Compliance Consultancy Director – Previous Compliance Funds Experience and 1940 Act/NFA/CFTC Knowledge Required

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 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...

A financial services firm in New York City is actively seeking an experienced and hardworking professional to join their staff as their new Associate Director of Portfolio Compliance. In this role, the Associate Director of Portfolio Compliance will be responsible for monitoring current holdings and daily trading activity against client guidelines,...

Position Summary Guggenheim Investments is looking for a Senior Compliance Manager & Senior Regulatory Counsel to join the Compliance team. This position will be Hybrid and based in our New York Office.  Essential Job Functions Private Fund Compliance • Provide regulatory advice to the business including the latest rulemaking...

Trading Firm is looking is looking for Associate and VP/Manager level Compliance professionals in New York. This advisory role will essentially make sure the firm is conducting business in accordance with various rules and regulations (FINRA, SEC, CFTC, NFA) as well as internal policies and industry best practices. The ideal candidate will have: 2-7 years of...

Trading Firm is looking is looking for Associate and VP/Manager level Compliance professionals in New York.This advisory role will essentially make sure the firm is conducting business in accordance with various rules and regulations (FINRA, SEC, CFTC, NFA) as well as internal policies and industry best practices.The ideal candidate will have:2-7 years of...

Currently partnered with an established growing broker dealer that is seeking a strong Swap Dealer Compliance Associate to join their team in NYC. The ideal candidate will have a strong compliance background from a Broker-Dealer and a deep understanding of NFA, CFTC, and Dodd Frank Title VII SEF regulations.Responsibilities:Lead compliance efforts for all...

A financial services organization in Manhattan is actively seeking an experienced and diligent professional to join their staff as their new Associate Director of Regulatory Compliance. In this role, the Associate Director of Regulatory Compliance will be responsible for general compliance duties related to execution of the Firm's compliance program,...

Global multi-strategy hedge fund is looking to hire a Compliance Officer in New York City or Jersey City.This strategic hire will play a key role in running the day-to-day compliance program as they continue 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...

Compliance Analyst- EComms Surveillance/Registrations ManagerConduct eComms surveillance for the Firm. Update Firm lexicon. Manage case management and escalation processes.Maintain CRD and NFA account to cover registration fees, fingerprint card fees, exam fees, etc.Track/monitor pending exams for employees required to be licensed.Ability to navigate FINRA...

Job description Business type Types of Jobs - Compliance / Financial Security Job title Global Markets Regulatory Compliance Advisory - Americas Contract type Permanent Contract Job summary Summary Global Markets Regulatory Compliance (“GMRC”) Advisory – Americas Vice President is responsible for providing advisory on...

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 &...

Job DescriptionJob DescriptionOverview of Role: The Deputy Compliance Director is responsible for supporting the Compliance Director in all aspects of the Fund Office’s compliance with financial and reporting regulations pertaining to the administration of its retirement and health & welfare employee benefit and other (i.e., legal, training) funds. This...

A newly established and growing fund focusing on global macro strategies ($5bn+ AuM)is looking to introduce a Senior Compliance Officer into their New York team on a 4-5 month contract basis.This individual will report in the CCO, partnering closely with senior management on the continued build out and development of the global compliance...

SummaryThe Global Markets Regulatory Compliance (“GMRC”) Advisory – Vice President is responsible for providing advice on Swap Dealer and Broker Dealer regulations (including the global impact of relevant U.S. regulations) and internal policies and procedures to internal stakeholders, including trading and sales personnel and key support functions.Key...

Job DescriptionJob DescriptionSalary: For over 20 years, Waystone has been at the cutting edge of specialist services for the asset management industry – partnering with institutional investors, investment funds and asset managers.  We work with our clients to help build, support, and protect investment structures and strategies worldwide. Our success...

Job DescriptionJob DescriptionSalary: For over 20 years, Waystone has been at the cutting edge of specialist services for the asset management industry – partnering with institutional investors, investment funds and asset managers.  We work with our clients to help build, support, and protect investment structures and strategies worldwide. Our success...

Summary:Under the supervision of the FCS (Financial Client Services) New-York, the Compliance Coordinator will work closely with the New York Compliance/ CPL team to support the implementation and execution of compliance initiatives, processes, and controls that manage compliance risks as well as act as the coordinator between CACIB Business Lines/Support...

Summary:Under the supervision of the FCS (Financial Client Services) New-York, the Compliance Coordinator will work closely with the New York Compliance/ CPL team to support the implementation and execution of compliance initiatives, processes, and controls that manage compliance risks as well as act as the coordinator between CACIB Business Lines/Support...

We represent a Fintech, Alternative Investment Platform looking to hire an attorney with 3 plus years of experience. The focus of this role will include representing private funds (both hedge and private equity funds) on a wide spectrum of matters including compliance and regulatory issues, capital raising, marketing, investor relations, fund formation and...