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Deputy Chief Compliance Officer Fund ManagementCompliance Search Group - New York, NYTop-tier Registered Investment Adviser is seeking a Deputy Chief Compliance Officer. The successful candidate will assist the Chief Compliance Officer in conducting and enhancing the advisers manager of mangers oversight compliance program for a successful family of registered investment companies (the Funds). The candidate will assist in all aspects of compliance with the Investment Company Act of 1940 (1940 Act) and the Investment Advisers Act of 1940 (Advisers Act) as well as specific fund restrictions for all open- and closed-end funds. Responsibilities include: reviewing potential guideline issues, supervising the monitoring of regulatory requirements, and assisting in the development and maintenance of the advisers compliance program. The successful candidate will work under the... See job listing >30+ days ago from Compliance Search Group - Save - Block - Flag - More Tools...
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Deputy Chief Compliance jobs in New York, NY
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Deputy Chief Compliance Officer Fund ManagementTop Tier Registered Investment Advisor - New York, NYInvestment Adviser is seeking a Deputy Chief Compliance Officer. The successful ... under the direction of the advisers Chief Compliance Officer and with other attorneys...30+ days ago from TheLadders.com - Save - Block - Flag - More Tools...
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VP, Deputy Chief AuditorTiaa-cref - New York, NYVP, Deputy Chief Auditor Location: NY-New York Based in Manhattan or Charlotte, ... and Internal Investigations. The Deputy Chief Auditor will be responsible for...12 days ago from TIAA-CREF - Save - Block - Flag - More Tools...
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- Job Summary | Also found at: Climber.com
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Global Deputy SFS Risk ManagerCiti - New York, NYwww.citigroup.com or www.citi.com . Global Deputy SFS Risk Manager-09025682 Description Job Title: Global Deputy ... Title: Global Deputy SFS Risk Manager Officer level:...20 hours ago from Citi - Save - Block - Flag - More Tools...
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Deputy Director, Office of Supervisory Support ServicesNyc Department of Education - New York, NYof Field Services, as well as with the Chief Executive Officer (CEO) of Human ... or retaliation. Inquiries regarding compliance with this equal opportunity...18 hours ago from NYC Department of Education - Save - Block - Flag - More Tools...
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Compliance Search Group jobs
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Chief Operating Manager - Online brokerage/trading firmCompliance Search Group - New York, NYexecutive to oversee Operations, Clearing, Compliance, Technology and other matters for a new division. The candidate should have relevant experience in the above-referenced...7 days ago from eFinancialCareers - Save - Block - Flag - More Tools...
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- Job Summary | Also found at: Compliance Search Group
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Regulatory Compliance Officer - AVPCompliance Search Group - Jacksonville, FLboth the firms Compliance Department and Compliance Outsourcing team. Develop the ... and the monitoring of the business compliance with those policies and...7 days ago from eFinancialCareers - Save - Block - Flag - More Tools...
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Regulatory Compliance Officer - Net Capital and Securities OperationsCompliance Search Group - New York, NYThe candidate would be advising regarding compliance with relevant laws, regulations ... (but not exhaustive): Maintain a strong Compliance Operations Advisory function in...7 days ago from eFinancialCareers - Save - Block - Flag - More Tools...
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- Job Summary | Also found at: Compliance Search Group
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Senior Compliance Officer - Property and Casualty in WashingtonCompliance Search Group - Washington, Dcapproval of advertising material and compliance-related project management. The ... experience with a strong regulatory compliance background. Prior insurance...12 days ago from eFinancialCareers - Save - Block - Flag - More Tools...
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