Manager - Regulatory Compliance

About the RoleWe are seeking a highly skilled and experienced Senior Compliance Officer to join our Investment Management Compliance team in New York City. As a key member of our team, you will play a critical role in ensuring the compliance of our ETF advisory services with regulatory requirements.Key ResponsibilitiesContribute to the development and...

About Us: We are an inclusive employer committed to fostering a diverse workplace. As a proud member of myGwork, we support the LGBTQ+ business community and strive to create a welcoming environment for all. Role Overview: Our Legal & Compliance Department is integral to our global operations, addressing complex legal challenges and ensuring adherence to...

The Lead Investigator is responsible for conducting thorough investigations across various Regulatory Compliance cases to establish comprehensive and factual investigative records. Less complex cases are managed with limited oversight from supervisory personnel. We are looking for a candidate with expertise in areas such as market structure, trading...

Compliance Project Management ConsultantFull-timeSia Partners is a forward-thinking management consulting firm that combines artificial intelligence and design expertise to enhance traditional consulting services, delivering exceptional value to our clients. With a team of 3,000 consultants across 19 countries, we are on track to achieve significant...

Company OverviewWise is a global technology enterprise dedicated to revolutionizing the way individuals and businesses manage and transfer their finances. With minimal fees and maximum efficiency, we strive to enhance the financial experience for our users.Our mission is to simplify international money transfers and payments, making financial transactions...

Job OverviewCompany Overview:Wise is a leading technology enterprise dedicated to revolutionizing the way individuals and businesses handle their finances globally. Our focus is on minimizing fees while maximizing convenience and speed.Our mission is to simplify the process of sending money internationally, whether for personal or business needs, and to...

Company Overview:Wise is a pioneering technology firm dedicated to revolutionizing the way individuals and businesses handle their finances globally. With minimal fees and maximum efficiency, we strive to simplify international money transfers and management.Position Overview:As a Senior Regulatory Product Compliance Manager, you will play a crucial role...

About UsEstablished in 1999, Next Capital Management LLC is a distinguished, SEC Registered Investment Advisor dedicated to providing investment and advisory services tailored to high-net-worth individuals, families, trusts, and businesses through a multi-family office approach. Our mission is to create a personalized wealth management experience within a...

About UsEstablished in 1999, Next Capital Management LLC is a distinguished, SEC Registered Investment Advisor dedicated to providing investment and advisory services tailored for high-net-worth individuals, families, trusts, and businesses through a multi-family office approach. Our mission is to create a personalized wealth management experience in a...

Company Overview:McCann & Braham is a leading global commodity trading firm, recognized for its dedication to ethical practices, sustainability, and integrity in business operations.Position Summary:We are in search of a Compliance Associate with a strong background in compliance advisory and market regulation. This position will report directly to the...

Job DescriptionSia Partners, a leading management consulting firm, is seeking a seasoned Regulatory Compliance Specialist to join our Financial Services practice. As a key member of our team, you will play a critical role in supporting our clients with regulatory remediation initiatives.Key ResponsibilitiesDevelop and Execute Regulatory Remediation Plans:...

Company OverviewWise is a leading technology enterprise dedicated to revolutionizing the way individuals and businesses handle their finances globally. With minimal fees and maximum efficiency, we aim to streamline the process of sending and managing money across borders.Our mission is to simplify international transactions, ensuring that our customers save...

Company Overview:McCann & Braham is a leading global commodity trading firm recognized for its dedication to ethical practices, sustainability, and integrity in business operations.Position Overview:We are in search of a Compliance Associate with a strong background in compliance advisory and market regulation. This position will report directly to the...

Company Overview:McCann & Braham is a leading global commodity trading firm, recognized for its unwavering dedication to ethical practices, sustainability, and responsible operations.Position Summary:We are looking for a Compliance Associate with expertise in compliance advisory and market regulation. This position will report directly to the Market Conduct...

Company Overview:McCann & Braham is a leading global commodity trading firm recognized for its dedication to ethical practices, sustainability, and integrity in business operations.Position Summary:We are in search of a Compliance Associate with expertise in compliance advisory and market regulation. This position will report directly to the Market Conduct...

Company Overview:McCann & Braham is a leading global commodity trading firm, recognized for its dedication to ethical practices, sustainability, and responsible business operations.Position Overview:We are looking for a Compliance Associate with expertise in compliance advisory and market regulation. This position will report directly to the Market Conduct...

Global Compliance is tasked with the critical function of identifying, mitigating, and managing compliance, regulatory, and reputational risks across the organization. This team is essential in reinforcing the firm's commitment to compliance by establishing robust controls, policies, and procedures. Acting as a vital second line of defense, Compliance...

Company Overview:McCann & Braham is a distinguished global commodity trading firm recognized for its unwavering dedication to ethical practices, sustainability, and responsible operations.Position Overview:We are in search of a Compliance Associate with expertise in compliance advisory and market regulation. This position will report directly to the Market...

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...

Job OverviewQuantbot, a leading firm in the finance sector, is in search of a diligent, proactive, and detail-oriented professional to enhance our compliance team. As a rapidly growing investment adviser, we pride ourselves on our commitment to maintaining the highest compliance standards.Key Responsibilities:The selected candidate will be tasked with...