Core Compliance Officer
2 weeks ago
A VP-level professional is needed to support the Core Compliance Team in creating and maintaining processes to ensure that all impacted Natixis CIB Americas entities and employees are adequately registered with the appropriate regulatory bodies and comply with related registration requirements. This will include responsibility for the scheduling and tracking of all required registrations as well as the coordination of U4 and U5 forms.Additionally, the individual will assist with Personal Account Dealing (PAD) matters, including the setup and termination of accounts, provide advice to employee regarding the brokerage account requirements, restrictions of employee trading, holding periods, PAD Violations and contribute to subject matter expertise around any PAD-related questions made by employees.The individual will also assist with other Core Compliance functions such as the review and escalation of Electronic Communications, Mandatory Leave, and Conduct issue tracking and escalation.The salary range for this position will be between $125,000 - $175,000. Natixis is required by law to include a reasonable estimate of the compensation range for this role. Actual base salary will vary and will be based on several factors including, but not limited to, relevant experience, education, skills set, applicable licensure and certifications, and other business and organizational needs. Base salary is only one component of our total rewards package. Natixis also offers a generous benefits package, and you may be eligible for a discretionary incentive award depending on company and individual performance.He/she/they will report to the Head of Core Compliance.The Compliance Officer will be primarily responsible for the following:Handle the daily monitoring of FINRA Web CRD including form filings U4, U5, BD and BRPerform registration pre-hire checks.Communicate with the State and Regulatory Agencies regarding registration filings.Ensure employee annual Regulatory Continuing Education requirements are met and draft examination waiver requests as needed.Ensure KRI is maintained and tracked to complete timely regulatory filings and payments.Schedule regulatory license examinations and order and track study materials.Maintain Government Securities Dealer Representatives List and Swap Dealer AP List.Review/approve training and fingerprint invoices.Review FINRA Firm and Organization queues.Process annual Tennessee Privilege Tax bulk filing and paymentEscalate any issues or concerns to Head of Core ComplianceAssist with employee New Hire Affirmations and Account DisclosuresHandle employees’ questions related to Personal Account Dealing matters (e.g., account disclosure and pre-clearance of trades) as well as administration of account statement feeds from designated brokerage firms for new joiners, internal mobilities and leavers.Collaborate with other members of the team to provide training on Core Compliance matters such as Personal Account Dealing, registrations, and electronic communications.Review electronic communication surveillance alerts and coordinate any necessary escalations.Full timePosting Date: 2024-04-25
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New York, NY, United States Compliance Recruitment Solutions Full timeCompliance 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...
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New York, United States Cardea Group Full timeGeneral Counsel & Chief Compliance Officer++ (New York, NY): Our client, a $1B+ hedge fund with a strong reputation and track record, is looking to hire their first fully dedicated GC & CCO. This new hire will be a part of the team’s executive leadership committee and spearhead their compliance program efforts while also meaningfully contributing to their...
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Chief Compliance Officer
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New York, United States Cardea Group Full timeGeneral Counsel & Chief Compliance Officer++ (New York, NY): Our client, a $1B+ hedge fund with a strong reputation and track record, is looking to hire their first fully dedicated GC & CCO. This new hire will be a part of the team’s executive leadership committee and spearhead their compliance program efforts while also meaningfully contributing to their...
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Compliance Officer, Trading Compliance
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New York, United States Balyasny Asset Management L.P. Full timeLoadingSorry to interruptCSS Error Compliance Officer, Trading Compliance LocationNew York PostedPosted 52 Days Ago CodeREQ5643 Balyasny Asset Management is seeking an experienced Compliance Officer for its New York office. The employee will report to a Senior Compliance Officer and will work closely with both the Compliance and Legal Departments....
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New York, United States AIG - American International Group, Inc. Full timeSenior Compliance Officer, Investments Compliance. Location: Parsippany, NJ or New York, NY - At AIG, we are reimagining the way we help customers to manage risk. Join us as a Senior Compliance Officer, Investments Compliance to play your part in tha Compliance Officer, Compliance, Investment, Officer, Senior, Operations, Banking
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Compliance Officer
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New York, United States Golub Capital Full timePosition Information Hiring Manager: Deputy General Counsel Department: Legal & Compliance Department Overview The Legal & Compliance Department is responsible for managing legal risk and providing legal counsel for each of the Firm's functions. The Legal & Compliance Department also manages the Firm's regulatory profile under relevant securities laws....
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New York, United States Quanteam - North America (rainbow Partners Group) Full timeAs the founding entity of RAINBOW PARTNERS, Quanteam is a consulting firm specializing in the fields of Banking, Finance, and Financial Services. Guided by our core values of closeness, teamwork, diversity, and excellence, our team of 1,000 expert consultants, representing 35 different nationalities, collaborates across 10 international offices: Paris, Lyon,...
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New York, United States Bloomberg L.P. Full timeBloomberg Tradebook - Legal & Compliance. New York, NY - Posted Apr 26, 2024 - Requisition No. 124879 The energy of a newsroom, the pace of a trading floor, the buzz of a recent tech breakthrough; we work hard, and we work fast - while keeping up the Compliance Officer, Compliance, Officer, Senior, Regulatory, Project Management, Technology
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Compliance Officer
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New York, United States QUANTEAM - North America (RAINBOW PARTNERS Group) Full timeAs the founding entity of RAINBOW PARTNERS, Quanteam is a consulting firm specializing in the fields of Banking, Finance, and Financial Services. Guided by our core values of closeness, teamwork, diversity, and excellence, our team of 1,000 expert consultants, representing 35 different nationalities, collaborates across 10 international offices: Paris, Lyon,...
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Compliance Officer
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New York, United States Swiss Re Full timeLocation: New York, NY, US ** Compliance Officer - US Broker-Dealer** **About Swiss Re** Swiss Re is one of the worlds leading providers of reinsurance, insurance and other forms of insurance-based risk transfer, working to make the world more resilient. We anticipate and manage a wide variety of risks, from natural catastrophes and climate change to...
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Chief Compliance Officer
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Chief Compliance Officer
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