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Sponsored Jobs
Director-Retirement Compliance (J5242)
BarkerGilmore, LLC -
Los Angeles, CA
| is responsible for compliance coordination and... is an executive search firm dedicated to delivering world-class Senior Compliance Professionals, Counsel... |
From eFinancialCareers.com - 2 days ago
Institutional Equity Compliance Officer - Regulatory Control...
Legend Global Search, Inc. -
New York, NY
| Institutional Equity Compliance Officer - Financial Services Company - Compliance, Risk Management Institutional Equity Compliance Officer - Regulatory Control... |
From eFinancialCareers.com - 1 day ago
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Compliance Search -
New York
a broker-dealer affiliate seeks a Compliance Officer. The Compliance Officer will be involved with the... Compliance Officer will review and oversee Compliance...
From Compliance Search - 10 hours ago
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Compliance Search -
New York, NY
persons lists. • Review and amend Form ADV. • Compliance liaison to regulators during regulatory exams... of general brokerage compliance • Strong knowledge of...
From Compliance Search - 3 days ago
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Compliance Search -
New York
+2 locations
Assistance with fund updates and compliance reviews • Assistance with compliance and fund libraries of... work experience, compliance experience strongly...
From Compliance Search - 4 days ago
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Compliance Search -
New York
+4 locations
Firms Compliance Operations team members • Develop, implement and maintain Americas compliance policies... compliance projects that arise from the compliance...
From Compliance Search - 4 days ago
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Compliance Search -
London, OH
submissions. • Manage compliance duties relating to... and brokers/dealers. • Develop and implement compliance policies and procedures. • Provide training and...
From Compliance Search - 4 days ago
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Compliance Search -
Dallas, TX
+3 locations
external reviews to ensure compliance with Firm and securities rules and regulations. Qualifications • Minimum 5 years securities compliance/legal or comparable...
From Compliance Search - 4 days ago
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Compliance Search -
New York
for compliance reporting Participate in general compliance projects that arise from the firms compliance oversight activities • Perform compliance functions in...
From Compliance Search - 4 days ago
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Compliance Search -
New Jersey
+2 locations
to identify compliance deficiencies in the business unit. • Executes periodic compliance checks to monitor procedural compliance. • Completes all appropriate...
From Compliance Search - 4 days ago
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Compliance Search -
New York
as compliance assistant in the Legal and Compliance... the Firm's Compliance Officer. This individual will be responsible for assisting the Compliance staff to...
From Compliance Search - 4 days ago
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Compliance Search -
New York
Investment Company compliance program as it applies... maintaining the current compliance program, revising and developing compliance policies and procedures as...
From Compliance Search - 4 days ago
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Sponsored Job
Director, Compliance
Howard-Sloan Professional Search -
Los Angeles, CA
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Companies is seeking a Compliance Director to manage the compliance program for a large investment... is responsible for compliance coordination and...
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From eFinancialCareers.com - 8 days ago
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