- All Finance Top Job Titles
- Related titles: Director
- Compliance Director
- Leading Global Hedge Fund (New York, NY)
- ...: Leading Global Hedge Fund is looking to add a compliance director with 8-15 years of mutual fund/40 Act Investment Advisory compliance experience. Who we are looking for : Global Hedge Fund is looking for a compliance officer with 8-15 years of mutual fund compliance experience to work...
- US Compliance Director / FINOP
- Financial Services Firm (New York, NY)
- ...: Global Financial Advisory/Broker Dealer Firm is looking to add a mid-senior level Compliance Director/FINOP. The firm is growing and seeking an entrepreneurial professional. Who we are looking for : Global Advisory firm/Broker Dealer is looking for a top tier professional to handle the...
- Compliance Director-Product
- Citi (New York, NY)
- ...include day-to-day Product Advisory Compliance relating to trading, suitability, new product reviews, best practices and guidance on fixed income regulatory rules/laws. The applicable trading desks may trade various fixed income products, including, but not limited to, corporate/hyld debt,...
- Compliance Director - Wealth Management
- Tandem Resources (Florham Park, NJ)
- ...~ Minimum of 5 to 10 years of financial experience in wealth management compliance~BA in Finance or related discipline ~MBA or advanced degree a plus ~Strong background in asset classes a plus~Expertise in government regulation and compliance ~Strong background in oversight and policy and...
- Compliance Director, Sales Literature & Marketing Mater
- The Compliance Search Group (New York, NY)
- ...1. Have detailed knowledge of securities laws applicable to mutual fund advertising and sales literature including SEC and FINRA rules and requirements. Must also have thorough GIPS as well as institutional investment advisory marketing review experience. 2. 7+ years general compliance...
- Compliance Director, Sales Literature & Marketing Mater
- The Compliance Search Group (New York, NY)
- ...1. Have detailed knowledge of securities laws applicable to mutual fund advertising and sales literature including SEC and FINRA rules and requirements. Must also have thorough GIPS as well as institutional investment advisory marketing review experience.& 2. 7+ years general compliance...
- Regulatory Compliance Director
- infinity consulting solutions (Montpelier, VT)
- ...* Conduct audits of the written supervisory procedures, controls and practices for compliance with regulatory requirements.* Responsible to review new rules and regulations and proposals to determine appropriate changes to the firm's policies and procedures. * Responsible to assist in...
- Compliance Director, Sales Literature & Marketing Mater
- Unknown (New York, NY)
- ...1. Have detailed knowledge of securities laws applicable to mutual fund advertising and sales literature including SEC and FINRA rules and requirements. Must also have thorough GIPS as well as institutional investment advisory marketing review experience. 2. 7+ years general compliance...
- US Compliance Director / FINOP
- Financial Services Firm (New York, NY)
- ...: Global Financial Advisory/Broker Dealer Firm is looking to add a mid-senior level Compliance Director/FINOP. The firm is growing and seeking an entrepreneurial professional. Who we are looking for : Global Advisory firm/Broker Dealer is looking for a top tier professional to handle the...
- Compliance Director
- Leading Global Hedge Fund (New York, NY)
- ...: Leading Global Hedge Fund is looking to add a compliance director with 8-15 years of mutual fund/40 Act Investment Advisory compliance experience. Who we are looking for : Global Hedge Fund is looking for a compliance officer with 8-15 years of mutual fund compliance experience to work...
- Compliance Director
- Unknown (New York, NY)
- ...:Leading Global Hedge Fund is looking to add a compliance director with 8-15 years of mutual fund/40 Act Investment Advisory compliance experience. Who we are looking for :Global Hedge Fund is looking for a compliance officer with 8-15 years of mutual fund compliance experience to work...
- Compliance Director, Sales Literature & Marketing Mater
- The Compliance Search Group (New York, NY)
- ...1. Have detailed knowledge of securities laws applicable to mutual fund advertising and sales literature including SEC and FINRA rules and requirements. Must also have thorough GIPS as well as institutional investment advisory marketing review experience. 2. 7+ years general compliance...
- Compliance Director
- Unknown (New York, NY)
- ...:Leading Global Hedge Fund is looking to add a compliance director with 8-15 years of mutual fund/40 Act Investment Advisory compliance experience. Who we are looking for :Global Hedge Fund is looking for a compliance officer with 8-15 years of mutual fund compliance experience to work...