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Job Title Location Date Posted

Senior Compliance Officer – Asset Management Overview The Senior Compliance Officer will satisfy SEC Rule 38a-1 of the Investment Company Act. Analyze Fund Service Providers’ Compliance Programs:…

Aligned to the US Regulatory Relations team as one of a three person team of regionally located business analysts supporting the recently deployed Regulatory Engagement System. Run the implemented business…

A large Global bank is looking for a Regional Head of Financial Crimes. This role will be managing a team to ensure all Regulatory rules and regulations. 10 plus years of AML experience Advance degree…

The Director, Global Transactions Monitoring and Reporting will implement a robust AML Monitoring reporting. Develop and enhance Minimum 9 years of leadership in a transaction monitoring setting Deep…

Compliance Director

San Diego, CA 04/14/2014

A Global Consumer Debt Firm is looking for a Compliance Director to manage a team of 7. The Compliance Director will be in charge of all aspects of the program; this involves coming up with strategy and…

A Global Investment Bank is looking to bring in a VP Compliance Officer - Volcker Rule. The VP Compliance Officer - Volcker Rule will be part of the team that acts as the first line of defense in regards…

Senior Audit Manager

Stamford, CT 04/14/2014

A Global Financial and Consumer Company is looking for a Senior Audit Manager for the Finance Group. The Senior Audit Manager will be in charge of testing and maintaining the Firm’s Controls in place…

Compliance Officer

New York, NY 04/14/2014

HF/Family Office is seeking an experienced Compliance Officer for it’s Surveillance team. The Compliance department employs a number of professionals globally to establish and enforce the Firm’s compliance…

VP, Investment Advisory Coverage

New York, NY 04/14/2014

Person Requirements Basic Qualifications: 7 + years experience in Financial Industry, Compliance and Operational Risk preferably in wealth management. Strong understanding of investment advisory act 1940.…

Main Duties Duties and Responsibilities: Responsible for building the investment advisory compliance program and implementation of Charles River and other trade order management and compliance applications.…