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Compliance Officer - Advertising

The Compliance Search Group Fairfax, VA +2 locations

• Reviews and approves advertising and other communications with the public pursuant to regulatory rules and regulations • Reviews and approves radio… TheLadders.com

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Financial Planning Compliance

The Compliance Search Group Fairfax, VA

• Reviews and approves advertising and other communications with the public pursuant to regulatory rules and regulations • Reviews and approves radio… TheLadders.com

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Hedge Fund & Hedge Fund - Funds Due Diligence

Compliance Search Group Philadelphia, PA

• Develop and maintain relationships with product distributors and capital introduction groups to identify industry and client-demand trends… TheLadders.com

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Enhanced Due Diligence - Compliance Analyst

The Compliance Search Group New York, NY

The role will be responsible for analyzing and advising on the risk presented by high risk (“special focus”) customers, analyzing and advising on… TheLadders.com

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Bank Monitoring and Surveillance Compliance Officer

The Compliance Search Group New York, NY

Include: - Comprehend and document the data capture capabilities across all U.S. Bank products - Develop and automate data extraction interfaces… TheLadders.com

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Asset Management Compliance Officer

The Compliance Search Group Los Angeles, CA +2 locations

• Manage and execute the firm’s compliance due diligence and oversight program of external portfolio managers to comply with federal and state… TheLadders.com

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Compliance Officer - Bank Testing AVP

The Compliance Search Group New York, NY

will include: • Assist in the review of bank entities, the holding companies, related businesses, and/or support areas with a view towards… TheLadders.com

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Senior Compliance Analyst

The Compliance Search Group Dallas, TX

will include: · Review and approve marketing materials including mutual fund and institutional materials · Review registered representative emails… TheLadders.com

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Director, Investment Advisory Compliance

The Compliance Search Group New York, NY

• Implement, maintain, and manage IA Compliance Program. • Supervise the IA compliance unit. Report directly to the IA Chief Compliance Officer… TheLadders.com

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Hedge Fund Compliance Associate

Compliance Search Group Greenwich, CT

include: • Maintenance of private pools (side letter monitoring, board of director’s minutes and meeting materials, fund offering documents… TheLadders.com

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Updated Jul 12, 2014

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