Financial Compliance Officer

About Rockefeller Financial:Rockefeller Financial is a prominent independent advisory firm that has evolved from its origins as the family office of John D. Rockefeller, established in 1882. With a commitment to providing strategic guidance to high-net-worth individuals, families, institutions, and corporations, the firm operates in 30 markets across the...

About Rockefeller Financial:Rockefeller Financial is a prominent independent advisory firm that has been serving ultra- and high-net-worth individuals, families, institutions, and corporations since its inception. With a legacy dating back to 1882, the firm has evolved to provide strategic financial guidance from multiple locations across the United States...

Job Description The Corporate Tax Compliance Officer will be responsible for assisting the Assisting Director of Compliance on: Tax Compliance, Provision, Research and Audit. Specific duties include Prepare Federal, State & Local tax returns including quarterly estimated payments for separate, consolidated, unitary and worldwide tax filings Calculate tax...

Job SummaryVoya Financial is seeking a highly skilled Compliance Officer - Equity Specialist to join our team. As a key member of our compliance department, you will be responsible for monitoring client portfolios for compliance with securities laws and client guidelines.Key ResponsibilitiesProvide portfolio surveillance support on both a pre- and post-trade...

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...

About the RolePineBridge Investments is seeking a highly skilled Investment & Trade Compliance Specialist to join our team. As a key member of our Global Compliance Team, you will play a critical role in ensuring the compliance of our asset management business with relevant securities laws and regulations.Key ResponsibilitiesSupport the Head of Global...

Surveillance Compliance OfficerNew York, NY – Hybrid Hamlyn Williams have partnered with a global financial services platform, based in New York, NY, that are looking to hire a Surveillance Compliance officer.This role is on a hybrid basis three days per-week on site. If you are not able to work on site, please do not apply.As a Surveillance Compliance...

Surveillance Compliance OfficerNew York, NY – Hybrid Hamlyn Williams have partnered with a global financial services platform, based in New York, NY, that are looking to hire a Surveillance Compliance officer.This role is on a hybrid basis three days per-week on site. If you are not able to work on site, please do not apply.As a Surveillance Compliance...

Description du poste Summary: This position is placed within the Advisory group of the Financial Security team. The position's main responsibilities are centered on the following: reviewing and validating high risk KYC files, and providing AML and/or sanctions related guidance to the Banks staff on proposed transactions. He/she is expected to have...

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...

Financial Aid Compliance CoordinatorJob no: 501055College / VP Area: VP for Enroll ManagementWork type: StaffLocation: Newark/HybridCategories: Student Affairs & Services, Full TimePay Grade: 29ELocation: Newark/HybridCONTEXT OF THE JOB:The Financial Aid Operations Compliance staff is responsible for monitoring Federal and State regulations pertaining to...

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...

Description This job's time zone is Eastern. Our client is seeking a Chief Financial Officer to join their dynamic team in NYC. The Chief Financial Officer will play a crucial role in overseeing all financial aspects of the organization, ensuring the financial health and viability while supporting its growth objectives. In this role, you will lead the annual...

Job OverviewA prominent financial services organization is in search of a Financial Crime Compliance Specialist.Location: Not specifiedEmployment Type: Temporary-to-HireKey Responsibilities:• Gather and evaluate data, including alerts, transactions, customer profiles, and pertinent account details to detect potential suspicious activities.• Thoroughly...

A financial services firm in New York City is currently seeking an experienced professional to join their team as their new Trade Compliance Officer. In this role, the Trade Compliance Officer will be responsible for ensuring compliance with all relevant regulatory requirements related to public equities trading, including FINRA and SEC rules and...

A financial services firm in New York City is currently seeking an experienced professional to join their team as their new Trade Compliance Officer. In this role, the Trade Compliance Officer will be responsible for ensuring compliance with all relevant regulatory requirements related to public equities trading, including FINRA and SEC rules and...

Job SummaryThe City of New York is seeking a highly skilled Procurement Liaison to join our team. As a key member of our procurement team, you will be responsible for ensuring compliance with contractual provisions of City, State, and Federal funded contracts.Key ResponsibilitiesReview and oversee the analysis and compilation of contract details from various...

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...