Compliance Officer, Marketing Review

Maintain policies & proceedures regtarding marketing material content & review.Collaborate with sales & marketing across pitchbooks, digital marketing , social media & all marketing materials.Will review client requirements related to sales literature & advertising.Knowledge of 40 Act rule 15c & SEC .3 plus years in Marketing Compliance for Investment...

Maintain policies & proceedures regtarding marketing material content & review.Collaborate with sales & marketing across pitchbooks, digital marketing , social media & all marketing materials.Will review client requirements related to sales literature & advertising.Knowledge of 40 Act rule 15c & SEC .3 plus years in Marketing Compliance for Investment...

Maintain policies & proceedures regtarding marketing material content & review.Collaborate with sales & marketing across pitchbooks, digital marketing , social media & all marketing materials.Will review client requirements related to sales literature & advertising.Knowledge of 40 Act rule 15c & SEC .3 plus years in Marketing Compliance for Investment...

Equities Compliance OfficerFinancial FirmNYC – Downtown225K base + bonus Hybrid, 3 days onsiteJob Summary:A leading interdealer broker covering equities, fixed income and commodities is seeking an Equities Compliance Officer to oversee the Equity and Equity Derivatives Trading Business. You will report into the head of equities compliance. You will draft,...

My client is a $22 billion dollar asset management company looking to bring on board a "SVP, Advertising Compliance Review” to join their team. They are in the office 1-day per week.Responsibilities:Review marketing materials across the firm’s investment strategies to ensure compliance with applicable regulations (e.g., SEC, FINRA, non-US) and internal...

Brookfield Asset ManagementBrookfield Asset Management is a leading global alternative asset manager with over US$1 trillion of assets under management across real estate, infrastructure, renewable power and transition, private equity and credit. Brookfield owns and operates long-life assets and businesses, many of which form the backbone of the global...

Hi, This is Carl Rush, Sr. Staffing Manager with iStaff Global Solutions Inc., and I would like to let you know about an URGENT position I am currently recruiting for. Let’s connect when you have some time to review some of the details, the company, and the compensation package my client is offering. The job responsibilities and requirements are as...

Equities Compliance OfficerFinancial FirmNYC – Downtown225K base + bonus Hybrid, 3 days onsiteJob Summary:A leading interdealer broker covering equities, fixed income and commodities is seeking an Equities Compliance Officer to oversee the Equity and Equity Derivatives Trading Business. You will report into the head of equities compliance. You will draft,...

TradeZero America (“TZA”), is a broker dealer focused on the retail active trader and institutional options trading. TZA is seeking a Compliance Officer to assist its current team located in Brooklyn NY. The role requires prior experience as a compliance officer and experience should include knowledge in:CAT reporting/ Regulatory reporting15c3-5 market...

Atlantic Group, a leading player in the private credit industry, is seeking an experienced Senior Compliance Officer to join their legal and compliance team. Estimated Salary: $180K-$220K + bonusThe ideal candidate will have a strong background in compliance, with a focus on private fund marketing and distribution. They will be responsible for ensuring that...

Fiducient Advisors provides tailored and personalized investment consulting services to clients such as retirement plan sponsors, endowments and foundations, private clients, and financial institutions. We operate with over 200 professionals nationwide, supporting our distinct purpose of helping clients prosper.The Compliance Officer is responsible for...

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...

Hi, This is Carl Rush, Sr. Staffing Manager with iStaff Global Solutions Inc., and I would like to let you know about an URGENT position I am currently recruiting for. Let’s connect when you have some time to review some of the details, the company, and the compensation package my client is offering. The job responsibilities and requirements are as...

Hi, This is Carl Rush, Sr. Staffing Manager with iStaff Global Solutions Inc., and I would like to let you know about an URGENT position I am currently recruiting for. Let’s connect when you have some time to review some of the details, the company, and the compensation package my client is offering. The job responsibilities and requirements are as...

Brookfield Asset ManagementBrookfield Asset Management is a leading global alternative asset manager with over US$1 trillion of assets under management across real estate, infrastructure, renewable power and transition, private equity and credit. Brookfield owns and operates long-life assets and businesses, many of which form the backbone of the global...

Group Overview The TP ICAP Group is a world leading provider of market infrastructure. Our purpose is to provide clients with access to global financial and commodities markets, improving price discovery, liquidity, and distribution of data, through responsible and innovative solutions. Through our people and technology, we connect clients to superior...

Equities Compliance OfficerFinancial FirmNYC – Downtown225K base + bonus Hybrid, 3 days onsiteJob Summary:A leading interdealer broker covering equities, fixed income and commodities is seeking an Equities Compliance Officer to oversee the Equity and Equity Derivatives Trading Business. You will report into the head of equities compliance. You will draft,...

Equities Compliance OfficerFinancial FirmNYC – Downtown225K base + bonus Hybrid, 3 days onsiteJob Summary:A leading interdealer broker covering equities, fixed income and commodities is seeking an Equities Compliance Officer to oversee the Equity and Equity Derivatives Trading Business. You will report into the head of equities compliance. You will draft,...

The Senior Compliance Consultant role involves ensuring compliance with FINRA, SEC, and broker-dealer regulations by developing and implementing compliance policies, conducting audits, and overseeing risk assessments. Additionally, the position serves as a liaison with regulatory bodies and manages anti-money laundering (AML) and Know Your Customer (KYC)...

Our client, a private equity firm based in NYC, is seeking a Compliance Associate.This role is instrumental in ensuring the firm’s marketing and investor communications meet U.S. regulatory requirements while maintaining high standards of quality and accuracy.The ideal candidate will collaborate closely with investor relations and business professionals to...