VP Compliance Officer

Bank is looking to hire a VP, Surveillance Compliance Officer covering employee surveillance.Responsibilities will include:Assist with e-communications review and surveillance to detect any Compliance policy breachesServe as lead Compliance Officer responsible for the oversight and monitoring of personal and related trading accounts maintained by...

Bank is looking to hire a VP, Surveillance Compliance Officer covering employee surveillance.Responsibilities will include:Assist with e-communications review and surveillance to detect any Compliance policy breachesServe as lead Compliance Officer responsible for the oversight and monitoring of personal and related trading accounts maintained by...

Summary:Reporting to CACIB US Compliance’s Head of Governance and Ethics, the Compliance Officer will be in charge of implementing & maintaining CACIB US Compliance Governance Framework; acting as Secretary of the committees managed by CACIB US Compliance department and performing 2nd line of defense controls. Key Responsibilities:General Secretary...

Job DescriptionJob DescriptionJoin Our Team: VP Corporate Banking Account Officer (Bilingual French)Ready to elevate your career? We're hiring a VP Corporate Banking Account Officer to join our team in Manhattan with a leading foreign bank.Compensation and Benefits:Competitive base salary: $200K - $215K Comprehensive benefits package Opportunities for...

As a Barclays Compliance Assurance Monitoring and Testing Vice President (VP), you will be responsible for supporting Compliance in achieving its mission, purpose, and objectives with an assurance capability to meet the demands of a Compliance function. You will be responsible for managing and executing assurance reviews and/or issue validation to assess and...

You Lead the Way. We've Got Your Back.With the right backing, people and businesses have the power to progress in incredible ways. When you join Team Amex, you become part of a global and diverse community of colleagues with an unwavering commitment to back our customers, communities and each other. Here, you'll learn and grow as we help you create a career...

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...

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...

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...

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...

VP, Compliance – Asset Based Finance (New York, NY): Our client, a $50B multi-strat fund with an international reach, is looking for a dedicated compliance professional to sit in a newly established position. Acting as a generalist and with a focus on supporting the asset-based finance group, the VP will manage key compliance-related projects and...

VP, Compliance – Asset Based Finance (New York, NY): Our client, a $50B multi-strat fund with an international reach, is looking for a dedicated compliance professional to sit in a newly established position. Acting as a generalist and with a focus on supporting the asset-based finance group, the VP will manage key compliance-related projects and...

Job DescriptionJob DescriptionCompliance Officer - Real EstateBrooklyn (Williamsburg), NY150kThe Compliance Officer will be responsible for developing, implementing, and overseeing the compliance programs for our real estate and property management operations. This role involves ensuring that all business activities are conducted in accordance with...

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...

Summary:Reporting to CACIB US Compliance’s Head of Governance and Ethics, the Compliance Officer will be in charge of implementing & maintaining CACIB US Compliance Governance Framework; acting as Secretary of the committees managed by CACIB US Compliance department and performing 2nd line of defense controls. Key Responsibilities:General Secretary...

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...

Company Overview: Our client is large, dynamic retail business based in North Carolina. The business is committed to innovation in pursuit of operational excellence, and customer satisfaction and seeks highly skilled VP of FP&A to join our finance team. Position Overview: Working directly with the CFO and CEO the VP of FP&A will play a critical role in...

VP/Director(1st Yr) NFA Complianceat Lime TradingOn Site - North America(New York)Your Role:As the NFA/CFTC senior compliance expert you’ll be a part of our team and will help mature our NFA/CFTC compliance products and controls, functions and reporting needs. You will provide compliance guidance around NFA/CFTC regulated new products, business initiatives...

Compliance for a NYC based SEC registered investment advisory firm ( Midtown). You will handle investment advisory and fund related compliance work. This role reports to the General Counsel and CCO. This position is a 5 day a week in-office opportunity and they would like to find someone that could grow into the CCO position over time.