Compliance Search

Compliance Search Jobs & Careers in Jersey City, NJ

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Show:  All Results Last 7 Days
30+ days ago

Electronic Trading Compliance Officer

The Compliance Search Group New York, NY

but not limited to: • Equities: Magic DMA platform, AES, Cross finder/Lite Pool, SMG; • Futures; • Global Macro Products: Rates, FX, Commodities… TheLadders.com


30+ days ago

Compliance Director, Investment Surveillance

The Compliance Search Group New York, NY

• Manage a small group of compliance and trading surveillance staff. • Assist with the advisor compliance program, including implementation and… TheLadders.com


22 days ago

Senior Compliance Manager - AML / KYC

The Compliance Search Group New York, NY

• Compliance contact person for US based clients and employees in the New York office • Process and coordinate account openings on the system… TheLadders.com


30+ days ago

Manager & Consulting, Investment Management

The Compliance Search Group New York, NY

• Assist with the preparation or review of Forms ADV, PF, CPO-PQR and development of policies and procedures under Rule 206(4)-7 or Rule 38a… TheLadders.com


18 days ago

Asset & Wealth Management Regulatory Compliance Officer

The Compliance Search Group New York, NY

The Compliance Officer is to provide advisory Compliance support relating to Active and Passive portfolio management business lines. The successful… TheLadders.com


30+ days ago

Compliance Director - Investment Advisory

The Compliance Search Group New York, NY

include: • Work with compliance groups and legal to enhance and maintain the compliance/control environment by assisting with assessment and… TheLadders.com


30+ days ago

Volcker Compliance Program Manager - VP

The Compliance Search Group New York, NY

, and ensure sponsors, project participants and key stakeholders are briefed accordingly • Ensure neutrality position is maintained to take… TheLadders.com


4 days ago

Operational Compliance VP

The Compliance Search Group New York, NY

• Participate in regulatory examinations and respond to regulatory inquiries relating to Operations • Develop and implement compliance policy in… TheLadders.com


30+ days ago

Compliance Associate - Hedge Fund

The Compliance Search Group New York, NY

include: • Maintenance of firm’s compliance program, compliance calendars, regulatory filings, etc. • Knowledge and understanding of the… TheLadders.com


30+ days ago

Compliance - Distressed Debt, Loan Trading

The Compliance Search Group New York, NY

• Identify, evaluate and resolve potential Information Barrier risks associated with business groups. • Advise businesses on accessing information… TheLadders.com


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