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Senior Compliance Officer: Investment Bank Ashton Lane Group, Inc Excellent Base & Bonus New York City, NY, 10001 06 Jul 08

Responsible for a variety of regulatory and compliance functions of a global investment bank.

AVP Regulatory Reporting Compliance Ashton Lane Group, Inc Excellent Base & Bonus Morristown, NJ, 07960 06 Jul 08

Manage the broker regulatory reporting requirements for a global investment bank.

Compliance Associate - Securities and Compliance Officer - Broker-Dealer Legend Global Search, Inc. $120K and $75K New York, NY, 10036 03 Jul 08

Securities Compliance Associate at Prime Brokerage Firm, Compliance Officer at Broker-Dealer of Registered Inv...

Market Surveillance Managing Director Legend Global Search, Inc. $175K New York, NY, 10036 03 Jul 08

Market Surveillance - International Finance

Compliance Officer - Registered Investment Adviser Legend Global Search, Inc. $75K New York, NY, 10036 03 Jul 08

Compliance Officer - Registered Investment Adviser and Broker-Dealer

Manager Anti- Money Laundering Advisory E. D. Starr & Company Competitive New York, NY 03 Jul 08

Top Ranked Anti-Money Laundering Advisory Practice

Equities Compliance Officer Not Disclosed Salary will be $110 to $140 depending on... New York, NY, 10016 02 Jul 08

Our client a full service Investment Bank is looking for a senior Compiance Officer to manager the day to day ...

Chief Compliance Officer (CCO) Not Disclosed Competitive base salary, bonus and benef... New York City, NY 02 Jul 08

Our client, a respected foreign institutional broker dealer is seeking a CCO to run their internal compliance ...

Compliance (Sales and Marketing) - Broker Dealer Not Disclosed The salary on offer is at the top of the... Boston, MA, 02110 02 Jul 08

Our client requires a Manager of Broker Dealer Compliance, with primary focus on the review of Sales and Marke...

Director of Ethics & Risk Michael Page the salary on offer is at top of the mar... Boston, MA, 02110 02 Jul 08

Our Client is a Global Investment Managment firm and is looking for a Director of Ethics and Risk.

Fixed Income Trading Compliance Michael Page $130-160k Stamford, CT 02 Jul 08

Top tier investment bank seeks a Fixed Income Trading Compliance person to face off to the traders in the cred...

Control Room Analyst Michael Page $130-160k Stamford, CT 02 Jul 08

Join a control room as a strong #2 with the opportunity for growth into a leadership position.

Banking Opportunities Not Disclosed $80K - $150K plus bonus New York, NY, 10176 02 Jul 08

Immediate openings at a top-tiered international bank and investment bank. Candidates with compliance, M&A co...

Senior Compliance Officer BBVA Competitive New York City, NY 02 Jul 08

This position is responsible for ensuring overall compliance with a variety of institutional broker-dealer reg...

Director SOX Compliance, Reporting Huffman Associates LLC 150-175k base, + year end bonus USA-NY-New York City 02 Jul 08

The Director of SOX Compliance and Reporting will develop the risk assessment and strategy used to support the...

Associate General Counsel Not Disclosed Base salary, bonus and benefits. New York City, NY 01 Jul 08

Our client, a global, top tier investment investment bank is seeking a Associate General Counsel within their ...

Director, Asset Mgmt Compliance Howard-Sloan Professional Search Highly Competitive Base Salary + Bonus San Francisco, CA 01 Jul 08

Global Investment Bank is looking for a seasoned compliance professional to manage the asset management compli...

Director of Regulatory Affairs Not Disclosed base plus bonus New York, NY, 10036 01 Jul 08

Institutional broker/dealer has a newly created postion for a Director of Regulatory Affairs; JD required

Director, Equity and Fixed Income Surveillance (R5217) Barker & Gilmore, LLC Base & Bonus New York, NY 01 Jul 08

Large and respected financial institution seeks Surveillance Manager for desirable New York, NY location.

Compliance Analyst BNY Mellon Asset Management DOE New York, NY, 10166 01 Jul 08

Assisting in administering the Compliance Program for Dreyfus and MBSC (investment advisers). Design and perfo...

Client Compliance - Senior Associate Not Disclosed Market rate San Francisco, CA, 94105 01 Jul 08

The primary responsibility of the Compliance position is to ensure that MCM is in compliance with the rules an...

Deputy AML Officer BNY Mellon Asset Management DOE New York, NY, 10166 01 Jul 08

You will be responsible for the day-to-day management of the AML function.

Retirement Compliance Testing Administrator Vanguard Commensurate Valley Forge, PA, 19482 01 Jul 08

See below

Retirement Compliance Testing Manager Vanguard Commensurate Valley Forge, PA, 19482 01 Jul 08

See below

Compliance Manager Vanguard Depends on experience Scottsdale, AZ, 85260 01 Jul 08

Vanguard, one of the world's leading investment management companies, has a management-level position for an e...

Product Manager - Compliance Eze Castle Software, A BNY ConvergEx Group Company DOE Boston, MA, 02210 01 Jul 08

Eze Castle Software is currently seeking a Product Manager to join its Product Management Team. The right can...

Attorney with Hedge Fund Formation & Investment Management Experience The Boldon Group Excellent San Francisco, CA, 94101 29 Jun 08

Our client is seeking an attorney with at least four and no more than seven years experience in all aspects of...

Records Manager - Asset Management Not Disclosed 150,000 - 350,000 Manhattan, NY, 10174 27 Jun 08

The Director of Information and Document Risk Management is responsible for the development and oversight of a...

Junior Compliance Officer Not Disclosed 80,000 - 150,000 New York, NY, 10174 27 Jun 08

Our compliance associates assist with the organization, administration and enforcement of the company’s compli...

Hedg Fund Compliance Officer Not Disclosed 90,000 - 150,000 New York, NY, 10174 27 Jun 08

10 Billion Dollar plus hedge fund is looking to bring on a junior level compliance officer. This role will wor...

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