Current jobs related to Compliance Officer - New York - Cardea Group

  • Compliance Officer

    1 month ago

    New York, New York, United States JCW Full time

    Compliance OfficerAt JCW, we are seeking a highly skilled Compliance Officer to join our team in New York City. This role offers a unique opportunity for compliance professionals to work closely with and learn directly from the Chief Compliance Officer.Key Responsibilities:Ensure compliance with all relevant regulations, including SEC and FINRA rules.Assist...

  • Compliance Officer

    4 weeks ago

    New York, New York, United States JCW Full time

    Compliance Officer Job DescriptionAt JCW, we are seeking a highly skilled Compliance Officer to join our team in New York City. This role offers the unique opportunity for compliance professionals to work closely with and learn directly from the Chief Compliance Officer.Key Responsibilities:Ensure compliance with all relevant regulations, including SEC and...

  • Compliance Officer

    1 week ago

    New York, New York, United States Social Capital Resources Full time

    At Social Capital Resources, we are seeking a seasoned Compliance Officer to support our Front Office in implementing and executing compliance initiatives, processes, and controls that manage compliance risks.Key responsibilities include:Maintaining business line and support function policies and procedures addressing compliance requirements, including...

  • Compliance Officer

    2 weeks ago

    New York, New York, United States One Ten Associates Full time

    We are seeking a highly skilled Compliance Officer to join our team at One Ten Associates in New York. This is a broad generalised compliance role with full exposure across the business.The ideal candidate will have buy-side experience, either working within a hedge fund or regulatory consultancy. Strong control room/code of ethics experience is...

  • Compliance Officer

    1 month ago

    New York, New York, United States Social Capital Resources Full time

    Compliance Expert Sought by Social Capital ResourcesTop-Tier Bank in Midtown, Manhattan is seeking a seasoned Compliance professional to support their Front Office.Key Responsibilities:Support the implementation and execution of compliance initiatives, processes, and controls that manage compliance risks and ensure regulatory adherence.Maintain and update...

  • Compliance Officer

    1 week ago

    New York, United States New Start Capital Full time

    New Start Capital is seeking a detail-oriented Compliance Officer to monitor and enforce adherence to regulatory requirements, particularly within the debt modification industry. The Compliance Officer will play a critical role in maintaining the company’s regulatory compliance by reviewing internal processes, monitoring client interactions, and developing...

  • Compliance Officer

    1 month ago

    New York, New York, United States Anonymous Full time

    Compliance Officer Job DescriptionAnonymous, a top-tier hedge fund, is seeking a highly motivated and detail-oriented Compliance Officer to join their team in New York City.This key hire will play a strategic role in running the day-to-day compliance program as the firm continues to build an industry-leading team.The ideal candidate will have:Strong...

  • Compliance Officer

    1 week ago

    New York, New York, United States Amalgamated Bank of NY Full time

    Job SummaryAmalgamated Bank of NY is seeking a highly skilled Compliance Officer to join our team. The successful candidate will be responsible for ensuring the Bank's loan, deposit products, and services maintain compliance with federal and state regulations, as well as all Bank compliance-related policies and procedures.Key Responsibilities:Monitor and...

  • Compliance Officer

    7 days ago

    New York, New York, United States Societe Generale Full time

    Compliance OfficerWe are seeking a highly skilled Compliance Officer to join our team at Societe Generale. As a Compliance Officer, you will be responsible for providing advice and guidance on compliance matters to our business lines, ensuring that our activities are conducted in accordance with relevant laws and regulations.Key Responsibilities:Provide...

  • Compliance Officer

    2 weeks ago

    New York, New York, United States Brookfield Asset Management Full time

    Job Title: Compliance OfficerBrookfield Asset Management is seeking a highly motivated and detail-oriented Compliance Officer to join its team in New York. The successful candidate will be responsible for supporting the compliance program focused on the marketing and wholesale distribution of our products on a global basis.Key...

  • Compliance Officer

    2 weeks ago

    New York, New York, United States Millennium Management Corp Full time

    Job Title: Compliance OfficerMillennium Management Corp is seeking a highly skilled Compliance Officer to join our team. As a key member of our Compliance department, you will play a critical role in ensuring the Firm's global Quantitative Trading Compliance program is effective and compliant with regulatory requirements.Key Responsibilities:Assist in the...

  • Compliance Officer

    1 month ago

    New York, New York, United States ESRA Management Full time

    Job OverviewESRA Management is seeking a detail-oriented and organized Compliance Officer to join our team. As a Compliance Officer, you will be responsible for ensuring the day-to-day execution of building compliance, Section 8, and LIHTC certifications across our portfolio of buildings.Key ResponsibilitiesMonitor project-based Section 8 and LIHTC...

  • Compliance Officer

    4 weeks ago

    New York, New York, United States Social Capital Resources Full time

    Compliance Expert Sought for Front Office SupportSocial Capital Resources, a leading financial institution, is seeking a seasoned Compliance professional to join their team in Midtown, Manhattan.Key Responsibilities:Develop and implement compliance initiatives, processes, and controls to mitigate risks and ensure regulatory adherence.Maintain and update...

  • Compliance Officer

    2 weeks ago

    New York, New York, United States Social Capital Resources Full time

    Compliance Expert Sought by Social Capital ResourcesAbout the Role:We are seeking a seasoned Compliance professional to join our team at Social Capital Resources. As a Vice President of Compliance, you will play a critical role in supporting our Front Office in implementing and executing compliance initiatives, processes, and controls that manage compliance...

  • Compliance Officer

    4 weeks ago

    New York, New York, United States Brookfield Asset Management Full time

    Compliance Resource OpportunityThe Brookfield Asset Management team is seeking a skilled Compliance professional to join its BOWS Legal and Regulatory Team in the New York office.This role offers a great opportunity for an individual with a hands-on approach to become an integral part of the team, contributing to the development and implementation of...

  • Compliance Officer

    3 weeks ago

    New York, New York, United States IQ-EQ Full time

    Compliance and Regulatory Affairs ManagerIQ-EQ is a leading service provider to the alternative asset industry, offering a comprehensive range of services to hedge fund, private equity fund, and mutual fund managers. Our team of experts works closely with clients to ensure compliance with regulatory requirements and industry best practices.Key...

  • Compliance Officer

    1 month ago

    New York, New York, United States Cardea Group Full time

    {"title": "Senior Compliance Professional", "subtitle": "Join Cardea Group", "content": "Cardea Group is seeking a highly skilled Senior Compliance Professional to join our team. As a key member of our compliance team, you will play a critical role in ensuring the firm's compliance program is robust and effective in addressing evolving regulatory...

  • Compliance Officer

    4 weeks ago

    New York, New York, United States Goldman Sachs Full time

    Job Title: Global Banking & Markets - Public Compliance OfficerJob Summary:We are seeking a highly skilled and experienced Compliance Officer to join our Global Banking & Markets team. The successful candidate will be responsible for providing day-to-day line Compliance coverage for the Global Banking & Markets - Prime Service businesses, including coverage...

  • Compliance Officer

    3 days ago

    New York, New York, United States Glencore Full time

    Job Title: Compliance Officer - International Compliance SpecialistAbout Us: Glencore is a leading integrated producer and marketer of commodities that industries around the world need.Job Summary: We are seeking a Compliance Officer to implement the corporate compliance program in our relevant offices and operations in the region.Key...

  • Compliance Officer

    3 weeks ago

    New York, New York, United States Cardea Group Full time

    Senior Compliance ProfessionalWe are seeking a highly skilled and experienced Senior Compliance Professional to join our team at Cardea Group. As a key member of our compliance team, you will play a critical role in ensuring that our firm's compliance program is robust and effective in addressing evolving regulatory requirements and changes in the...

Compliance Officer

2 months ago

New York, United States Cardea Group Full time

Compliance 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 and will allow new hire to take ownership of trade testing and monitoring process
  • Firm has an entrepreneurial spirit; people are high energy, collaborative, and love sharing new ideas
  • CCO encourages career growth and wearing many hats across the compliance program

Responsibilities:

  • Conduct post-trade and end of day batch investment compliance monitoring activities for client accounts; work close with the investment professionals
  • Manage ongoing testing in all compliance areas which consist of (insider trading surveillance, compliance with firm policies, TCA, market manipulation surveillance)
  • Collect, review and organize information to support test results, while suggesting new tests to be developed; interact with portfolio managers in an active trading environment
  • Prepare compliance reports and certifications for assigned accounts on a weekly, monthly and quarterly basis; answer sub-advised clients’ DDQs and respond to other compliance inquires

Responsibilities:

  • 3+ years of experience in a compliance capacity or related function; bachelors degree
  • Working knowledge regulatory requirements for the financial services industry, automated daily pre-trade compliance systems (Bloomberg, Charles River, Latent Zero) is a plus
  • Ability to handle multiple responsibilities across multiple entities as well as working independently; excellent written and verbal communication skills as this role requires professional interactions with both internal and external contacts
  • Ability to prioritize workload and adapt quickly to change and deliver well under the pressure of deadlines.

Compensation: $150 base + bonus (+/- dependent on experience)