| Compliance Associate- Macquarie Securities | Macquarie Information not provided | USA-NY-New York City | 11 Mar 10 |
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We are currently seeking a Compliance Associate in our New York office.
| Fixed Income Compliance Officer | Societe Generale Commensurate with experience | USA-NY-New York City | 11 Mar 10 |
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This position is in the US Legal and Compliance Department and is for a MARK (Global Markets) Compliance Offic...
| Associate, Investor Portfolio Performance Support (Investment Management) | Northwest Highly competitive (base + outstanding b... | USA-CT-Stamford | 11 Mar 10 |
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This position will provide a combination of business and technical operations support for the team that is res...
| OFAC Compliance | The Forum Group Base plus bonus | USA-NY-New York City | 10 Mar 10 |
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Our client, an international Bank, B/D and IBD is looking to bring a compliance officer to help manager the OF...
| Chief Complaince Officer-International Bank (NYC) | SRI Search commensurate with experience | USA-NY-New York City | 10 Mar 10 |
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International Foreign Bank operating in the U.S. is seeking a Head of Compliance Office for the NY Office to ...
| Chief Complaince Officer-International Bank (MIAMI) | Not Disclosed commensurate with experience | USA-FL-Ft. Lauderdale | 10 Mar 10 |
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International Foreign Bank operating in the U.S. is seeking a Chief U.S. Compliance Officer to supervise, mon...
| Institutional Brokerage Compliance Associate | Susquehanna International Group, LLP Commensurate with experience | USA-NY-New York City | 10 Mar 10 |
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fixed income compliance corporate bonds
| DEBT CAPITAL MARKETS | Not Disclosed Base plus bonus | USA-NY-New York City | 10 Mar 10 |
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Our client, a Global Investment Bank is looking to add some layers to its Debt Capital Markets Compliance Team...
| Product Manager – OATS & Market Data Systems | UNX LLC Salary | USA-NY-New York City | 10 Mar 10 |
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Accurate reporting of OATS information to FINRA and Market Data distribution data to applicable vendors. In ad...
| SENIOR COMPLIANCE OFFICER | BNP Paribas Investment Partners/ Fortis Investment Competitive | USA-MA-Boston | 10 Mar 10 |
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Currently, BNP Paribas’ asset management business line, BNP Paribas Investment Partners (BNPP IP), has an exce...
| Futures/Currency/Options Trade Compliance | Michael Page 125,000 -170,000 | USA-CT-Stamford | 10 Mar 10 |
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Leading Global Hedge Fund is looking for a mid to senior level trade compliance officer with experience overse...
| CDO Compliance Analyst | Career Group Search Base plus discretionary bonus | USA-CA-Los Angeles | 10 Mar 10 |
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Our client, a successful investment management firm based in Los Angeles, is looking for an experienced CDO An...
| Hedge Fund Compliance Officer | Michael Page 100,000 - 150,000 | USA-NY-New York City | 09 Mar 10 |
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Hedge Fund is looking compliance officer with 3-7 years of hands on experience at a hedge fund or asset manage...
| Compliance Analyst | MacKay Shields LLC Commensurate with Experience | USA-NY-New York City | 09 Mar 10 |
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MacKay Shields has grown steadily over the years through rapidly changing market environments. We offer produc...
| Reconciliation Analyst | Societe Generale Commensurate with experience | USA-NY-New York City | 09 Mar 10 |
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Responsibilities include: 1) Managing DPDI related GL Reconciliations 2) Resolution of Auto-Reconciliation Sy...
| Control Room Specialist | Societe Generale Commensurate with experience | USA-NY-New York City | 09 Mar 10 |
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Responsible for the day-to-day Control Room surveillance, the maintenance of the Watch and Restricted List and...
| Compliance Associate – Terra Nova Financial | Flex Execs Management Solutions N/A | USA-IL-Chicago | 08 Mar 10 |
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Our client, Terra Nova Financial, LLC is a specialized financial services firm focused on supporting trading p...
| Compliance Manager | Not Disclosed Base Salary Plus Bonus | USA-NY-New York City | 08 Mar 10 |
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A top-tier, multi-billion dollar asset management firm is looking to hire a Compliance Manager who MUST have a...
| 5 New Compliance Positions: Monitoring & Testing; Product Compliance; Customer Complaints, Anti-Money Laundering & more | The Compliance Search Group LLC Upon experience | USA-NY-New York City | 05 Mar 10 |
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The Compliance Search Group seeks a number of Compliance professionals for top-tier financial services firms.
| Asset Management Compliance, Investment Bank – VP | The Compliance Search Group LLC Upon Experience | USA-NY-New York City | 05 Mar 10 |
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Our client is an international asset management firm.
| Basel II Compliance Manager | Not Disclosed Base salary plus bonus | USA-IL-Chicago | 04 Mar 10 |
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* 8+ years of project management or internal audit experience. * Strong working knowledge of Basel II rules a...
| Broker Dealer Compliance Associate | Not Disclosed Market Rate | USA-CA-San Francisco | 04 Mar 10 |
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The primary responsibility of the Broker Dealer Compliance Associate is to ensure that Mellon Transition Manag...
| Director- Compliance Risk | The Forum Group Base salary, bonus and benefits | USA-NY-New York City | 04 Mar 10 |
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Our client, a global investment banks seeks a compliance professional to run their Compliance Risk Review team...
| Compliance Officer | OTR Global 100,000 base salary plus bonus | USA-NY-White Plains | 04 Mar 10 |
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The Compliance Officer will be responsible for the coordination and implementation of firm-wide compliance pro...
| Director, Fixed Income Compliance Officer | BNP PARIBAS not disclosed | USA-NY-New York City | 04 Mar 10 |
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See job description below
| 10+ Compliance/Legal Opportunities - Senior and Executive Level | Not Disclosed Competitive and Commensurate with Experi... | USA-NY-New York City | 03 Mar 10 |
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We represent GLOBAL INVESTMENT MANAGEMENT FIRMS, HEDGE FUNDS, P/E FIRMS based in NY, BOSTON, NO. and SO. CALIF...
| Chief Compliance Officer | BNY Mellon Asset Management negotiable | USA-PA-Pittsburgh | 02 Mar 10 |
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CCO manages aspects of an investment advisory compliance program which spans Cash Investment Strategies money...
| Compliance Consultant | New York Life Investment Management, LLC (NJ) Commensurate with experience | USA-NJ-Morristown | 02 Mar 10 |
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Compliance Consultant for NYL Investments (part-time)
| Compliance Consultant | New York Life Investment Management, LLC (NJ) Salary plus bonus | USA-NJ-Morristown | 02 Mar 10 |
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The Marketing Material Review Unit of the New York Life Investments’ Compliance area was established to suppor...
| Derivatives Documentation Negotiator (LEGAL) | Deutsche Bank Exempt | USA-FL-Jacksonville | 02 Mar 10 |
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**The qualified candidate MUST have experience with drafting and negotiating NY Law Agreements**