Compliance Search jobs in New York, NY

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Asset Management, ETF, Mutual Fund Compliance
The Compliance Search Group, LLC - 3 reviews - New York, NY 10018
$100,000 - $150,000 a year
Ad-hoc compliance projects. The Compliance person will be involved in a wide array of daily compliance responsibilities....
Private Bank seeks a KYC and AML Compliance Associate
The Compliance Search Group, LLC - 3 reviews - New York, NY 10018
$80,000 - $120,000 a year
The Senior KYC and Compliance Analyst will be responsible for supporting the Global Compliance Department in ensuring that all US and Non-US Private Wealth...
Department of Labor, Brokerage Compliance
The Compliance Search Group - 3 reviews - New York, NY 10018
$88,000 - $110,000 a year
Ability to identify and assess compliance risks. OtherDepartment of Labor and Enterprise Compliance related projects....

Compliance Associate, KYC and Onboarding

The Compliance Search Group - 3 reviews - New York, NY 10018 (Clinton area)
1-2 years of financial services industry regulatory compliance or related experience. Working alongside compliance and IT colleagues to vet and implement the...
Easily apply

Compliance Monitoring & Testing

The Compliance Search Group - 3 reviews - New York, NY 10018 (Clinton area)
O Perform on-site compliance reviews to:. Regulatory compliance (including privacy and large shareholdings);...
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Marketing, Communications, Advertising Compliance Review

The Compliance Search Group - 3 reviews - New York, NY 10018 (Clinton area)
The Marketing, Advertising and Sales Literature Compliance Review position is responsible for compliance matters relating to the Business Development Group (...
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Compliance VP to work within the Corporate Banking Business

The Compliance Search Group - 3 reviews - New York, NY 10018 (Clinton area)
Proven ability to command respect for decisions and ensure implementation / compliance. In plain English, the Compliance person will help make sure that sound...
Easily apply

Asset Management, ETF, Mutual Fund Compliance

The Compliance Search Group - 3 reviews - New York, NY 10018 (Clinton area)
Ad-hoc compliance projects. The Compliance person will be involved in a wide array of daily compliance responsibilities....
Easily apply

Compliance Officer, Counsel – Hedge Fund

The Compliance Search Group - 3 reviews - New York, NY 10018 (Clinton area)
Compliance Officer, Counsel – Hedge Fund*. The alternative investments division seeks a Compliance Officer and Counsel....
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Senior Compliance Analyst- Asset Management

The Compliance Search Group - 3 reviews - New York, NY 10018 (Clinton area)
Respond to compliance due diligence questionnaires, complete compliance certifications, and perform reviews of RFPs;...
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Anti-Money Laundering Compliance w. AML Surveillance Systems...

The Compliance Search Group - 3 reviews - New York, NY 10018 (Clinton area)
Anti-Money Laundering Compliance w. O 4 years of Financial Crime, Compliance and/or Regulatory experience. AML Surveillance Systems and Software*....
Easily apply

High-end Investment Management - Compliance Associate

The Compliance Search Group - 3 reviews - New York, NY 10018 (Clinton area)
Draft compliance memoranda. Lead various compliance program improvement initiatives. Prior compliance experience in Asset Management Industry....
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Chief Compliance Officer, Counsel - Alternative Investments

The Compliance Search Group - 3 reviews - New York, NY 10018 (Clinton area)
Chief Compliance Officer, Counsel*. The alternative investments division is building up its US operations and seeks a Chief Compliance Officer....
Easily apply
Municipal Bonds, Banking and Markets Compliance VP or Direct...
The Compliance Search Group, LLC - 3 reviews - New York, NY 10018
$150,000 - $220,000 a year
Escalate regulatory relations concerns to Compliance Executive. Conduct compliance risk assessments of Front Line Unit or Control Function....
Compliance VP to work within the Corporate Banking Business...
The Compliance Search Group, LLC - 3 reviews - New York, NY 10018
$120,000 - $150,000 a year
In plain English, the Compliance person will help make sure that sound and ethical business practices are followed....

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