The Forum Group Jobs & Careers in New York, NY
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Compliance Branch Manager – new
The Forum Group – New York, NY
will include : Drafting policies and procedures, testing policies and procedures. Work with FINRA, SEC and other regulators on exams and inquiries Supervise reps and…
eFinancialCareers – 2 days ago
Chief Compliance Officer – new
The Forum Group – New York, NY
• Develops, updates and advises on the Branch’s and Dealers policies and procedures where appropriate due to regulatory requirements, industry practices, and internal…
eFinancialCareers – 2 days ago
VP Compliance Policies and Procedures – new
The Forum Group – New York, NY
• Conduct governance reviews of compliance policies to meet review cycle requirements • Support adhoc requests to update compliance policies based upon changing…
eFinancialCareers – 2 days ago
Senior Operational Risk – new
The Forum Group – New York, NY
include: • Assist the Capital Markets Operational Risk team in meeting the requirements of the Sarbanes-Oxley Act. • Demonstrate in depth product, business and front…
eFinancialCareers – 2 days ago
Regulatory Reporting Senior Specialist – new
The Forum Group – New York, NY
-Prepares other departmental and matter management reports as needed…
eFinancialCareers – 2 days ago
AVP Compliance Risk Review – new
The Forum Group – New York, NY
Opportunity to join the Global Compliance Risk Review team (“CRR”) supporting the Compliance Risk Review Program for the Americas. The CRR program is designed to…
eFinancialCareers – 2 days ago
VP Financial Crime AML Testing – new
The Forum Group – New York, NY
• Participate in other ad hoc reviews based on regulatory and management expectations. • Build and maintain effective working relationships with key business areas…
eFinancialCareers – 2 days ago
Compliance Officer - Corporate Finance – new
The Forum Group – New York, NY
• Advise Corporate Finance business areas on firm policies and procedures and applicable securities laws and FINRA regulations • Identify regulatory trends and…
eFinancialCareers – 2 days ago
Banking Compliance Officer – new
The Forum Group – New York, NY
The compliance office should have very strong understanding of Federal Reserve and OCC regulations. The compliance officer will meet wtih the business to advise…
eFinancialCareers – 2 days ago
VP - Investment Adviser Testing & Monitoring – new
The Forum Group – New York, NY
include: • Assist in the planning and conducting of compliance inspections of for the Bank’s Investment Advisors and Investment Companies. May also assist in other…
eFinancialCareers – 2 days ago
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www.forumgrp.com
Local Company Rating Based on 2 ratings Employees are “Dissatisfied” |
Looking for jobs at The Forum Group? See what their employees are saying…
Trainer at The Forum Group:
“Don't have their consultants best interests at heart”
Jun 2, 2011
Pros: “1. They work hard at getting you the assignment 2. While in the process of hiring, they are great "communicators" 3. Friendly staff” – Full Review
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Updated Jun 01, 2012
