Chief Compliance Officer, Registered Funds

About the Role:The Artemis Group, an attorney search firm, has partnered with a major asset management firm headquartered in New York City to find a highly experienced Chief Compliance Officer. This role involves leading compliance efforts for a complex array of registered funds, including private equity, fixed income, liquid alternatives, and equity.Key...

About the Role:The Artemis Group, an attorney search firm, has partnered with a major asset management firm headquartered in New York City to find a highly experienced Chief Compliance Officer. This role involves leading compliance efforts for a complex array of registered funds, including private equity, fixed income, liquid alternatives, and equity.Key...

Job SummarySS&C is a leading provider of investment and financial services and software for the financial services and healthcare industries. As a global company, we have 20,000+ employees in over 90 offices in 35 countries. Our clients include 18,000 financial services and healthcare organizations, from the world's largest institutions to local firms, who...

Job Title: Chief Compliance OfficerNeuberger Berman Group LLC is seeking a seasoned Chief Compliance Officer to lead our compliance program for our registered funds business. As a key member of our Legal and Compliance Department, you will be responsible for ensuring our compliance program is robust, effective, and aligned with regulatory...

Job SummaryJob Title: Chief Compliance Officer - Fund GovernanceLocation: Remote/HybridAbout the Role:We are seeking an experienced Chief Compliance Officer to join our team at SS&C Technologies Holdings. As a key member of our compliance team, you will be responsible for ensuring the compliance of our investment company clients with regulatory...

Job Overview Position: Chief Compliance Officer for Investment Funds - HYBRIDLocation: Various Locations | Hybrid Work EnvironmentAbout the Team:This role is pivotal as the Chief Compliance Officer for specific investment company clients. The primary duty is to ensure adherence to Rule 38a-1 of the Investment Company Act of 1940, safeguarding compliance...

Job Description Title: Fun Chief Compliance Officer - HYBRIDLocation: Boston, CO; Coral Gables, FL; Dallas, TX; Denver, CO; Dublin, OH; Kansas City, MO; New York, NY; Union, NJ | HybridGet to Know The Team:This position will act in the capacity of Chief Compliance Officer for certain investment company clients.  Primary responsibility will be to ensure fund...

Job DescriptionCompliance Director - Private Funds ExpertWe are seeking an experienced Compliance Director to join our team at Compliance Recruitment Solutions. As a Compliance Director, you will be responsible for providing strategic compliance advice and solutions to our clients in the private funds industry.Key Responsibilities:Act as lead compliance...

{"h1": "Chief Compliance Officer", "p": "At Sumitomo Mitsui Banking Corporation, we are seeking a highly skilled Chief Compliance Officer to lead our compliance program for an investment advisory firm in Manhattan. As a key member of our team, you will be responsible for ensuring that our activities are conducted in compliance with applicable regulatory...

Compliance Consultancy Director - Private Funds ExpertWe are seeking an experienced Compliance Consultancy Director to join our team in New York. As a key member of our Regulatory Consulting team, you will be responsible for providing strategic compliance advice and resolutions to complex questions involving multiple regulators.Key Responsibilities:Acting as...

Job DescriptionJob Title: Chief Compliance OfficerDepartment: Department For The AgingJob Summary:The Department For The Aging is seeking a highly motivated and experienced Chief Compliance Officer to join our team. As a key member of our leadership team, the Chief Compliance Officer will be responsible for ensuring that our organization is in compliance...

Job Title: Chief Compliance OfficerStoneX Group Inc. is seeking a highly experienced Chief Compliance Officer to lead our swap dealer compliance program. As a key member of our team, you will be responsible for ensuring our compliance with applicable rules and regulations.Job Summary:The Chief Compliance Officer will serve as the leader in all aspects of...

Job Title: Chief Compliance OfficerStoneX Group Inc. is seeking a highly experienced Chief Compliance Officer to lead our swap dealer compliance program. As a key member of our team, you will be responsible for ensuring our compliance with applicable rules and regulations.Key Responsibilities:Lead the oversight of the swap dealer compliance program, ensuring...

Job Title: Chief Compliance OfficerWe are seeking a highly skilled and experienced Chief Compliance Officer to join our team at Tradeweb. As a key member of our organization, you will be responsible for ensuring that our company operates in compliance with all relevant laws, regulations, and industry standards.Key Responsibilities:Develop and implement...

TradeZero, which operates multiple broker-dealers focused on the active trader, is seeking a Chief Compliance Officer for its TZ Clear subsidiary. The role requires significant prior experience as a senior compliance officer for a US clearing firm. Experience should include without limitation:OATS/CAT reporting15c3-5 complianceAdvertising/marketing...

TradeZero, which operates multiple broker-dealers focused on the active trader, is seeking a Chief Compliance Officer for its TZ Clear subsidiary. The role requires significant prior experience as a senior compliance officer for a US clearing firm. Experience should include without limitation:OATS/CAT reporting15c3-5 complianceAdvertising/marketing...

TradeZero, which operates multiple broker-dealers focused on the active trader, is seeking a Chief Compliance Officer for its TZ Clear subsidiary. The role requires significant prior experience as a senior compliance officer for a US clearing firm. Experience should include without limitation:OATS/CAT reporting15c3-5 complianceAdvertising/marketing...

When you join New York Life, you re joining a company that values development, career growth, collaboration, innovation, and diversity & inclusion. We want employees to feel proud about being part of a company that is committed to doing the right thing. Through various resources and programs, you can grow your career while developing personally and...

We are seeking a seasoned banking professional to serve as Deputy Chief Compliance Officer. This role is ideal for a seasoned banking compliance professional looking to take on a leadership position in a dynamic and growing organization. Reporting to the Chief Compliance Officer, the Deputy Chief Compliance Officer will be responsible for ensuring that the...

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.Firm has an entrepreneurial...