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| Senior Compliance Officer: Investment Bank | Ashton Lane Group, Inc Excellent Base & Bonus | New York City, NY, 10001 | 06 Jul 08 |
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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 |
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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 |
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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 |
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Market Surveillance - International Finance
| Compliance Officer - Registered Investment Adviser | Legend Global Search, Inc. $75K | New York, NY, 10036 | 03 Jul 08 |
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Compliance Officer - Registered Investment Adviser and Broker-Dealer
| Manager Anti- Money Laundering Advisory | E. D. Starr & Company Competitive | New York, NY | 03 Jul 08 |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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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 |
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See below
| Retirement Compliance Testing Manager | Vanguard Commensurate | Valley Forge, PA, 19482 | 01 Jul 08 |
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See below
| Compliance Manager | Vanguard Depends on experience | Scottsdale, AZ, 85260 | 01 Jul 08 |
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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 |
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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 |
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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 |
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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 |
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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 |
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10 Billion Dollar plus hedge fund is looking to bring on a junior level compliance officer. This role will wor...