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 wit...
Management Consulting Practice Leader
Compliance Search Group - New York City, NY
Management Consulting Practice Leader New York or Chicago, Illinois Well respected Management Consulting firm seeks to hire an experience Compliance or Regulatory professional to lead their new practice. The practice will initially focus on offering an array of Complia...
Branch Administrative and Compliance Manager
Compliance Search Group - Philadelphia, PA
Branch Administrative and Compliance Manager The high-net-worth brokerage division of a major investment bank seeks a Branch Administrative Manager for their Washington, DC and Philadelphia offices.The Regional Administrative Manager (RAM) will be responsible for implementing and...
Branch Administrative and Compliance Manager
Compliance Search Group - Washington DC
Branch Administrative and Compliance Manager The high-net-worth brokerage division of a major investment bank seeks a Branch Administrative Manager for their Washington, DC and Philadelphia offices.The Regional Administrative Manager (RAM) will be responsible for implementing and...
Compliance Search Group - Wilmington, DE
Compliance Manager Our client, a top-tier financial services firm, seeks a Compliance Manager to coordinate and assist in the development of policies, processes and procedures to implement laws and regulations, support and participate in compliance training, respond to and resear...
Compliance Search Group - Wilmington, DE
Compliance Manager Our client, a top-tier financial services firm, seeks a Compliance Manager to coordinate and assist in the development of policies, processes and procedures to implement laws and regulations, support and participate in compliance training, respond to and resear...
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, i...
Management Consultant - Consumer Bank Compliance & Regu
Compliance Search Group - New York City, NY
Management Consultant - Consumer Bank Compliance & Regu Our client is an international well-respected Management Consulting firm with a specialization in risk and advisory services. The Management Consultants are full-time salaried employees that work with client companies t...
Branch Administrative and Compliance Manager
Compliance Search Group - Philadelphia, PA
Branch Administrative and Compliance Manager The high-net-worth brokerage division of a major investment bank seeks a Branch Administrative Manager for their Washington, DC and Philadelphia offices.The Regional Administrative Manager (RAM) will be responsible for implementing and...
Branch Administrative and Compliance Manager
Compliance Search Group - Washington DC
Branch Administrative and Compliance Manager The high-net-worth brokerage division of a major investment bank seeks a Branch Administrative Manager for their Washington, DC and Philadelphia offices.The Regional Administrative Manager (RAM) will be responsible for implementing and...
Compliance Search Group - Philadelphia, PA
Branch Administrative Manager High-net-worth brokerage division of a major investment bank seeks a Branch Administrative Manager for their Philadelphia office.The Regional Administrative Manager (RAM) will be responsible for implementing and ensuring that internal and e...
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 fi...
VP, Investment Advisory Attorney Investment Bank
Compliance Search Group - New York City, NY
VP, Investment Advisory Attorney Investment Bank This position will be responsible for supporting the firm’s advisory business and it will report to a Senior Attorney. Primary responsibilities will include providing legal support to senior management with regard to iss...
Branch / Region Compliance Manager
Compliance Search Group - Irvine, CA
Branch / Region Compliance Manager Our client, a top-tier financial services firm, seeks a Field Compliance Manager. Responsibilities include:- Assist Managing Partner in Agent Supervision.- Complete Unannounced Annual Reviews.- Review upcoming 3010 Mail.- Review outgoing co...
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 flo...
VP, Investment Advisory Attorney - Investment Bank
Compliance Search Group - New York City, NY
VP, Investment Advisory Attorney - Investment Bank This position will be responsible for supporting the firm’s advisory business and it will report to a Senior Attorney. Primary responsibilities will include providing legal support to senior management with regard to i...
Hedge Funds Attorney, VP - Investment Bank
Compliance Search Group - New York City, NY
Hedge Funds Attorney, VP - Investment Bank The high-net-worth client division of an investment bank seeks an Attorney for their alternative funds business.Main DutiesProvide expert and timely advice particularly in relation to law and regulation of investment funds firm-wide, pri...
Hedge Funds Attorney, VP - Investment Bank
Compliance Search Group - New York City, NY
Hedge Funds Attorney, VP - Investment Bank The high-net-worth client division of an investment bank seeks an Attorney for their alternative funds business.Main Duties:Provide expert and timely advice particularly in relation to law and regulation of investment funds firm-wide, pr...
Branch / Region Compliance Manager
Compliance Search Group - Irvine, CA
Branch / Region Compliance Manager Our client, a top-tier financial services firm, seeks a Field Compliance Manager. Responsibilities include:- Assist Managing Partner in Agent Supervision.- Complete Unannounced Annual Reviews.- Review upcoming 3010 Mail.- Review outgoing co...
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 fi...