NY

    The candidate would act as the Assistant Manager for the group that researches, analyzes and responds to regulatory ... and operations personnel, external and internal counsel, compliance coverage, etc., as required to investigate,...

    30+ days ago from TheLadders.com

  • Structured Products, FX & Options Compliance, Director

    Compliance Search Group - New York, NY

    effort in respect of Sales and Trading Compliance coverage development and the roll-out of bespoke Compliance ... product areas THE COMPLIANCE SEARCH GROUP, the leading and most trusted executive search firm in the nation...

    22 days ago from TheLadders.com

  • Municipal Securities Compliance

    Compliance Search Group - New York, NY

    Municipal Securities Compliance Top tier investment bank seeks an experienced Municipal Securities Compliance ... of compliance issues/tasks simultaneously THE COMPLIANCE SEARCH GROUP, the leading and most trusted executive search...

    22 days ago from TheLadders.com

  • Equities Trading Floor Compliance - VP

    Compliance Search Group - New York, NY

    In addition, the candidate will: • Lead the Compliance Advisory program to assess the regulatory/compliance controls of ... environment; THE COMPLIANCE SEARCH GROUP, the leading and most trusted executive search firm in the nation...

    22 days ago from TheLadders.com

  • VP - Fixed Income Sales and Trading Compliance

    Compliance Search Group - New York, NY

    Basic Qualifications: • 4-year college degree • 4+ years of compliance and/or regulatory experience in broker or banking ... • Must have experience providing real time Compliance advice to Sales/Trading areas...

    22 days ago from TheLadders.com

  • Derivatives Compliance Manager

    Compliance Search Group - New York, NY

    for preparing the Annual Compliance Report attesting to compliance with applicable rules, including coordinating the ... derivatives compliance strongly preferred. Prior legal or compliance experience related to regulatory requirements,...

    30+ days ago from TheLadders.com

  • Hedge Fund Compliance Associate

    Financial Services Company - New York, NY

    Hedge Fund Compliance Associate A top Hedge Fund seeks a Compliance Associate. The role of a Compliance Administrator ... degree required (minimum GPA 3.2). THE COMPLIANCE SEARCH GROUP, the leading and most trusted executive search...

    22 days ago from TheLadders.com

  • Compliance Operational Risk Management - Director Level

    Compliance Search Group - New York, NY

    •Oversee content and guide delivery of compliance risk assessment training programs to business unit compliance ... experience in development of a global compliance risk assessment program. Risk management, audit or compliance...

    30+ days ago from TheLadders.com

  • Compliance Officer - FX Advisory Compliance.

    Compliance Search Group - New York, NY

    • Providing regulatory/compliance training as needed ... • Ability to make, support and defend difficult and complex regulatory/compliance decisions in a fast-paced trading floo...

    30+ days ago from TheLadders.com

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