Sr. Compliance Officer jobs - Parsippany, NJ

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Apr 14 Compliance Officer Asset Manager - Finance Industry New York, NY

and communicate to clients regarding any compliance-related issues.* Trading Reviews, ... the alternative strategies.* Perform daily compliance oversight by analyzing and... more

Apr 09 Global Regulatory Advisory - Compliance Officer Bank/broker Dealer - Finance Industry New York, NY

individual will be a Compliance Officer in the newly created Global ... Officer is needed to primarily assist Compliance with:* Tracking, assessing and... more

Apr 09 Senior Compliance Officer Ny-based Bank - Finance Industry New York, NY

or a related field.* 8 plus years of compliance and/or regulatory experience, with ... improvements.* Determine material non-compliance risks related to the company's... more

Apr 09 Compliance Officer Ny-based Bank - Finance Industry New York, NY

* Leadership role in Bank Regulatory Compliance in a major financial institution.* ... in providing training on Bank Regulatory Compliance issues.* Assist in providing... more

Apr 09 Compliance Officer Bank/broker Dealer - Finance Industry New York, NY

compliance, supervision, and surveillance requirements* Collaborate with compliance execut ... implement, and maintain supervisory and compliance policies and procedures* Draft... more

Mar 28 Equities Trading Floor Compliance - VP Compliance Search Group New York, NY

services firm, is seeking a Markets Compliance Officer. This individual will be ... of Compliance reports for Compliance Management, Senior Management, Executive... more

Mar 28 VP - Fixed Income Sales and Trading Compliance Compliance Search Group New York, NY

a Fixed Income Sales and Trading Compliance Officer. This position will be at a Vice ... • Must have experience providing real time Compliance advice to Sales/Trading areas... more

Mar 28 Municipal Securities Compliance Compliance Search Group New York, NY

- 4+ years experience providing real time Compliance advice to Sales/Trading and IBD areas ... compliance issues/tasks simultaneously THE COMPLIANCE SEARCH GROUP, the leading and most... more

Mar 20 Senior Compliance Officer Hedge Fund - Finance Industry New York, NY

globally. Function as primary liaison from Compliance to Trading, Portfolio Construction ... and Risk Management, ensuring full compliance with their regulatory, legal, and... more

Mar 20 Regulatory Exams Compliance Officer Morgan Stanley - Finance Industry New York, NY

Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The... more

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