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Compliance Manager
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Not Disclosed
Salary: Base Salary Plus Bonus
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New York, NY, 10017 |
12 Mar |
| A top-tier, multi-billion dollar asset management firm is looking to hire a Compliance Manager who MUST have at least 5 to 10... |
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Compliance Analyst
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MacKay Shields LLC
Salary: Commensurate with Experie...
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New York, NY, 10019 |
12 Mar |
| MacKay Shields has grown steadily over the years through rapidly changing market environments. We offer products across US an... |
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Compliance Consultant
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New York Life Investment...
Salary: Commensurate with experie...
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Parsippany, NJ, 07054 |
12 Mar |
| Compliance Consultant for NYL Investments (part-time) |
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Compliance Consultant
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New York Life Investment...
Salary: Salary plus bonus
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Parsippany, NJ, 07054 |
12 Mar |
| The Marketing Material Review Unit of the New York Life Investments’ Compliance area was established to support business unit... |
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Institutional Brokerage Compliance Associate
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Susquehanna International...
Salary: Commensurate with experie...
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New York City, NY |
12 Mar |
| fixed income compliance corporate bonds |
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Branch Office Examinations & Internal Controls Testing VP
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The Compliance Search Gro...
Salary: Upon Experience
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New York, NY |
12 Mar |
| Perform an integral role in the firm's ability to meet mandatory branch office review requirements, and assist as needed in t... |
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Compliance Manager
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Hirtle Callaghan & Co., I...
Salary: Base plus bonus
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West Conshohocken, PA, 19428 |
12 Mar |
| The Compliance Manager will support the Chief Compliance Officer, having primary responsibility for implementation of Hirtle... |
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Director- Compliance Risk
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The Forum Group
Salary: Base salary, bonus and be...
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New York, NY, 10016 |
12 Mar |
| Our client, a global investment banks seeks a compliance professional to run their Compliance Risk Review team. This team is... |
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Associate - Market Review Compliance
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The Forum Group
Salary: Base salary, bonus and be...
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New York, NY, 10016 |
12 Mar |
| Applicants should have 3-5 years of experience in a marketing material review position in an investment advisory firm. A wor... |
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Compliance Officer III
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BNY Mellon Asset Manageme...
Salary: negotiable
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Norwalk, CT |
11 Mar |
| EACM Advisors LLC is a leading investment advisory firm specializing in multi-manager investment programs for institutional a... |
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Chief Compliance Officer
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BNY Mellon Asset Manageme...
Salary: negotiable
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Pittsburgh, PA |
11 Mar |
| CCO manages aspects of an investment advisory compliance program which spans Cash Investment Strategies money market investm... |
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Director of Regulatory Audit Compliance
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Michael Page
Salary: Base plus bonus.
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Long Island City, NY, 11101 |
11 Mar |
| The Director within the Regulatory/Legal team is to aligned to the business and plan execute and manage audit assignments in... |
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Fixed Income Compliance Officer
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Societe Generale
Salary: Commensurate with experie...
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New York City, NY |
11 Mar |
| This position is in the US Legal and Compliance Department and is for a MARK (Global Markets) Compliance Officer – Fixed Inco... |
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Associate, Investor Portfolio Performance Support (Investment Management)
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Northwest
Salary: Highly competitive (base...
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Stamford, CT |
11 Mar |
| This position will provide a combination of business and technical operations support for the team that is responsible for in... |
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OFAC Compliance
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The Forum Group
Salary: Base plus bonus
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New York City, NY |
10 Mar |
| Our client, an international Bank, B/D and IBD is looking to bring a compliance officer to help manager the OFAC Sanctions Pr... |
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Chief Complaince Officer-International Bank (NYC)
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SRI Search
Salary: commensurate with experie...
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New York, NY, 10019 |
10 Mar |
| International Foreign Bank operating in the U.S. is seeking a Head of Compliance Office for the NY Office to implement compl... |
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Chief Complaince Officer-International Bank (MIAMI)
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Not Disclosed
Salary: commensurate with experie...
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Miami, FL, 33180 |
10 Mar |
| International Foreign Bank operating in the U.S. is seeking a Chief U.S. Compliance Officer to supervise, monitor and overse... |
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Product Manager – OATS & Market Data Systems
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UNX LLC
Salary: Salary
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New York, NY |
10 Mar |
| Accurate reporting of OATS information to FINRA and Market Data distribution data to applicable vendors. In addition, this ro... |
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SENIOR COMPLIANCE OFFICER
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BNP Paribas Investment Pa...
Salary: Competitive
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Boston, MA |
10 Mar |
| Currently, BNP Paribas’ asset management business line, BNP Paribas Investment Partners (BNPP IP), has an excellent career op... |
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Futures/Currency/Options Trade Compliance
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Michael Page
Salary: 125,000 -170,000
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Stamford, CT, 06901 |
10 Mar |
| Leading Global Hedge Fund is looking for a mid to senior level trade compliance officer with experience overseeing the future... |
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CDO Compliance Analyst
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Career Group Search
Salary: Base plus discretionary b...
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Los Angeles, CA |
10 Mar |
| Our client, a successful investment management firm based in Los Angeles, is looking for an experienced CDO Analyst to help w... |
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Hedge Fund Compliance Officer
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Michael Page
Salary: 100,000 - 150,000
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Manhattan, NY, 10174 |
09 Mar |
| Hedge Fund is looking compliance officer with 3-7 years of hands on experience at a hedge fund or asset manager. Investment A... |
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Reconciliation Analyst
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Societe Generale
Salary: Commensurate with experie...
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New York City, NY |
09 Mar |
| Responsibilities include: 1) Managing DPDI related GL Reconciliations 2) Resolution of Auto-Reconciliation System breaks 3)... |
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Control Room Specialist
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Societe Generale
Salary: Commensurate with experie...
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New York City, NY |
09 Mar |
| Responsible for the day-to-day Control Room surveillance, the maintenance of the Watch and Restricted List and helping to vet... |
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Compliance Associate – Terra Nova Financial
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Flex Execs Management Sol...
Salary: N/A
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Chicago, IL |
08 Mar |
| Our client, Terra Nova Financial, LLC is a specialized financial services firm focused on supporting trading professionals.... |
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5 New Compliance Positions: Monitoring & Testing; Product Compliance; Customer Complaints, Anti-Money Laundering & more
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The Compliance Search Gro...
Salary: Upon experience
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New York City, NY |
05 Mar |
| The Compliance Search Group seeks a number of Compliance professionals for top-tier financial services firms. |
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Asset Management Compliance, Investment Bank – VP
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The Compliance Search Gro...
Salary: Upon Experience
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New York, NY |
05 Mar |
| Our client is an international asset management firm. |
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Basel II Compliance Manager
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Not Disclosed
Salary: Base salary plus bonus
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Chicago, IL, 60606 |
04 Mar |
| * 8+ years of project management or internal audit experience.
* Strong working knowledge of Basel II rules and regulations.... |
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Compliance Officer
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OTR Global
Salary: 100,000 base salary plus...
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Purchase, NY, 10577 |
04 Mar |
| The Compliance Officer will be responsible for the coordination and implementation of firm-wide compliance programs for OTR G... |
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Director, Fixed Income Compliance Officer
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BNP PARIBAS
Salary: not disclosed
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New York, NY |
04 Mar |
| See job description below |
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