Compliance Officer
3 weeks ago
Personal 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 Consultancy Director
4 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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Compliance Officer
3 weeks 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
7 days ago
New York, United States SCHONFELD STRATEGIC ADVISORS LLC Full timeThe Role We are seeking to hire an exceptional Compliance Officer to join our compliance team in our New York City office. The Compliance Officer will report into the Deputy Chief Compliance Officer and will lead the Risk Review, Monitoring and Exams (RRME) team in support of the overall global Compliance function. The position is responsible for managing...
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Compliance Officer
1 week ago
New York, United States Schonfeld Full timeThe Role We are seeking to hire an exceptional Compliance Officer to join our compliance team in our New York City office. The Compliance Officer will report into the Deputy Chief Compliance Officer and will lead the Risk Review, Monitoring and Exams (RRME) team in support of the overall global Compliance function. The position is responsible for managing...
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Compliance Officer, Trading Compliance
3 weeks 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
16 hours ago
New York, United States Cardea Group Full timeCompliance Officer (New York, NY): The chance to join a thriving private equity fund in a #2 capacity is here. If you are an ambitious, intelligent, and curious compliance professional seeking the mentorship of an exceptionally bright, talented, and KIND GC & CCO, please read on. Our client, a private equity firm with tremendous prospects and growth...
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Compliance Officer
1 day ago
New York, United States Cardea Group Full timeCompliance Officer (New York, NY): The chance to join a thriving private equity fund in a #2 capacity is here. If you are an ambitious, intelligent, and curious compliance professional seeking the mentorship of an exceptionally bright, talented, and KIND GC & CCO, please read on. Our client, a private equity firm with tremendous prospects and growth...
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Compliance Officer
1 month ago
New York, United States Piermont Bank Full time**About Us**: **The Role**: The Compliance Officer is responsible for all aspects of the consumer compliance program to ensure Piermont Bank adheres to applicable laws, regulations, and in-house policies and procedures while keeping abreast of all regulatory developments and requirements. **Responsibilities**: - Oversight and completion of all annual...
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Compliance Officer
16 hours ago
New York, New York, United States S&P Global Full timeAbout the Role:Grade Level (for internal use):12The Role: Compliance OfficerThe Compliance Officer role is based in Englewood or New York and the successful candidate will be responsible for supporting the implementation and monitoring of the Compliance Program primarily for S&P Global Ratings in North America. The role involves a range of activities,...
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Compliance Officer
3 weeks 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
3 weeks 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
7 days ago
New York, United States Bloomberg L.P. Full timeTrade / Export Control - Legal & Compliance. New York, NY - Posted May 17, 2024 - Requisition No. 125360 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 Compliance Officer, Compliance, Officer, Operations, Senior, Trade
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Senior Compliance Officer
3 weeks 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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Senior Compliance Officer
17 hours ago
New York, United States Cardea Group Full timeDeputy Chief Compliance Officer (New York, NY): Our client, a hybrid fund with over $7 billion in AUM and several international offices, is looking to hire a Deputy Chief Compliance Officer to join their Global Compliance team based in New York. This position will report directly to the firm’s Global CCO focusing on the general management, implementation...
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Senior Compliance Officer
1 day ago
New York, United States Cardea Group Full timeDeputy Chief Compliance Officer (New York, NY): Our client, a hybrid fund with over $7 billion in AUM and several international offices, is looking to hire a Deputy Chief Compliance Officer to join their Global Compliance team based in New York. This position will report directly to the firm’s Global CCO focusing on the general management, implementation...
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Senior Compliance Officer
19 hours ago
New York, United States Annaly Capital Management Inc Full timeRole Summary/Purpose The Company is looking for a dedicated compliance professional to join its legal and compliance team. The Senior Compliance Officer will report directly to Annaly's Deputy General Counsel and Chief Compliance Officer and will have exposure to the full gamut of compliance responsibilities with a focus on ACOM's compliance program and...
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Chief Compliance Officer
1 week 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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AVP, Corporate Compliance Officer
1 day ago
New York, New York, United States Michael Page Full timeAbout Our Client Our client is a Japanese Corporate Bank, providing a range of banking services such as foreign exchange, trade finance, and investment banking to clients with ties to Japan and the United States. They are looking for one (1) Full-Time Corporate Compliance Officer to join there Legal & Compliance Team in their Midtown New York, NY Office. Job...
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Compliance Risk Assessment Officer
7 days ago
New York, United States Credit Agricole Full timeSummary: Â Reporting to the Head of Compliance Risk Assessment, the Compliance Risk Assessment Officer (CRAO) is in charge implementing CACIB US Compliance Risk Assessment Program. Â Compliance risks must be identified before they can be properly assessed, monitored and mitigated. The businesses, as 1st Line of Defense (LoD1), are responsible for...