Jobs by Simply Hired

Search for Jobs

Job Title, Skills, or Company

City, State, or ZIP

Compliance Search Group jobs - New York City, NY

Viewing 1 - 10 of 62 jobs

  • Senior Fixed Income Compliance Officer

    Compliance Search Group - New York City, NY

    personnel in a fast paced, high-pressure environment. The Compliance Officer will be responsible for covering the ... matters to be distributed internally. • Conduct compliance training regarding new and existing regulations and firm...

    3 days ago from eFinancial Careers

  • Chief Compliance Officer

    Compliance Search Group - New York City, NY

    compliance environment, technical guidance on specific compliance matters, and supervision of the Compliance Officer ... including actual or potential compliance program violations. • Manages the Compliance Officer and BSA Department.

    20 days ago from The Ladders

  • Senior Audit Manager

    The Execu|Search Group - New York City, NY

    of experience in areas related to Banking regulations, Compliance programs, local standards, and Internal Policies ... Degree in a related field * Knowledge of Financial Services Compliance regulations, standards, and standard business...

    30+ days ago from Execu-Search

  • VP-Advisory Compliance Officer

    Jack Kelly - the Compliance Search Group - New York City, NY

    Responsibilities: • The VP / Advisory Compliance Officer for Portfolio Management (PM) and Debt Capital Markets (DCM) wi ... (e.g., team meetings; one-on-one; Compliance Bulletins; Annual Compliance Meetings) to educate the respective...

    30+ days ago from The Ladders

  • Audit Manager - Consumer Compliance

    The Execu|Search Group - New York City, NY

    Consumer Compliance division. In this role, the Consumer Compliance Audit Manager develops and executes a robust ... subject matter expertise regarding consumer regulatory compliance control disciplines * Solid business...

    30+ days ago from Execu-Search

  • Director of Investment Management Compliance

    The Execu|Search Group - Manhattan, NY

    is currently seeking a Director of Investment Management Compliance. This is an excellent opportunity in which the ... Investment Management Compliance will: * Monitor investment compliance * Prepare and deliver quarterly compliance issues...

    30+ days ago from Execu-Search

  • Senior Audit Manager - Compliance & ORC Audit

    The Execu|Search Group - New York City, NY

    for a promising Senior Management opportunity within their Compliance & ORC division. The Senior Audit Manager will be ... for: * Developing a forward-looking view of governance, compliance and operational risks * Driving the audit...

    30+ days ago from Execu-Search

  • Vice President - Professional Ethics Compliance Officer

    Compliance Search Group - New York City, NY

    enterprise-level conflicts policies. • Work with Compliance Advisory to resolve and escalate employee related ... Principle Business Responsibilities: • Compliance Advisory will work with the Professional Ethics to resolve and...

    30+ days ago from The Ladders

  • Director, Compliance - Back Office Operations

    Compliance Search Group - Jersey City, NJ

    and an auditor’s curiosity to help drive the firm’s compliance assessment program. This position requires excellent ... and end to end assessments) for purpose of validating compliance with SEC, FINRA, other SROs requirements and...

    13 days ago from The Ladders

  • Director, Compliance Assessments - Capital Markets

    Compliance Search Group - Jersey City, NJ

    and an auditor’s curiosity to help drive the firm’s compliance assessment program. Primary Responsibilities -Develop ... including but not limited to, capital markets compliance subject matter. -Excellent interpersonal and written and...

    13 days ago from The Ladders