Compliance Search Group jobs - Stamford, CT

Viewing 1 - 10 of 48 jobs

• Compliance Examiner - Capital Markets

  Compliance Search Group - Stamford, CT

  Compliance Examiner – Capital Markets Our client, a top-tier global investment bank is seeking a Compliance Examiner. ... or material weakness identified. Assist with other Compliance related projects as needed. Assist in supporting...

  24 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...

  1 day ago from Doostang

• 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...

  3 days ago from TheLadders.com

• 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...

  3 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.

  11 days 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...

  11 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...

  11 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...

  11 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...

  3 days ago from TheLadders.com