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NY,
CA,
NJ,
MA,
CT,
PA,
IL,
AZ
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New York City,
San Francisco,
Jersey City,
King of Prussia, More...
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UK,
Singapore,
China,
Luxembourg,
Australia,
France,
UAE,
Japan,
Ireland,
Italy,
Switzerland,
Belgium,
Saudi Arabia, More...
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Senior Compliance Officer: Investment Bank
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Ashton Lane Group, Inc
Salary: Excellent Base & Bonus
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New York City, NY, 10001 |
06 Jul |
| Responsible for a variety of regulatory and compliance functions of a global investment bank. |
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AVP Regulatory Reporting Compliance
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Ashton Lane Group, Inc
Salary: Excellent Base & Bonus
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Morristown, NJ, 07960 |
06 Jul |
| Manage the broker regulatory reporting requirements for a global investment bank. |
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Compliance Associate - Securities and Compliance Officer - Broker-Dealer
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Legend Global Search, Inc...
Salary: $120K and $75K
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New York, NY, 10036 |
03 Jul |
| Securities Compliance Associate at Prime Brokerage Firm, Compliance Officer at Broker-Dealer of Registered Investment Advisor... |
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Market Surveillance Managing Director
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Legend Global Search, Inc...
Salary: $175K
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New York, NY, 10036 |
03 Jul |
| Market Surveillance - International Finance |
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Compliance Officer - Registered Investment Adviser
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Legend Global Search, Inc...
Salary: $75K
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New York, NY, 10036 |
03 Jul |
| Compliance Officer - Registered Investment Adviser and Broker-Dealer |
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Manager Anti- Money Laundering Advisory
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E. D. Starr & Company
Salary: Competitive
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New York, NY |
03 Jul |
| Top Ranked Anti-Money Laundering Advisory Practice |
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Equities Compliance Officer
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Not Disclosed
Salary: Salary will be $110 to $1...
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New York, NY, 10016 |
02 Jul |
| Our client a full service Investment Bank is looking for a senior Compiance Officer to manager the day to day Compliance resp... |
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Chief Compliance Officer (CCO)
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Not Disclosed
Salary: Competitive base salary,...
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New York City, NY |
02 Jul |
| Our client, a respected foreign institutional broker dealer is seeking a CCO to run their internal compliance function. |
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Compliance (Sales and Marketing) - Broker Dealer
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Not Disclosed
Salary: The salary on offer is at...
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Boston, MA, 02110 |
02 Jul |
| Our client requires a Manager of Broker Dealer Compliance, with primary focus on the review of Sales and Marketing materials.... |
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Director of Ethics & Risk
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Michael Page
Salary: the salary on offer is at...
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Boston, MA, 02110 |
02 Jul |
| Our Client is a Global Investment Managment firm and is looking for a Director of Ethics and Risk.
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Fixed Income Trading Compliance
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Michael Page
Salary: $130-160k
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Stamford, CT |
02 Jul |
| Top tier investment bank seeks a Fixed Income Trading Compliance person to face off to the traders in the credit markets grou... |
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Control Room Analyst
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Michael Page
Salary: $130-160k
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Stamford, CT |
02 Jul |
| Join a control room as a strong #2 with the opportunity for growth into a leadership position. |
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Banking Opportunities
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Not Disclosed
Salary: $80K - $150K plus bonus
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New York, NY, 10176 |
02 Jul |
| Immediate openings at a top-tiered international bank and investment bank. Candidates with compliance, M&A corporate finance... |
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Senior Compliance Officer
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BBVA
Salary: Competitive
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New York City, NY |
02 Jul |
| This position is responsible for ensuring overall compliance with a variety of institutional broker-dealer regulatory require... |
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Director SOX Compliance, Reporting
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Huffman Associates LLC
Salary: 150-175k base, + year end...
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USA-NY-New York City |
02 Jul |
| The Director of SOX Compliance and Reporting will develop the risk assessment and strategy used to support the firm’s evaluat... |
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Associate General Counsel
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Not Disclosed
Salary: Base salary, bonus and be...
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New York City, NY |
01 Jul |
| Our client, a global, top tier investment investment bank is seeking a Associate General Counsel within their Antitrust Compl... |
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Director, Asset Mgmt Compliance
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Howard-Sloan Professional...
Salary: Highly Competitive Base S...
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San Francisco, CA |
01 Jul |
| Global Investment Bank is looking for a seasoned compliance professional to manage the asset management compliance program.... |
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Director of Regulatory Affairs
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Not Disclosed
Salary: base plus bonus
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New York, NY, 10036 |
01 Jul |
| Institutional broker/dealer has a newly created postion for a Director of Regulatory Affairs; JD required |
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Director, Equity and Fixed Income Surveillance (R5217)
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Barker & Gilmore, LLC
Salary: Base & Bonus
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New York, NY |
01 Jul |
| Large and respected financial institution seeks Surveillance Manager for desirable New York, NY location. |
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Compliance Analyst
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BNY Mellon Asset Manageme...
Salary: DOE
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New York, NY, 10166 |
01 Jul |
| Assisting in administering the Compliance Program for Dreyfus and MBSC (investment advisers). Design and perform testing on a... |
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Client Compliance - Senior Associate
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Not Disclosed
Salary: Market rate
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San Francisco, CA, 94105 |
01 Jul |
| The primary responsibility of the Compliance position is to ensure that MCM is in compliance with the rules and regulations o... |
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Deputy AML Officer
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BNY Mellon Asset Manageme...
Salary: DOE
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New York, NY, 10166 |
01 Jul |
| You will be responsible for the day-to-day management of the AML function. |
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Retirement Compliance Testing Administrator
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Vanguard
Salary: Commensurate
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Valley Forge, PA, 19482 |
01 Jul |
| See below |
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Retirement Compliance Testing Manager
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Vanguard
Salary: Commensurate
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Valley Forge, PA, 19482 |
01 Jul |
| See below |
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Compliance Manager
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Vanguard
Salary: Depends on experience
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Scottsdale, AZ, 85260 |
01 Jul |
| Vanguard, one of the world's leading investment management companies, has a management-level position for an experienced comp... |
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Product Manager - Compliance
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Eze Castle Software, A BN...
Salary: DOE
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Boston, MA, 02210 |
01 Jul |
| Eze Castle Software is currently seeking a Product Manager to join its Product Management Team. The right candidate will pla... |
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Attorney with Hedge Fund Formation & Investment Management Experience
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The Boldon Group
Salary: Excellent
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San Francisco, CA, 94101 |
29 Jun |
| Our client is seeking an attorney with at least four and no more than seven years experience in all aspects of the fund manag... |
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Records Manager - Asset Management
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Not Disclosed
Salary: 150,000 - 350,000
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Manhattan, NY, 10174 |
27 Jun |
| The Director of Information and Document Risk Management is responsible for the development and oversight of all components o... |
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Junior Compliance Officer
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Not Disclosed
Salary: 80,000 - 150,000
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New York, NY, 10174 |
27 Jun |
| Our compliance associates assist with the organization, administration and enforcement of the company’s compliance program.... |
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Hedg Fund Compliance Officer
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Not Disclosed
Salary: 90,000 - 150,000
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New York, NY, 10174 |
27 Jun |
| 10 Billion Dollar plus hedge fund is looking to bring on a junior level compliance officer. This role will work along side th... |
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Jobs: Compliance / Regulatory (1-30 of 307 Jobs)
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