Licensing and Registration Compliance Officer

Leading Trading Firm is looking to hire a Compliance Officer in New York City.This key hire will play a strategic role in running the day-to-day compliance program as the firm continues to build an industry leading team.The ideal candidate will have:Strong knowledge of the Investment Advisers Act of 1940 and Investment Company Act of 1940 is required.Testing...

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...

Will 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

Compliance Officer - Operations & Regulatory Reporting Oversight **Description**: - Provide compliance advice, oversight on operational rules and regulations for securities and swaps to Front Office, Middle and Back office. (e.g. T+1, Turnaround Rule, Margin, Settlements, Inter-Company bookings, clearing, corporate actions). - Review/Manage Restricted Stock...

The 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...

The 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...

LoadingSorry 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....

Compliance 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...

Compliance 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...

**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...

About 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,...

Position 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...

Job 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...

Chief Compliance Officer Lime Trading Corp is a registered execution-only, agency broker-dealer focusing on supporting low latency trading activity for institutional and retail clients trading for the US markets via various APIs, front-ends, and order management systems. . Lime is a direct member of all of the US Equity Exchanges, has access to all US...

**Compliance Officer (Advisory & Broker Dealer)** at Leumi USA New York, NY USA * Key participant in and contributor to the execution of LISI (Leumi Investment Services Inc) Compliance Program, ensuring alignment with the Firms compliance and strategic direction and recommend policy and/or action based on internal and external industry developments for area...

Position 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....

About dub Founded in 2021 in NYC, dub is building the first social investing marketplace by providing a simple way to share, reward, and invest alongside the best portfolios and minds in asset management. dub's innovative copy-trading platform gives fund managers, financial experts, and regular investors a simple way to make their investment wisdom...

Trade / 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

Bloomberg 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

Our client, a well-established Alternative Investments firm is seeking to add a Compliance professional to support the growth of the business with an opportunity to join a high performing team. Key responsibilities include: Developing ongoing policies & procedures & monitoring the Compliance program in accordance with FINRA regulations. Reviewing personal...