Investment Compliance Officer

Investment Compliance Officer (New York, NY): Our client, a hedge fund with over $3B in AUM is seeking an experienced Investment Compliance Officer to join their team a newly created position to lead surveillance initiatives within their growing New York office. The ideal candidate will have a strong background in investment compliance and direct experience...

Job OverviewIQ-EQ, a leading service provider to the alternative asset industry, is seeking an experienced Senior Compliance Officer to support its investment advisory clients.Company ProfileIQ-EQ works with managers in multiple capacities, offering services ranging from hedge fund and private equity fund launches to regulatory compliance, financial...

About the RoleWe are seeking a highly skilled Senior Compliance Officer to join our team at IQ-EQ. This is a fantastic opportunity for a seasoned compliance professional to take on a challenging role and make a real impact in the alternative investment sector.Job SummaryThe Senior Compliance Officer will be responsible for leading engagements for the...

Chief Compliance Officer, Registered Investment Advisor Compliance Permanent contract New York, United States Salary from 144,000 to 380,000 Reference 24000NZP Start date 2024/12/23 Publication date 2024/10/15 Responsibilities RESPONSIBILITIES: Implement and/or maintain a comprehensive investment advisory compliance program for SEC...

New York, New York About Fortress Fortress Investment Group LLC is a leading global investment manager with approximately US$48 billion of assets under management as of June 30, 2024. Founded in 1998, Fortress manages assets on behalf of over 2,000 institutional clients and private investors worldwide across a range of credit and real estate, private...

Bessemer Trust is seeking an experienced Compliance Manager to join our Investment Compliance team. Reporting directly to the Director of Investment Management Compliance (and Chief Compliance Officer of our mutual funds and registered investment adviser), the Compliance Manager will assist in administering the 206(4)-7 and 38a-1 compliance programs and...

Bessemer Trust is seeking an experienced Compliance Manager to join our Investment Compliance team. Reporting directly to the Director of Investment Management Compliance (and Chief Compliance Officer of our mutual funds and registered investment adviser), the Compliance Manager will assist in administering the 206(4)-7 and 38a-1 compliance programs and...

About UsWellington Management Company, LLP offers a comprehensive range of investment management services that cater to the diverse needs of institutional clients across the globe. With a robust body of proprietary research and a collaborative culture that fosters independent thought and healthy debate, our investment solutions are designed to help clients...

Job Overview:We are seeking a highly skilled and experienced Investment Banking Compliance and Supervision Officer to join our team. This role requires 3-5 years of experience in investment banking, with a focus on supervisory responsibilities. The ideal candidate will be adept at ensuring regulatory compliance, overseeing filing requirements, and...

Senior Compliance - Investment BankingLocation: New York. NY (hybrid)Overview:We are recruiting for an experienced senior regulatory compliance professional to join an M&A Advisory Boutique. This role requires deep expertise in SEC and FINRA regulatory requirements, alongside the ability to provide comprehensive analysis and strategic recommendations in...

Regulatory Compliance Specialist for Investment BankingWe are seeking a highly skilled Regulatory Compliance Specialist to ensure regulatory compliance, oversee filing requirements, and maintain effective supervisory controls within the investment banking division.Main Responsibilities:Ensure all investment banking activities adhere to regulatory...

Title: Compliance Associate/Officer Firm: $50B+ Alternative Asset Management FirmLocation: Greenwich, CT and New York, NYJob Overview: Our client, a successful alternative asset management firm with $50B+ in AUM is seeking an exceptional Compliance Professional to join their compliance team. Highlights: Newly created position on the credit team which is the...

Job Overview:We are seeking a highly skilled and experienced Investment Banking Compliance and Supervision Officer to join our team. This role requires 3-5 years of experience in investment banking, with a focus on supervisory responsibilities. The ideal candidate will be adept at ensuring regulatory compliance, overseeing filing requirements, and...

Senior Compliance - Investment BankingLocation: New York. NY (hybrid)Overview:We are recruiting for an experienced senior regulatory compliance professional to join an M&A Advisory Boutique. This role requires deep expertise in SEC and FINRA regulatory requirements, alongside the ability to provide comprehensive analysis and strategic recommendations in...

About Us Wellington Management offers comprehensive investment management capabilities that span nearly all segments of the global capital markets. Our investment solutions, tailored to the unique return and risk objectives of institutional clients in more than 60 countries, draw on a robust body of proprietary research and a collaborative culture that...

Position can sit in NYC or Stamford, CT.30B+ SEC RIA seeks a Senior Compliance Officer to join their growing team! Position will report directly to the DCCO and CCO, and also oversee 2 junior team members.In office schedule is 3 per week.Pre- and post-trade monitoring portfolio compliance of separate accounts, commingled funds, mutual funds, and UCITS.•...

Full-service BD and investment bank is seeking an experienced compliance professional to join as a control room specialist. The ideal candidate will have solid experience in various functions, such as Watch & Restricted Lists, Wall crossing. The ideal candidate will thrive in a fast-paced environment, handling sensitive information while maintaining the...

We are seeking an Investment Opportunity Lead to join our team at Safrik Trading & Investment. As a key member of our investment team, you will be responsible for identifying and evaluating new investment opportunities, working closely with our deal teams to source and execute transactions, and providing strategic support to our existing portfolio...

Investment Compliance Officer (New York, NY): Our client, a hedge fund with over $3B in AUM is seeking an experienced Investment Compliance Officer to join their team a newly created position to lead surveillance initiatives within their growing New York office. The ideal candidate will have a strong background in investment compliance and direct experience...

At Capstone Investment Advisors, we're pushing the boundaries of alternative investment management. Our team is dedicated to creating sustainable value for our clients, and we're looking for a skilled Investment Product Strategist to join us.About UsWe're a global firm with a deep understanding of volatility, operating across a broad range of...