THE LARGEST COLLECTION OF COMPLIANCE JOBS ON EARTH
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... monitoring of the Agency’s corporate compliance and quality assurance operations. Assists ... in monitoring the quality and regulatory standards in the delivery of ... in the administrative management and..
... 2013 Job ID 1913814 Role: Compliance Associate/Contract Administrator Locations: New York, ... client seeks to hire a Compliance Associate/Contract Administrator. This position is ... the in house counsel and..
The Chief Compliance Officer will insure that the ... compliant with FINRA and other regulatory rules and that the staff ... aspects of FINRA and SEC compliance as it relates..
... The fundamental duties of the Compliance Specialist are to monitor the ... of resident file reviews and regulatory reporting. Work is performed according ... law and administrative regulations. The..
... employees to mitigate reputational and regulatory risk to the firm. The ... E-Communications team works closely with Compliance, Legal, Employee Relations, Information Security ... review messages for content, appropriateness,..
2 years of compliance, risk management, or auditing experience
FINRA Series 7/63 and 24 and required
Knowledge in internal control and risk management
Asset management industry experience, including mutual fund ..
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Seeking a candidate who will help ..
Do you have a unique background combining law and finance/hedge funds? Life After Law has the right opportunity for you! Our Client is a Hedge Fund in need of a Chief ..
... and monitoring plans related to Compliance operations. T he individual will ... cross functional teams to provide Compliance oversight on core Committees. This ... Committees. This candidate will establish..
Tax Services Manager - Global Compliance & Reporting - Multiple Locations','NEW00IHX','US-NY-New ... market-leading approach combines extensive local compliance and accounting experience — in ... countries — with standard global compliance..
IT Advisory Senior, Financial Services, Regulatory Compliance - Analytics','NEW00IH4','US-NY-New York','!*! We are ... world stay ahead of key regulatory requirements in the Banking and ... aim to deliver industry leading..
DEPARTMENT: Compliance JOB TITLE: Futures - Compliance Officer LOCATION: New York TASKS ... the implementation of the Firm’s Compliance Program. Conduct internal compliance reviews and investigations. Assist with ... reviews..
Compliance Analysts assist ACA consultants in providing regulatory consulting services to
investment advisers and other firms in the investment industry.
Summary of Responsibilities:
Supporting consultants during on-site and off-site mock SEC ..
The Sr. Manager of Compliance will be responsible for the ... design and implementation of all Compliance and Ethics training projects and ... and integration plan for US Compliance to..