Senior Compliance Officer

Job SummaryAres Management Corporation is seeking a highly skilled and experienced Compliance professional to join our Legal and Compliance team as a Senior Compliance Officer. This role will be responsible for creating and implementing the Firm's Registered Investment Adviser program, ensuring compliance with complex regulatory regimes, and providing...

About the RoleWe are seeking a highly skilled and experienced Senior Compliance Officer to join our Control Room function at Deutsche Bank. As a key member of our team, you will play a critical role in maintaining the integrity of our information barriers and ensuring compliance with regulatory requirements.Key ResponsibilitiesMaintain and update the Firm's...

Job DescriptionWe are seeking a seasoned banking professional to fill the role of Deputy Chief Compliance Officer at Banking Careers.Key Responsibilities:Serve as a subject matter expert and support the compliance team in executing its responsibilities.Assist in directing the overall compliance program and strategy for the firm.Recommend policies and partner...

Our client, a well-known Financial Services firm, is looking to add a Senior Compliance Manager to their team! Responsibilities of this position include maintaining firm-wide compliance with new and established policies and procedures, engaging with external regulators (including FINRA and the SEC) during regulatory examinations, and overseeing the...

Job DescriptionPartnership Employment is seeking a highly skilled Senior Sanctions Compliance Officer to join our team. As a key member of our compliance department, you will play a critical role in ensuring the company's adherence to sanctions regulations and laws.Key Responsibilities:Sanctions Knowledge Management: Maintain a high degree of relevant...

Compliance 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...

Compliance 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...

About the RolePIMCO, a global leader in active fixed income, is seeking a Senior Compliance Officer to join its global compliance team within the Legal and Compliance Department. This role will focus on the U.S. Registered Funds 38a-1 compliance program, including open-end funds, exchange-traded funds, closed-end funds, business development companies, and...

TradeZero, 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...

TradeZero, 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...

Compliance Officer – New York, NY (onsite)SEC-registered investment adviser specializing in Collateralized Loan Obligations (CLO), Asset-Backed Securities (ABS), and Commercial Real Estate (CRE) with approximately $16.8B AUM is seeking a Compliance Officer to assist with compliance oversight with respect to its SEC-regulated advisory business. Drawing on...

Compliance Officer – New York, NY (onsite)SEC-registered investment adviser specializing in Collateralized Loan Obligations (CLO), Asset-Backed Securities (ABS), and Commercial Real Estate (CRE) with approximately $16.8B AUM is seeking a Compliance Officer to assist with compliance oversight with respect to its SEC-regulated advisory business. Drawing on...

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...

Job DescriptionJob Title: Chief Compliance OfficerDepartment: Department For The AgingJob Summary:The Department For The Aging is seeking a highly motivated and experienced Chief Compliance Officer to join our team. As a key member of our leadership team, the Chief Compliance Officer will be responsible for ensuring that our organization is in compliance...

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...

PIMCO is a global leader in active fixed income with deep expertise across public and private markets. We invest our clients' capital across a range of fixed income and credit opportunities, leveraging our decades of experience navigating complex debt markets. Our flexible capital base and deep relationships with issuers have helped us become one of the...

Compliance Consultancy Director – Previous Compliance Funds Experience and 1940 Act/NFA/CFTC Knowledge Required Ref: 4015G3 $200K - $220K + Bonus + Benefits   New York City Our Client, a growing and dynamic regulatory consulting firm based in New York and London, are looking to hire an experienced compliance professional to join their New York Regulatory...

Job Opportunity: Compliance Officer @ International Bank – New York BranchReady to elevate your compliance career with a dynamic financial institution? We’re seeking a Compliance Analyst/Compliance Officer to join our expanding team in New York City.In this role, you'll thrive in a collaborative environment, work with a great manager, wear many hats, and...

Job Opportunity: Compliance Officer @ International Bank – New York BranchReady to elevate your compliance career with a dynamic financial institution? We’re seeking a Compliance Analyst/Compliance Officer to join our expanding team in New York City.In this role, you'll thrive in a collaborative environment, work with a great manager, wear many hats, and...