Compliance Search Group jobs - New York, NY

Viewing 1 - 10 of 37 jobs

• 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...

  4 days ago from TheLadders.com

• Associate Director of Telehealth

  Execu|search Group - New York, NY

  staff under his/her direction Oversees documentation compliance within telehealth department Manages weekend/holiday telehealth coverage Regularly interacts with representatives of all Home and Continuing Care agencies to ensure a seamless...

  2 days ago from Doostang

• 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...

  4 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

• 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.

  12 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...

  4 days 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...

  25 days ago from TheLadders.com

• Financial Crime Compliance - Enhanced Due Diligence

  Compliance Search Group - New York, NY

  of clear and concise written recommendations to compliance management outlining any potential risks uncovered ... projects and initiatives related to the Financial Crime Compliance program, e.g., policies and procedures, risk...

  30+ days ago from TheLadders.com

• Compliance Operational Risk Management - Director Level

  Compliance Search Group - New York, NY

  compliance risk management program. Work with the corporate compliance subject matter experts to develop and implement ... Work with business unit compliance officers to ensure that compliance risk assessments are designed and performed...

  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 floor...

  30+ days ago from TheLadders.com