Compliance Officer
3 weeks ago
This strategic hire will play a key role in running the day-to-day compliance program as the firm continues to build a best-in-class compliance team.
The ideal candidate will have:
- Strong knowledge of the Investment Advisers Act of 1940 and Investment Company Act of 1940 is required.
- Testing & Monitoring
- Policies & Procedures
- Code of Ethics
- Licensing & Registrations
- Cross-Border / International Compliance
- Marketing Review
- Trade/Portfolio Compliance
- Employee Surveillance
- Regulatory Inquiries/Audits
- A strong academic pedigree from a top university
The position will suit a highly motivated and entrepreneurial individual looking to work at a firm renowned for innovation and integrity.
A highly competitive compensation package is on offer.
For a discussion in confidence, please apply with your resume.
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Compliance Consultancy Director
2 weeks ago
New York, New York, 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 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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Compliance Officer
5 days ago
New York, United States Guggenheim Partners Full timeWill include conducting beneficial owner and control person due diligence on participants in transactions as well as assisting with GPIM client and collective investment vehicle investor AML/ KYC on-boarding. The Compliance Officer is located in our Compliance Officer, Officer, Compliance, Investment, Asset Manager, Banking
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Compliance Officer
5 days ago
New York, United States Bloomberg L.P. Full timePersonal Account Dealing and Conflicts of Interest (COI) Analyst - Legal & Compliance. New York, NY - Posted May 3, 2024 - Requisition No. 125084 The energy of a newsroom, the pace of a trading floor, the buzz of a recent tech breakthrough; we work h Compliance Officer, Compliance, Officer, Operations, Monitoring, Support, Business Services
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Compliance Officer
3 weeks ago
New York, United States Cardea Group Full timeCompliance Officer (New York, NY): Our client, a $2B+ private equity fund is currently looking to fill a newly created position as their Compliance Officer. Supporting the Chief Compliance Officer and Associate General Counsel, this position offers the chance to engage in various areas such as compliance, governance, marketing, ESG, and deal-related affairs....
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Compliance Officer, Trading Compliance
2 weeks ago
New York, United States Balyasny Asset Management L.P. Full timeLoadingSorry to interruptCSS Error Compliance Officer, Trading Compliance LocationNew York PostedPosted 45 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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Compliance Officer, Trading Compliance
4 days ago
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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Compliance Officer
5 days ago
New York, United States Guggenheim Partners Full timePosition Summary Guggenheim Investments is seeking an exceptional Compliance Officer to join its team. Reporting to the Head of Anti-Money Laundering of Guggenheim Partners Investment Management, LLC (GPIM), an SEC-registered investment advisor. This person will join a highly collaborative team responsible for Anti-Money Laundering (AML), Know Your Customer...
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Compliance Officer, Trading Compliance
5 days ago
New York, United States Balyasny Asset Management L.P. Full timeLoadingSorry to interruptCSS Error Compliance Officer, Trading Compliance LocationNew York PostedPosted 51 Days Ago CodeREQ5643 With respect to NY- and CA-based applicants, the starting base pay range for this role is between $120000 and $150000 annually. The actual base pay is dependent upon several factors, including, but not limited to, relevant...
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Compliance Officer
5 days ago
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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Senior Compliance Officer
5 days ago
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
6 days ago
New York, United States Golub Capital Full timePosition InformationHiring Manager:Deputy General CounselDepartment:Legal & ComplianceDepartment OverviewThe Legal & Compliance Department is responsible for managing legal risk and providing legal counsel for each of the Firm's functions. Below covers everything you need to know about what this opportunity entails, as well as what is expected from...
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Chief Compliance Officer
7 days ago
New York, United States Melio Full timeJob DescriptionJob DescriptionChief Compliance OfficerLocation: Hybrid in New York City The Chief Compliance Officer will be responsible for developing and supporting the implementation of a program to ensure compliance with all relevant legal and regulatory requirements for Melio Payments, Inc. and its state money transmission licensed affiliate Melio...
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Chief Compliance Officer
3 weeks ago
New York, United States Melio Full timeJob DescriptionJob DescriptionChief Compliance OfficerLocation: Hybrid in New York City The Chief Compliance Officer will be responsible for developing and supporting the implementation of a program to ensure compliance with all relevant legal and regulatory requirements for Melio Payments, Inc. and its state money transmission licensed affiliate Melio...
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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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Consumer Regulatory Compliance Officer
2 weeks ago
New York, United States ACG Resources Full timeJob DescriptionJob DescriptionConsumer Regulatory Compliance Officer located onsite in Manhattan with a foreign bank Base salary $100-135K based on experience and skillsRequired Education and Experience: BA or BS required. A minimum of 5-7 years of experience in compliance management with a banking institution. 1. Knowledge of federal laws pertaining to...
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Chief Compliance Officer
3 weeks ago
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
6 days ago
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
3 weeks ago
New York, United States Spencer Ogden Full timeJob Title: Compliance Officer - Private Equity RenewablesLocation: New York or BostonJob Description:We are seeking a highly motivated and experienced Compliance Officer to join our team and oversee all compliance-related matters within our private equity renewables investment portfolio. The Compliance Officer will be responsible for ensuring that our...
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Compliance Officer
3 days ago
New York, United States Spencer Ogden Full timeJob Title: Compliance Officer - Private Equity Renewables Location: New York or Boston Job Description: We are seeking a highly motivated and experienced Compliance Officer to join our team and oversee all compliance-related matters within our private equity renewables investment portfolio. The Compliance Officer will be responsible for ensuring that our...