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Senior Compliance Officer (Broker Dealer Specialist)
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Metropolitan West Asset M...
Salary: Competitive and commensur...
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Los Angeles, CA |
06 Nov |
| The Senior Compliance Officer assists the CCO with compliance activities related to the firm’s limited purpose broker dealer... |
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Institutional Brokerage Compliance Associate
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Susquehanna International...
Salary: Commensurate with experie...
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USA-NY-New York City |
06 Nov |
| fixed income compliance corporate bonds |
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Compliance Administrator
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Not Disclosed
Salary: Competitive / DOE
|
Santa Barbara, CA |
06 Nov |
| Fixed income management firm seeks a motivated and experienced Compliance Administrator. The successful candidate is a skille... |
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Compliance Assessment - Associate
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Morgan Stanley
Salary: not disclosed
|
USA-NY-New York City |
06 Nov |
| See job description below |
|
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Fixed Income Regulatory Oversight/Surveillance Officer
|
Morgan Stanley
Salary: not disclosed
|
USA-NY-New York City |
06 Nov |
| See job description below |
|
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Sales and Trading Compliance Strategic Projects Associate
|
Morgan Stanley
Salary: not disclosed
|
USA-NY-New York City |
06 Nov |
| See job description below |
|
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Equity and Prime Brokerage - Regulatory Oversight/Surveillance Officer
|
Morgan Stanley
Salary: not disclosed
|
USA-NY-New York City |
06 Nov |
| See job description below |
|
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Head of Interest Rate and Currency Products Compliance
|
Morgan Stanley
Salary: not disclosed
|
USA-NY-New York City |
06 Nov |
| See job description below |
|
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Vice President - Operational Risk - CRM
|
Morgan Stanley
Salary: not disclosed
|
USA-NY-New York City |
06 Nov |
| See job description below |
|
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Executive Director - Operational Risk - CRM
|
Morgan Stanley
Salary: not disclosed
|
USA-NY-New York City |
06 Nov |
| See job description below |
|
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Vice President - Operational Risk - Policy Governance
|
Morgan Stanley
Salary: not disclosed
|
USA-NY-New York City |
06 Nov |
| See job description below |
|
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AVP - Compliance
|
Moody's Corporation
Salary: Not Specified
|
USA-NY-New York City |
06 Nov |
Responsibilities
Department: Moody's compliance function operates globally to provide comp... |
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Private Banking Compliance Officer
|
Credit Suisse
Salary: Competitive
|
USA-NY-New York City |
06 Nov |
| PB Compliance Officer |
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Investment Compliance Analyst
|
Wellington Management Com...
Salary: Competitive
|
USA-MA-Boston |
06 Nov |
| Investment Compliance Analyst |
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Regulatory Compliance Analyst
|
Wellington Management Com...
Salary: Competitive
|
USA-MA-Boston |
06 Nov |
| Regulatory Compliance Analyst |
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Trading Risk Analyst
|
Orbis Investment Manageme...
Salary: Competitive
|
New York City, NY |
05 Nov |
| This job is located in Bermuda |
|
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Compliance Associate
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Tower Research Capital LL...
Salary: Depends on experience
|
New York, NY, 10013 |
05 Nov |
| Tower Research Capital LLC, a high-frequency proprietary trading firm, seeks a motivated and highly organized Compliance Asso... |
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|
Legal Documentation Negotiator
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Société Générale - US
Salary: Commensurate with experie...
|
New York City, NY |
05 Nov |
| This person will work in the Legal and Compliance Department which provides legal support to the entire Bank.
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Compliance- Securities Surveillance and Investigations Analyst
|
Deutsche Bank
Salary: competitive/ DOE
|
New York, NY, 10005 |
05 Nov |
| About Deutsche Bank
A Passion to Perform. It’s what drives us. More than a claim, this describes the way we do business. W... |
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Attorney / Legal Counsel
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Lazard Asset Management
Salary: Competitive - Commensurat...
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Manhattan, NY, 10020 |
05 Nov |
| Lazard Asset Mananagement seeks Attorney to support the Firm's products and activites. Primary focus will be on Alternative... |
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Commodities Compliance Analyst/Associate, New York
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The Compliance Search Gro...
Salary: Based on experience.
|
New York, NY |
05 Nov |
| Investment bank seeks a Commodities Compliance Analyst.
Principal Responsibilities:
The Compliance person will cover t... |
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U.S. Compliance Director/FINOP
|
Michael Page
Salary: 125,000 -150,000
|
Manhattan, NY, 10174 |
05 Nov |
| Global Financial Advisory/Broker Dealer Firm is looking to add a mid-senior level Compliance Director/FINOP. The firm is grow... |
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Director of Equities Compliance
|
Michael Page
Salary: Will be a very competitiv...
|
New York, NY, 10174 |
05 Nov |
| Our client is a well established financial services firm. They are currently in need of a Director of Equities Compliance for... |
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Compliance Advisory - Bank Regulatory and Corporate Trust
|
Deutsche Bank
Salary: competitive/ DOE
|
New York, NY, 10005 |
05 Nov |
| About Deutsche Bank
A Passion to Perform. It’s what drives us. More than a claim, this describes the way we do business. We’... |
|
|
Compliance Associate
|
The Forum Group
Salary: Base plus bonus
|
New York, NY, 10016 |
04 Nov |
| US Based Inevestment Management firm is looking to bring on an Associate to help with the review of Broker Dealer and Institu... |
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Compliance Officer
|
The Forum Group
Salary: Base plus bonus
|
New York, NY, 10016 |
04 Nov |
| International Bank and B/D is looking for help for a broad compliance candidate. |
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|
AML / MANTAS 5.8 Consultant
|
The Forum Group
Salary: P/H
|
New York, NY, 10016 |
04 Nov |
| Our client, a global correspondent and commerical bank is seeking to fill a consulting with a strong focus on AML and MANTAS... |
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|
Director- Equities Compliance
|
Société Générale - US
Salary: Commensurate with experie...
|
New York City, NY |
04 Nov |
| This position is in the US Legal and Compliance Department and is for a Senior MARK (Global Markets) Compliance Officer -Equi... |
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|
Counsel
|
Société Générale - US
Salary: Commensurate with experie...
|
New York City, NY |
04 Nov |
| This person will work in the Legal and Compliance Department, which provides legal support to the entire Bank. |
|
|
Sr. Business Leader, Revenue Systems
|
Visa
Salary: Competitive
|
Foster City, CA |
04 Nov |
| The Senior Business Leader position within the Finance Systems Strategy will be responsible for managing a team of program an... |
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