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Compliance Search Jobs & Careers in New York, NY

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Anti - Money Laundering Regional Coordinator - VP

The Compliance Search Group New York, NY

• Act as liaison between local branch office AML Compliance Officers and Global/Regional AML Compliance personnel. • Manage the Global Controls… TheLadders.com

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Surveillance Analyst - Institutional Brokerage

The Compliance Search Group New York, NY

• Review daily trade exception reports and trading activity to ensure compliance with appropriate rules, regulations, and firm policies • Conduct… TheLadders.com

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Alternatives Investment Compliance Officer

The Compliance Search Group New York, NY

They are interested in an experienced Compliance Officer to provide advisory Compliance support to the Alternatives Investment Teams in their asset… TheLadders.com

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Bank Secrecy Act / Anti-Money Laundering

The Compliance Search Group New York, NY

Candidate must also have knowledge of OFAC Compliance, and experience in reviewing transactions for compliance with U.S. Sanctions preferred… TheLadders.com

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U.S. Regulatory Affairs Compliance Officer

The Compliance Search Group New York, NY

The Compliance Officer will maintain/update Compliance policies and procedures, communicates changes to Compliance subject matter experts… TheLadders.com

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Director Private Bank - Compliance

The Compliance Search Group New York, NY

He/she will work with senior business management to effectively implement new regulations and guidance’s; assist business/product management in… TheLadders.com

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Regulatory Inquiries Compliance Officer

The Compliance Search Group New York, NY

include: • Research, analyze and respond to regulatory inquiries from SEC, CFTC, SROs relating to potential statutory and SRO/Exchange rule… TheLadders.com

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VP - Investment Compliance Analyst

Compliance Search Group New York, NY

• Review of compliance policies and procedures, quarterly certifications, and due diligence questionnaire responses to determine adequacy • Maintain… TheLadders.com

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Senior Surveillance Associate - Asset Management

The Compliance Search Group New York, NY

/Activities • Coding in Eze Castle software for all client investment guidelines. • Knowledge how to detect Eze Castle compliance alerts. • Trading… TheLadders.com

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Financial & Operations Compliance VP - Investment Bank

The Compliance Search Group New York, NY

Candidates should possess at least 6 years of related industry and/or regulatory experience. SEC or FINRA regulatory experience preferred… TheLadders.com

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Updated Jul 11, 2014

Glassdoor is the only job search with a view from the inside. 97 Compliance Search job opportunities in New York, NY - plus company salaries, reviews, and more posted by Compliance Search employees.