- Locations: California, Texas, New York, Florida, Pennsylvania
- Related Keywords: Bank Compliance, Chief Compliance Officer, Customs Compliance, Environmental Compliance, Export Compliance, Healthcare Compliance, Regional Compliance, Regulatory Compliance, Securities Compliance, Trade Compliance
- Tax Compliance - Senior
- Execu-Search (New York, NY)
- Responsibilities of the Senior Tax Compliance Officer include:Ensuring timely and accurate tax filings as well as reporting to...investments A financial services firm is looking for an experienced Tax Compliance Officer in a Senior role. This position will be responsible for...
- Compliance Specialist
- Alpha-Barnes Real Estate Services (Dallas, TX)
- The Compliance Specialist is responsible for monitoring compliance on affordable housing communities that have the follwing programs HTC, BOND, AHP, HTF and HOME. List of duties include: Approve initial certification files prior to move in, approve recertifications, review and approve...
- Trust Compliance Officer
- The Compliance Search Group (New York, NY)
- The Wealth Management Division of a global investment bank seeks a Trust Compliance Officer. The Trust Compliance Officer will be responsible for implementation, ongoing maintenance and oversight of the compliance program. The Compliance Officer will advise senior management,...
- Wrap Accounts/Managed Accounts - Compliance Officer
- The Compliance Search Group LLC (New York, NY)
- Areas of concentration will include regulatory compliance , product and operational support, and the annual compliance review requirement. This person will support and work closely with the RIA Product Management Group, Advisory Administration, Law Department, the CCO, as well as areas...
- Senior Compliance Officer - Banking
- The Compliance Search Group (San Antonio, TX)
- ...and procedures regarding products and services to ensure continuous compliance with all applicable federal & state laws and regulations....regarding all Credit Union products and services to ensure compliance with all applicable federal and state laws and regulations....
- Compliance Director, Sales Literature & Marketing Mater
- The Compliance Search Group (New York, NY)
- Compliance Director, Sales Literature & Marketing Materials Review in New York 1. Manage the firm’s program...manage processes that have consistency and clarity in the materials. 4. Assess marketing compliance risks and communicate effectively with the business on a day to day...
- Compliance Director, Sales Literature & Marketing Mater
- The Compliance Search Group (New York, NY)
- Compliance Director, Sales Literature & Marketing Materials Review& in New York & 1. Manage the...processes that have consistency and clarity in the materials.& 4. Assess marketing compliance risks and communicate effectively with the business on a day to day...
- Private Wealth Management Capital Markets Compliance - AVP/VP
- The Compliance Search Group (New York, NY)
- ...Private Wealth Management (PWM) Capital Markets Officer is to partner with Compliance and other colleagues to: monitor the PWM Capital Markets business to ensure that it is being conducted and supervised in compliance with applicable laws, regulations and firm policies; help to reduce...
- Director- Equities Sales and Trading Compliance
- The Compliance Search Group (New York, NY)
- A global investment bank seeks an Equities Sales and Trading Compliance officer. RESPONSIBILITIES: Provide compliance advice and guidance to business lines, firm management and compliance support. * Train business line and compliance support staff on relevant rules and...
- Surveillance (Charles River) Compliance Manager
- The Compliance Search Group (New York, NY)
- Asset management division of a financial services firm seeks a Surveillance Manager. The Compliance Manager will oversee the monitoring of client portfolios and the daily compliance of the asset management business with the relevant internal policies and procedures. He/she will be...
- Institutional Client On-Boarding Compliance -VP/SVP
- The Compliance Search Group (New York, NY)
- A top tier international investment bank seeks a Compliance professional to oversee their client on-boarding division. The firm seeks a compliance professional to enhance this division. The Compliance Manager will assess the current On-Boarding program, make recommendations for...
- Director, Investment Advisory Compliance - California
- The Compliance Search Group (Newport Beach, CA)
- The position is responsible for the compliance coordination and monitoring of retirement planning and investment advisory...Tax Planning / Preparation. The position is also responsible for compliance coordination and monitoring of the nonqualified executive benefits consulting...
- Tax Senior
- Execu-Search (New York, NY)
- ...directly with clients to provide expatriate and foreign-national tax compliance and consulting services to our multi-national clients Reviewing individual...will be a capable tax professional with foreign tax compliance and experience with the tax equalization process. This is...
- Controller
- Execu-Search (CT)
- ...this position will include:Fund administration, portfolio analytics and reporting, operational due diligence, investment execution/trade settlement, compliance , and investor relations Calculating portfolio analytics including: monitoring fund exposures, performance attribution, and other...