Compliance Associate

Job DescriptionJob DescriptionOptima Partners is looking for a Compliance Associate / Senior Compliance Associate in it's New York Office to assist with compliance reviews and advisory assessments for asset managers, hedge funds, private equity and real-estate clients. Considered Compliance Associate candidates will have:Lead or joint lead roles for...

Excellent opportunity with a great organization in the NYC area. This role will primarily assist with the compliance program in managing legal, regulatory and compliance risks associated with the Asset Management business. Additionally, you will work collaboratively with the global compliance team on other related compliance issues at the...

Compliance Associate If you are a highly motivated individual and looking to join a vibrant growing company, Hennion & Walsh, Inc. may be the right choice for you. Overview Hennion & Walsh is an advocate for the individual investor. We believe in putting the client first. At Hennion & Walsh, we know individual investors want a personal relationship with...

HF Compliance Associate for newly launched hedge fund in NYC! Will be working directly with the CCO as part of a two person team!Bachelor’s degree required. JD is not required but considered a plus.2-4 years of compliance experience at an SEC registered investment adviser or compliance consulting firm. Exposure to hedge funds is preferred. Strong...

Compliance Associate Beacon Hill Legal is searching for a Compliance Associate for a financial trading firm's Downtown Manhattan office. This role has a salary ranging from $140,000 to $170,000. This person should have at least 4 years of experience in a regulated trading company. This person should be experienced in working with regulatory agencies, '40 Act...

Job DescriptionJob DescriptionBenefits:401(k)401(k) matchingBonus based on performanceCompetitive salaryHealth insuranceOpportunity for advancementPaid time offJoin an Elite Team - Be the Face of Excitement at Muriel Siebert & Co IncEmbark on a thrilling career with Muriel Siebert & Co Inc., an esteemed Financial Services Company relocating very soon to New...

Description:CAIPA MSO is a management service organization in which we service over 2500 providers in the Greater New York City area. Our mission is to alleviate our provider's administrative tasks so they can focus on patient care. CAIPA MSO is a certified Great Place to Work organization as we strive to take care of our team and the clients we service. The...

About Us: Pharo Management is a renowned global macro hedge fund specializing in emerging markets. Established in 2000, the firm operates in London, New York, and Hong Kong, managing $7 billion in assets across four funds. Pharo engages in trading various financial instruments across multiple countries and regions worldwide. Their investment strategy...

Company DescriptionInterval Partners, LP (“Interval”) is an asset management company based in Manhattan, NY. Interval provides investment advice on a discretionary basis and serves as the management companies and general partners for pooled investment vehicles. The company offers various equity investment strategies and manages investment advisory...

Company DescriptionInterval Partners, LP (“Interval”) is an asset management company based in Manhattan, NY. Interval provides investment advice on a discretionary basis and serves as the management companies and general partners for pooled investment vehicles. The company offers various equity investment strategies and manages investment advisory...

Who we areFounded in 1999, Next Capital Management is an independent, SEC Registered Investment Advisor that offers investment and advisory services to high-net worth individuals, families, trusts, and businesses in a multi-family office style approach. At Next Capital, we strive to deliver a thoughtful, customized wealth management experience. We foster a...

Who we areFounded in 1999, Next Capital Management is an independent, SEC Registered Investment Advisor that offers investment and advisory services to high-net worth individuals, families, trusts, and businesses in a multi-family office style approach. At Next Capital, we strive to deliver a thoughtful, customized wealth management experience. We foster a...

Job DescriptionJob DescriptionOptima Partners is looking for a Senior Associate of Compliance or Associate Director of Compliance to have senior oversight of client regulatory compliance matters for some or all of the following: asset managers, hedge funds, private equity, real-estate clients, banks and broker-dealers. Considered candidates for these...

Position Overview:Location: Midtown ManhattanCompensation: $130k - $145k + BonusKey Responsibilities:Support a diverse range of regulatory, corporate, fund, and investment compliance issues across multiple strategies.Draft, implement, and maintain compliance policies and procedures, assisting the team in adapting these frameworks to accommodate new business...

Sound Point Capital Management, a credit-oriented investment manager overseeing approximately $45 billion in total assets, is seeking a Compliance professional. Sound Point has a diverse product line which includes CLOs and various funds that invest in stressed and distressed credit, commercial real estate, structured products, consumer loans, and corporate...

Employer Overview:Octagon Credit Investors, LLC is a well-established investment advisory firm with over 25 years of experience and a focus on leveraged loans, high yield bonds, and structured credit investments. Our investment team utilizes fundamental credit analysis and proactive portfolio management to uncover attractive relative value opportunities...

Employer Summary:Octagon Credit Investors, LLC is a 25+ year old, $34+B investment adviser focused on leveraged loan, high yield bond, and structured credit (CLO debt and equity) investments. Through fundamental credit analysis and active portfolio management, Octagon's investment team identifies attractive relative value opportunities across...

Employer Summary:Octagon Credit Investors, LLC is a 25+ year old, $34+B investment adviser focused on leveraged loan, high yield bond, and structured credit (CLO debt and equity) investments. Through fundamental credit analysis and active portfolio management, Octagon's investment team identifies attractive relative value opportunities across...

Job DescriptionJob Description​​​​​​Armand Corporation, an award-winning M/WBE Construction Management firm celebrating over 33 years in the industry, is seeking a full-time Construction Diversity Compliance Associate for a federal construction project related to complex rail, transit, and other transportation projects in NY & NJ.The ideal...

Firm: $100Bn Global Investment Firm Title: Legal and Compliance AssociateLocation: New York City / Midtown Hybrid: 4 days a week, 1 day WFHCompensation: $130-150k base + bonus Our Client is actively looking for a Compliance Analyst to join their team in NYC 4 days a week. This role offers an opportunity to engage with a variety of business teams, providing...