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1. ) Leading Market Making Firm seeks Director of Compliance to ensure through education, surveillance and enforcement compliance with the various laws, policies, and ethical standards governing its business.

Responsibilities: Analyze compliance programs to determine their adequacy Draft written supervisory procedures Supervise AML Compliance Keep management as well as employees aware of new regulations to develop or improve compliance policies Conduct routine surveillance and enforcement of the firm and employee compliance with federal, state and self-regulatory laws as well as internal policies Respond to inquiries from regulatory agencies with respect to investigations, routine surveillance, and other compliance related issues to protect the firm and individuals from any regulatory actions Investigate and respond to customer complaints and inquiries in an appropriate manner Responsibilities: 5+ years in the securities industry Series 7, 24, 55 and 63 College degree or equivalent working experience 10+ years experience in the securities industry with an in-depth knowledge of the equities market and the rules and regulations governing the securities market preferred (3642

2. ) Successful and growing SEC registered investment advisor whose primary emphasis is on the management of money market funds and providing cash management services to banks and Broker-Dealers seeks Compliance Analyst to assist in the implementation and maintenance of firm's compliance program.

You will be responsible for ensuring that all activities and operations comply with state and federal, as well as firm policies.

Responsibilities: Execute compliance testing of investment guidelines, trade allocations, best execution, affiliated transactions, pricing, and marketing Administer the firm's Code of Ethics Develop, draft and revise Investment Advisor procedures including Compliance Manuals Prepare certain regulatory filings - 13G, ADV, BD, CRD Prepare materials for Audit Committee and Board of Managers meetings Support Corporate Governance Prepare and distribute Compliance Training Materials Monitor the compliance of Anti-money Laundering procedures and policies Create and maintain a database for marketing presentations, client communications and the RFP process Qualifications: 4-6 years of compliance work with a SEC registered investment advisor Some mutual fund experience preferred Excellent writing skills desired Excel, Word, EDGAR Ease, ComplianceEase Any portfolio management system, preferably Advent (3636

3. ) Mutual Fund Compliance Analyst needed for elite Registered Investment Advisor to assist Chief Compliance Officer in implementation of the Mutual Fund Compliance Program under Rule 38-1 of the Investment Company Act. Responsibilities: Overseeing compliance monitoring and testing of the regulation under the Investment Company Act of 1940 Overseeing the Fund Service Provider's compliance programs (Adviser, Underwriter, Administrator, and Transfer Agents) Maintaining and updating the written Mutual Fund Compliance Policies and Procedures Preparation of the annual compliance report to the Board of Directors Assist Chief Compliance Officer in implementing the Transfer Agent Compliance Program Prepare and file Form BD File quarterly customer complaints with the NASD Coordinate continuing education and regulatory element for 55 registered representatives Review Marketing materials for compliance with NASD/SEC regulations Assist CCO in coordination for NASD Audits Assist in the preparation of the Annual Compliance Assessment Maintain Written Supervisory Procedures for the Broker-Dealer Assist in Client Intake Process for Broker-Dealers selling our mutual funds including working with the sales department on dealer agreements, due diligence and tracking of information in Management software Assist Compliance manager when necessary to review Mutual Fund SEC filings such as 485(b), N-CSR, N-Q, N-SAR, 24F-2, N-PX and 17g-1 Responsibilities: 4+ years mutual fund compliance experience Knowledge of Investment Company Act regulations and mutual fund industry Knowledge of Transfer Agent, Investment Adviser and Broker-Dealer Regulations a plus Knowledge of Word, Excel, Edgar Ease a plus Series 7 and Series 24 a plus (3638

4. ) Investment bank with global presence seeks an EQUITY COMPLIANCE ANALYST with experience in PRIME SERVICES (prime brokerage, global trading, prime solutions, risk management, managed lending.

) This position offers a prestigious title and serious potential for career advancement.

(3613

5. ) Global Broker-Dealer seeks an energetic, self-starter to join its EQUITY TRADING COMPLIANCE area.

The ideal candidate will have experience with OTC markets, exception reports, TMMS exams, and have experience responding to traders' questions.

(3500

6. ) Esteemed Firm providing a wide range of financial services is seeking an AVP/VP AML Compliance Specialist.

The candidate will be responsible for performing AML surveillance, OFAC surveillance and customer identification for designated customers, which will entail researching systems, reports and records and extensive interactions with numerous departments within the firm, as well as with the introducing broker-dealer.

The successful candidate will have AML experience from a broker-dealer.

(3255

7. ) Opportunities for BRANCH EXAMINERS and compliance professionals with DESK REVIEWS experience available.

(3167

8. ) Prominent investment advisor with over $100 billion assets under management seeks a Compliance Officer to focus on day-to-day testing and verification of the compliance program.

The Compliance Officer will work directly with the Regulatory Counsel and travel roughly two times a quarter to satellite office locations.

Requirements: 2+ years of experience in investment advisory compliance Some broker-dealer compliance experience will be considered Registration and personal trading experience Familiarity with the Books and Records Requirement (3552

9. ) Premier Financial Services Company seeks an Actuary.

This position will be responsible for calculating reserves, assisting in modeling assets and liabilities for various long-term projections, assisting in activity based expense determination and analysis.

Qualifications: ASA preferred, but some actuarial exams and experience is acceptable3-5 years of experience as an Actuary in the pension field Ability to interact effectively with senior management, client's and fixed income investment managers Excellent financial analysis skills Advanced PC skills especially spreadsheet applications Knowledge of Tillinghast actuarial software as well as an understanding of Crystal and Access is a plus Advanced ability to create/assess business models (3539

10. ) Premier Asset Management Company desires an Investment Advisory Compliance Manager.

Responsibilities: <ul Maintenance of the firm's Compliance Policies and Procedures Develop on-going testing program Develop general firm compliance training Oversee marketing material review process which includes AIMR/GIPS compliance, review of foreign jurisdictional requirements and working with outsourced affiliate Ensure compliance with NASD and OSJ requirements Oversee SEC, other regulatory filings and other reporting (13f, 13g, Form S, ADV offer, PIM reporting, etc.) Supervision of staff Qualifications: 7+ years experience working in an asset management firm Working knowledge of regulatory environment (SEC, ERISA, AIMR/GIPS) Strong communication and organizational skills Strong people management skills Project management skills (3573

11. ) National conglomerate of Financial Advisory Firms seeks a COMPLIANCE OFFICER to implement corporate compliance policies for NY-based firms (Similar position located in Orlando, FL and Austin, TX).

Member firms provide insurance, wealth transfer, corporate and executive benefits, financial planning and investment advisory.

The successful candidate will have a JD, 3+ years of related compliance experience, including experience with insurance products.

(3513

12. ) One of the world's leading providers of brokerage services, with offices in key financial centers, that acts, both as a broker of futures, options and other equity derivatives for both institutional and private clients, as well as an intermediary in the world's metals, energy, and foreign exchange markets, seeks a Compliance Officer to work closely with the chief compliance counsel and provide regulatory support.

(3553

13. ) VP - Regulatory Compliance Officer wanted for paramount Investment Services Firm.

The candidate will be responsible for responding to requests for information from regulators and for the co-management of regulatory examinations and detailed analysis of the information being requested.

Qualifications: Strong understanding of securities trading, operations or both to perform the analysis and to respond accordingly Excellent verbal and written communication skills Good management skills Computer proficiency Ability to work independently and in a team environment (3506

14. ) One of New York's largest independently owned Commercial Banks seeks a Chief Compliance Officer with FAIR LENDING and DEPOSITS experience to: Manage and supervise regulatory compliance including loan review, fair lending Examine operations of Bank's mortgage operations Ensure all documentation and processes pertaining to lending products and services are accurate (3352

15. ) New Jersey State-chartered Commercial Internet Bank seeks a Compliance Officer with strong experience in overall banking compliance with a focus on Bank Secrecy Act (BSA) and Anti-Money Laundering (AML).

Experience with consumer lending or commercial lending regulation is a plus.

(3357) Please send all resume attachments in Word document format.

Thank you. Please visit our website at www.complianceHQ.com for a complete listing of our openings that will enhance your career! LEGEND GLOBAL SEARCH Pauline Nash 212-293-8920 (phone) 212-293-8925 (fax) pnash [at] complianceHQ [dot] com

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