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3 New Compliance Positions – 2 Equity Trading Compliance roles and Prime Brokerage Compliance	The Compliance Search Group LLC Upon experience	New York City, NY	25 Nov 09

Top-tier investment bank seeks 2 Equity Trading Compliance roles and Prime Brokerage Compliance.

Alternatives Investment Group and Structured Investments Compliance	Morgan Stanley not disclosed	USA-NY-New York City	25 Nov 09

See job description below

Compliance Assessment - Analyst	Morgan Stanley not disclosed	USA-NY-New York City	25 Nov 09

See job description below

Equity and Prime Brokerage - Regulatory Oversight/Surveillance Officer	Morgan Stanley not disclosed	USA-NY-New York City	25 Nov 09

See job description below

Head of Operations Compliance	Morgan Stanley not disclosed	USA-NY-New York City	25 Nov 09

See job description below

Private Banking Compliance Officer	Credit Suisse Competitive	USA-NY-New York City	25 Nov 09

PB Compliance Officer

Alternative Investments Senior Compliance Officer	Credit Suisse Competitive	USA-NY-New York City	25 Nov 09

Senior Compliance Officer

Director, Compliance Officer – Fixed Income Trading	Barry Shoot & Associates 150K - 175K Base + Bonus	New York City, NY	24 Nov 09

The Director, Fixed Income Compliance will focus primarily on ensuring that the fixed income business meets i...

Compliance Officer - Portuguese/Spanish Speaking	Michael Page 120,000-200,000	Manhattan, NY, 10174	24 Nov 09

International financial institution seeks a Compliance Officer for its New York broker-dealer. The position wi...

Institutional Brokerage Compliance Associate	Susquehanna International Group, LLP Commensurate with experience	USA-NY-New York City	24 Nov 09

fixed income compliance corporate bonds

Compliance- Regulatory Securities Operations	Deutsche Bank competitive/ DOE	New York, NY, 10005	24 Nov 09

About Deutsche Bank A Passion to Perform. It’s what drives us. More than a claim, this describes the way we...

Compliance - Regulatory (trains in NY - relocates to Jacksonville, FL)	Deutsche Bank competitive/ DOE	New York, NY, 10005	24 Nov 09

About Deutsche Bank A Passion to Perform. It’s what drives us. More than a claim, this describes the way we...

Compliance -Asset Management	Deutsche Bank competitive/ DOE	New York, NY, 10005	24 Nov 09

About Deutsche Bank A Passion to Perform. It’s what drives us. More than a claim, this describes the way ...

Compliance Associate	Lazard Asset Management Competitive - commensurate with experien...	Manhattan, NY, 10020	22 Nov 09

LAZARD ASSET MANAGEMENT seeks a COMPLIANCE ASSOCIATE. This position offers a unique and challenging opportuni...

Chief Compliance Officer - Global Investment Advisor	Capstone Investment Advisors, LLC Salary plus Bonus	New York, NY, 10005	20 Nov 09

Global Derivatives Fund is seeking seasoned CCO to join our New York City Headquarters Location.

Legal Documentation (ISDA) Negotiator – Investment Bank New York	The Compliance Search Group LLC Based on Experience	New York City, NY	16 Nov 09

This person will work in the Legal and Compliance Department which provides legal support to the entire Bank.

Compliance Officer	Robert Half International Base and Bonus	New York, NY, 10167	13 Nov 09

Compliance Officer-Asset Management-40 ACT

AVP - Compliance Surveillance	Moody's Corporation Not Specified	USA-NY-New York City	13 Nov 09

ResponsibilitiesDepartment: Compliance. Moody's Compliance Department operates globally and covers MIS, MA and...

AVP Compliance - Technology	Moody's Corporation Not Specified	USA-NY-New York City	13 Nov 09

ResponsibilitiesThe Role The AVP Compliance Officer will work for an entity operating in an evolving global re...

Director Regulatory Compliance	The Forum Group Base salary, bonus and benefits.	New York, NY, 10016	11 Nov 09

Our client, a global investment bank seeks a Director level compliance professional specifically focused on ba...

AVP - Compliance	Moody's Corporation Not Specified	USA-NY-New York City	11 Nov 09

ResponsibilitiesDepartment: Moody's compliance function operates globally to provide compliance support, guida...

Trading Risk Analyst	Orbis Investment Management Competitive	New York City, NY	10 Nov 09

This job is located in Bermuda

Director Monitoring and Testing	The Forum Group Base plus bonus	New York, NY, 10016	09 Nov 09

Leading financial services firm is looking to bring on a Director of Compliance to manage the Monitoring and T...

Compliance Officer	The Forum Group Base plus bonus	New York, NY, 10016	09 Nov 09

International Bank and B/D is looking for help for a broad compliance candidate.

VP- Bank Regulatory Compliance	Marcus & Associates 140-180k with performance based bonus	New York, NY, 10036	20 Oct 09

Unique oppurtunity to join an elite team at an Investment Bank with a growing presence in Manhattan. Company ...

Director of Equities Compliance	Howard-Sloan Professional Search salary plus bonus	New York, NY, 10016	16 Oct 09

The Director of ECM Origination, Syndicate and Special Equities Compliance is responsible for managing complia...

Fixed Income Compliance Analyst	Morgan Stanley not disclosed	USA-NY-White Plains	25 Nov 09

See job description below

Mid Level Hedge Fund Compliance	Michael Page 125,000 -170,000	Greenwich, CT, 06830	23 Nov 09

Global Hedge Fund is looking to add a mid level compliance officer. The ideal candidate will have 4 -7 years o...

Compliance Associate	Not Disclosed competitive	Greenwich, CT	19 Nov 09

A mid-sized registered investment adviser in Greenwich Connecticut is seeking a compliance associate. The can...

Compliance Assistant for Broker Dealer and related Registered Investment Advisor	Not Disclosed Full-time Permanent Position	Greenwich, CT, 06830	18 Nov 09

Compliance assistant will assist CCO with all compliance and regulatory matters.

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