Compliance Associate - Broker Dealer
Compliance Associate Ideal candidate has Broker Dealer experience in Surveillance Marketing & Regulatory affairs.Perform...
Compliance Examiner / Manager (Broker Dealer) - Marsh & McLennan Companies Corporate - New York, NY
Compliance Examiner / Manager (Broker Dealer) - Marsh & McLennan Companies Corporate - New York, NY Marsh & McLennan Companies... exchanges. As a Compliance Examiner / Manager in the Broker Dealer department of Marsh & McLennan Companies Corporate...
VP, Advertising, Marketing Material Review Compliance
Compliance Search Group - New York City, NY
VP, Advertising, Marketing Material Review Compliance Our client, a high-net-worth division of an investment bank, seeks a Marketing... Material Compliance professional. This individual will be responsible for the review and approval of marketing material and communications...
VP Compliance - Derivatives Trading / Broker Dealer
VP Compliance - Derivatives Trading / Broker Dealer Our client, a top international diversified Financial Services firm, is seeking... an experienced VP Compliance with prior compliance experience covering Derivatives Trading and Broker Dealer businesses.Position Responsibilities: ...
Director, US Tax Compliance and Audit - New York City
This is a rare opportunity to join this Fortune 500 firm as a Director of US Tax Compliance and Audits to be base in New York City... compliance experience and have a strong focus on international taxation, including, foreign tax credit calculation and div ......
Position Purpose: Work directly with the Head of US Regulatory Controls and Examination Compliance to support the US Capital Markets... platform and ensure compliance with applicable regulatory requirements. Provide related reporting with respect to Internal and External Management...
Executive Assistant Compliance
Citi - New York City, NY
Education Level: High School Diploma/GED Description This position will provide support to the Global Head of Compliance and team for Citi...
Compliance Director Sales Practices
Citi - Long Island City, NY
Education Level: Bachelor's Degree Description This position will report into the Citi US Consumer and Small Business Head of Compliance... and be responsible for the Fair Lending and Compliance Sales Practice Compliance program. This position will serve as a leader in the continuous development...
Head of Compliance Architecture
Citi - New York City, NY
Education Level: Bachelor's Degree Description The Head of Compliance Architecture / MD is a senior management compliance position... with responsibility for leading a centralized Global Compliance group that supports Compliance teams around the world and the Citi Compliance Program in...
Compliance Manager, Deposits and Operations Job
Capital One - Melville, NY
Compliance Manager, Deposits and Operations-716823DescriptionCompliance Manager, Deposits and OperationsCapital One is hiring... for a Compliance Manager/Advisor. This important role is part of the Corporate Compliance, Bank Deposit Compliance team supporting several lines...
Director, Audit--Compliance Job
Capital One - Melville, NY
Director, Audit--Compliance-632558DescriptionCapital One is seeking a Compliance Audit DirectorCorporate Audit Services, the Internal Audit... you will oversee professional internal audits and projects focused on regulatory compliance and risk management practices, as well as perform advanced...
Manager, Audit--Compliance Job
Capital One - Melville, NY
Manager, Audit--Compliance-632559DescriptionCapital One is seeking Manager, Compliance AuditCorporate Audit Services, the Internal Audit... or conduct compliance audits, supervising the audit staff on each engagement, while designing and executing compliance requirements and internal...
Individual will be responsible for providing compliance support for various broker-dealer related activities, reporting to the Senior... Compliance Officer in the NY Office. Duties include: • Primary responsibility will be to administer/oversee/conduct the monitoring and testing...
Fixed Income sales & trading floor Compliance Attorney
Compliance Search Group - New York City, NY
Fixed Income sales & trading floor Compliance Attorney Our client is a top-tier Global Investment Bank and they are in need of a primary... Compliance Officer who will be providing regulatory and compliance advice to several key Credit Risk Management areas in the Investment Bank...
Head of Compliance Mortgage Banking Testing Program
Compliance Search Group - New York City, NY
Head of Compliance Mortgage Banking Testing Program Our client is a top-tier financial services firm and they are seeking a Head... of Compliance for their Mortgage Banking Testing Program. The Head of Compliance Mortgage Banking Testing Program will develop, execute and lead the...
Compliance Manager - Information Provider Company
Compliance Search Group - New York City, NY
Compliance Manager - Information Provider Company Our client, an information data provider, seeks a Compliance Manager who... will be responsible for a variety of key functions required to meet regulatory requirements of the registered investment adviser compliance program of the...
VP, Associate General Counsel - Compliance Advisory
Compliance Seach Group - New York City, NY
VP, Associate General Counsel - Compliance Advisory Our client is a top-tier Global Investment Bank and they are in need of a primary VP..., Associate General Counsel – Compliance Advisory: Credit Risk Management The Candidate will be providing regulatory and compliance...
Assistant General Counsel / Compliance Advisory
Compliance Search Group - New York City, NY
Assistant General Counsel/ Compliance Advisory - Fixed Income Credit RiskOur client is a top-tier financial services firm... and they are seeking an Assistant General Counsel. The company is looking for an attorney for a real time compliance advisory position, located on trading...
Compliance Manager - Information Provider Company
Compliance Search Group - New York City, NY
Compliance Manager - Information Provider Company Our client, an information data provider, seeks a Compliance Manager who... will be responsible for a variety of key functions required to meet regulatory requirements of the registered investment adviser compliance program of the...
Management Consultant - Bank Compliance & Regulatory
The Compliance Search Group - New York City, NY
Management Consultant - Bank Compliance & Regulatory Our client is an international well-respected Management Consulting firm..., assess, and manage risks related to compliance. Primary responsibilities will include: * Conducting compliance reviews* Assisting clients...