We have other current jobs related to this field that you can find below
-
Chief Compliance Officer
1 month ago
New York, United States TZ CLEARING Company Full timeTradeZero, which operates multiple broker-dealers focused on the active trader, is seeking a Chief Compliance Officer for its TZ Clear subsidiary. The role requires significant prior experience as a senior compliance officer for a US clearing firm. Experience should include without limitation:OATS/CAT reporting15c3-5 complianceAdvertising/marketing...
-
Chief Compliance Officer
1 month ago
New York, United States TZ CLEARING Company Full timeTradeZero, which operates multiple broker-dealers focused on the active trader, is seeking a Chief Compliance Officer for its TZ Clear subsidiary. The role requires significant prior experience as a senior compliance officer for a US clearing firm. Experience should include without limitation:OATS/CAT reporting15c3-5 complianceAdvertising/marketing...
-
Chief Compliance Officer
3 weeks ago
New York, United States Atlantic Group Full timeJob OverviewWe are seeking a highly experienced Chief Compliance Officer (CCO) to join a $10 billion Credit Hedge Fund. The ideal candidate will have a strong background in Investment Advisor (IA) compliance, with the ability to launch and build a comprehensive compliance program. The role is best suited for an attorney who can also assist with legal work,...
-
Chief Compliance Officer
2 days ago
new york city (brooklyn), United States TZ CLEARING Company Full timeTradeZero, which operates multiple broker-dealers focused on the active trader, is seeking a Chief Compliance Officer for its TZ Clear subsidiary. The role requires significant prior experience as a senior compliance officer for a US clearing firm. Experience should include without limitation:OATS/CAT reporting15c3-5 complianceAdvertising/marketing...
-
Chief Compliance Officer
1 month ago
New York, United States Cardea Group Full timeGeneral Counsel & Chief Compliance Officer++ (New York, NY): Our client, a $1B+ hedge fund with a strong reputation and track record, is looking to hire their first fully dedicated GC & CCO. This new hire will be a part of the team’s executive leadership committee and spearhead their compliance program efforts while also meaningfully contributing to their...
-
Chief Financial Officer
4 weeks ago
New York, United States Robert Half - US Full timeDescription This job's time zone is Eastern. Our client is seeking a Chief Financial Officer to join their dynamic team in NYC. The Chief Financial Officer will play a crucial role in overseeing all financial aspects of the organization, ensuring the financial health and viability while supporting its growth objectives. In this role, you will lead the annual...
-
Chief Talent Officer
4 weeks ago
New York, New York, United States Grand Street Settlement Full timeDiversity, equity, and inclusion areintegral parts of our culture and personified by our leadership.JOB SUMMARY: The Chief Talent Officer(CTO) provides executive-level leadership and guidance to theorganization's HR strategies and operations for 600+ Union andManagement staff.The CTO is responsible not only for setting,enforcing, and evaluating legally...
-
Chief Talent Officer
4 weeks ago
New York, United States Grand Street Settlement Full timeDiversity, equity, and inclusion areintegral parts of our culture and personified by our leadership.JOB SUMMARY: The Chief Talent Officer(CTO) provides executive-level leadership and guidance to theorganization’s HR strategies and operations for 600+ Union andManagement staff.The CTO is responsible not only for setting,enforcing, and evaluating legally...
-
New York, New York, United States Amazon Full timePosition OverviewWe are seeking a dedicated and motivated professional to spearhead our second line of defense (2LoD) Risk Function.Key ResponsibilitiesThe ideal candidate will be operating at a Chief Risk Officer level within a regulated financial services organization. They will possess a robust track record in overseeing globally distributed teams that...
-
New York, New York, United States Northside Center for Child Development Full timeABOUT NORTHSIDE CENTER FOR CHILD DEVELOPMENT Northside Center is recognized for our exceptional workplace culture and our skilled teams of educators and clinicians. We are dedicated to our mission of providing children and families with the necessary support to overcome challenges and flourish. Our high-quality, outcome-focused behavioral, mental health, and...
-
Chief Compliance and Quality Assurance Officer
13 hours ago
New York, New York, United States Northside Center for Child Development Full timeABOUT NORTHSIDE CENTERNorthside Center is recognized for its exceptional work environment and dedicated teams of professionals in education and clinical services. Our primary goal is to fulfill our mission of providing essential support to children and families, enabling them to overcome challenges and flourish. We are committed to delivering high-quality,...
-
New York, United States HSBC Full timeJob description Our purpose – Opening up a world of opportunity – explains why we exist. Here at HSBC we use our unique expertise, capabilities, breadth and perspectives to...
-
New York, New York, United States HSBC Full timeJob description Our purpose – Opening up a world of opportunity – explains why we exist. Here at HSBC we use our unique expertise, capabilities, breadth and perspectives to open up new kinds of opportunity for our more than 40 million customers. We're bringing together the people, ideas and capital that nurture progress and growth, helping to create a...
-
Compliance Officer
2 days ago
New York, United States Cardea Group Full timeCompliance Officer – Trade Compliance and Generalist (New York, NY): Our client a Hedge Fund with over $2B in AUM is seeking a Compliance professional to join their growing legal and compliance team. This new hire will be reporting to the Chief Compliance Officer and be the go to compliance resource in the New York Office. Key Points: Role is newly created...
-
Compliance Officer
2 days ago
New York, United States Cardea Group Full timeCompliance Officer – Trade Compliance and Generalist (New York, NY): Our client a Hedge Fund with over $2B in AUM is seeking a Compliance professional to join their growing legal and compliance team. This new hire will be reporting to the Chief Compliance Officer and be the go to compliance resource in the New York Office. Key Points: Role is newly created...
-
New York, New York, United States Citigroup Inc Full timeOverview: The Chief Administrative Officer (CAO) of Independent Compliance Risk Management (ICRM) at Citigroup Inc. plays a pivotal role in overseeing the administrative and operational functions of the compliance risk oversight framework. This position is integral to ensuring the firm’s compliance risk management is executed effectively and...
-
Compliance Officer
1 month ago
New York, United States Cardea Group Full timeCompliance Officer (New York, NY): Our client, a global investment manager with over $30B in assets, has an exceptional opportunity for a mid-level compliance professional. This is an opportunity to report into the Chief Compliance Officer and oversee the US compliance program for the firm's private equity platform, while also collaborating with the credit...
-
Chief Operating Officer
3 months ago
New York, United States +MEDRITE Urgent Care Full timeCompany Description +MEDRITE Urgent Care, founded in 2010 in Brooklyn NY, is a rapidly growing healthcare organization that provides convenient and high-quality urgent care services to people of all ages. As an alternative to emergency rooms and primary care physicians, +MEDRITE offers walk-in appointments with board-certified physicians who provide...
-
Compliance Officer
3 weeks ago
New York, United States Cardea Group Full timeCompliance Officer (New York, NY): Our client, a global investment manager with over $30B in assets, has an exceptional opportunity for a mid-level compliance professional. This is an opportunity to report into the Chief Compliance Officer and oversee the US compliance program for the firm's private equity platform, while also collaborating with the credit...
-
Chief Talent Officer
1 week ago
New York, United States Grand Street Settlement Full timeTITLE:ChiefTalent Officer LOCATION:New York, NY (Lower EastSide) DEPARTMENT:Administration/Human Resources REPORTS TO:Chief Executive Officer (CEO) SALARY RANGE:$175,000 to $200,000 annually depending onexperience, plus excellent benefits DATE POSTED:July 2024 OUR CULTURE:At Grand St.we believeleaders are made, not born.We operate on auto trust,expecting...
Chief Compliance Officer
3 months ago
Chief Compliance Officer (New York, NY): Our client, a successful global investment fund with over $50B in AUM, is hiring for an exceptional compliance professional to assume the role of Chief Compliance Officer. This new hire will assume the responsibilities of their outgoing and retiring CCO and be responsible for overseeing all compliance obligations and issues concerning the funds to ensure adherence to laws and regulations under the Investment Company Act, specifically focusing on Investment Company Act Rule 38a-1. Reporting to the Board of Directors, the CCO will be work with the outgoing CCO for a period of 6-12 months to have the program transitioned to their oversight.
Key Points:
- Fund has an exceptional reputation in the industry, growing substantially in AUM and strategies
- Opportunity to work as an independent contractor with direct reporting lines to the Board of Directors
- Leadership position with substantial influence across the firm and its compliance program and access to resources internally and externally
- The outgoing CCO has established a credible program and will assist this new hire in assuming the entirety of it through training
- Extremely stable capital and an opportunity to work with brilliant minds and kind colleagues
Responsibilities:
- Update and oversee compliance policies and procedures of the funds, obtaining approval from the Board(s) for any significant changes to it
- Review and approve regulatory filings prepared by the funds’ investment manager or counsel
- Perform compliance testing to assess the adequacy and efficacy of the Compliance Manual to prevent violations of Federal Securities Laws as defined by Rule 38a-1
- Conduct the annual review of Rule 38a-1 for the funds and deliver a written report to the Board summarizing the findings
- Participate in due diligence meetings and conduct on-site due diligence assessments of the funds’ service providers; prepare written reports regarding these evaluations
- Guide the Board regarding the sufficiency of resources accessible to the Adviser and the Funds to uphold compliance with the Investment Company Act and Rule 38a-1
- Keep abreast of regulatory changes pertaining to the funds; modify the Compliance Manual and address compliance testing changes necessary to ensure alignment with these developments
- Serve as the fund’s AML officer, overseeing and advising on the AML/KYC policy, and offering insights on transfer agent inquiries and issues
- Serve as the main point of contact for the funds during regulatory examinations and conduct/participate in mock SEC examinations
Requirements:
- 10-15 years of regulatory compliance experience with experience across the Investment Company Act Rule 38a-1 and Investment Advisers Act
- JD strongly preferred; experience in a big law firm is desirable but not required
- Exemplary career achievements; individual must demonstrate a history of being a trusted advisor to internal parties
- Desire and mindset to work in an independent contractor capacity; entrepreneurial and team-oriented attitude will work best here
- Proactive mindset/a thought leader among their peers
Compensation: $500-600K annual compensation
Job Reference #1945
