Cardea Group | Investment Compliance Officer | new york city, ny
7 days ago
Investment Compliance Officer (New York, NY): Our client, a hedge fund with over $3B in AUM is seeking an experienced Investment Compliance Officer to join their team a newly created position to lead surveillance initiatives within their growing New York office. The ideal candidate will have a strong background in investment compliance and direct experience working with senior stakeholders such as traders and portfolio managers.
Key Responsibilities:
- Serve as the stand-alone senior investment compliance expert in New York, working closely with traders, analysts, and senior leadership to identify and address issues in real-time.
- Perform ongoing testing in all compliance areas which consist of (insider trading surveillance, compliance with firm policies, TCA, market manipulation surveillance)
- Daily oversight of trades made for adherence to investment guidelines and firm policies.
- Monitor activities of the various trading desks and provide regulatory/policy guidance to equity and fixed income trading personnel located globally
- Drive the future vision of the surveillance function within the organization
Key Qualifications:
- 5-10+ years of experience in investment compliance, with a strong preference for those with experience at asset management firms.
- Bachelors degree; law degree or another graduate degree is a plus.
- Assertiveness to serve as an effective representative of the compliance function.
- Professional presence commensurate with a largely independent role
- Deep knowledge of compliance, surveillance, and regulatory requirements
- Highly effective oral and written communication
Compensation: 200k base + bonus (flexible dependent on experience)
Job Reference: #2759204
-
new york city, United States Cardea Group Full timeRegulatory Compliance Officer (New York, NY): Our client, a $50B multi-strat fund with an international reach, is looking for a dedicated legal and compliance professional to sit in a newly established position. Acting as a generalist and with a focus on supporting the asset-based finance group, the new hire will manage key compliance-related projects and...
-
new york city, United States Cardea Group Full timeRegulatory Compliance Officer (New York, NY): Our client, a $50B multi-strat fund with an international reach, is looking for a dedicated legal and compliance professional to sit in a newly established position. Acting as a generalist and with a focus on supporting the asset-based finance group, the new hire will manage key compliance-related projects and...
-
Investment Compliance Officer
3 weeks ago
new york city, United States Cardea Group Full timeInvestment Compliance Officer (New York, NY): Our client, a hedge fund with over $3B in AUM is seeking an experienced Investment Compliance Officer to join their team a newly created position to lead surveillance initiatives within their growing New York office. The ideal candidate will have a strong background in investment compliance and direct experience...
-
Investment Compliance Officer
4 weeks ago
New York, United States Cardea Group Full timeInvestment Compliance Officer (New York, NY): Our client, a hedge fund with over $3B in AUM is seeking an experienced Investment Compliance Officer to join their team a newly created position to lead surveillance initiatives within their growing New York office. The ideal candidate will have a strong background in investment compliance and direct experience...
-
Regulatory Compliance Specialist
5 days ago
New York, New York, United States Cardea Group Full timeJob DescriptionWe are seeking a highly skilled Regulatory Compliance Specialist to join our team at Cardea Group. This is an exciting opportunity for a driven professional to work closely with our Chief Compliance Officer (Americas) and contribute to the success of our dynamic, collaborative team.About the Role:This position involves day-to-day management of...
-
Compliance Risk Manager
4 days ago
New York, New York, United States Cardea Group Full timeAbout the JobWe are seeking a seasoned Compliance Risk Manager to join our team at Cardea Group. As a key member of our dynamic, collaborative team, you will work closely with our Chief Compliance Officer (Americas) to drive our compliance initiatives forward.What You'll Do:Manage day-to-day compliance activities, including reviewing and submitting SEC...
-
VP, Compliance
2 weeks ago
New York, United States Cardea Group Full timeRegulatory Compliance Officer (New York, NY): Our client, a $50B multi-strat fund with an international reach, is looking for a dedicated legal and compliance professional to sit in a newly established position. Acting as a generalist and with a focus on supporting the asset-based finance group, the new hire will manage key compliance-related projects and...
-
Compliance Associate
1 month ago
New York, United States Cardea Group Full timeCompliance Professional (New York, NY): Our client, a prominent private equity and private credit fund with over $100B in AUM, is looking for a driven Compliance Professional to join their dynamic, collaborative team. This is a newly created opportunity to report into the Chief Compliance Officer (Americas) and work alongside top talent globally. The new...
-
Senior Compliance Associate
2 months ago
New York, United States Cardea Group Full timeVP/Senior Associate – Compliance (New York, NY): Our client, a leading $35B+ global investment manager with diverse product offerings, is hiring a driven Compliance Professional to join their dynamic, collaborative team. Working alongside an incredible team of driven and friendly cohorts, the new hire will support key compliance projects and initiatives,...
-
New York, New York, United States New York Life Insurance Company Full timeAbout the RoleNew York Life Investments is a leading multi-boutique asset management business with $725 billion in assets under management. We are seeking an experienced salesperson to join our Americas Distribution team as a Senior Sales Relationship Manager. In this role, you will be responsible for showcasing the full range of New York Life Investments'...
-
new york city, United States Veterans Sourcing Group, LLC Full timePosition: Email Surveillance Analyst(Global Relay)Client: BankingLocation: New York, NY 10020Duration: 6 months + possible extensionWork Schedule: 6x a month WFHResponsibilitiesUtilize surveillance systems to review communications for content, appropriateness, regulatory compliance and misuse of confidential informationIdentify, document, and resolve...
-
new york city, United States Veterans Sourcing Group, LLC Full timePosition: Email Surveillance Analyst(Global Relay)Client: BankingLocation: New York, NY 10020Duration: 6 months + possible extensionWork Schedule: 6x a month WFHResponsibilitiesUtilize surveillance systems to review communications for content, appropriateness, regulatory compliance and misuse of confidential informationIdentify, document, and resolve...
-
Legal Compliance Professional
2 months ago
new york city, United States Cardea Group Full timeCompliance Professional (New York, NY or REMOTE): Our client is seeking a detail-oriented and proactive senior compliance professional with a background in 1940 Act work to join their compliance team. As a part of a leading Private Equity Secondaries Fund, this new hire will lead the compliance effort of the firm’s newly launched ’40 Act registered fund....
-
Legal Compliance Professional
2 months ago
new york city, United States Cardea Group Full timeCompliance Professional (New York, NY or REMOTE): Our client is seeking a detail-oriented and proactive senior compliance professional with a background in 1940 Act work to join their compliance team. As a part of a leading Private Equity Secondaries Fund, this new hire will lead the compliance effort of the firm’s newly launched ’40 Act registered fund....
-
Compliance Associate
4 weeks ago
New York, NY, United States Cardea Group Full timeCompliance Professional (New York, NY): Our client, a prominent private equity and private credit fund with over $100B in AUM, is looking for a driven Compliance Professional to join their dynamic, collaborative team. This is a newly created opportunity to report into the Chief Compliance Officer (Americas) and work alongside top talent globally. The new...
-
Control Room Officer
2 months ago
new york city, United States Cardea Group Full timeSVP, Control Room Compliance (New York, NY): Our client, a diverse asset manager with over $30 billion in AUM, is seeking a competent, driven leader to oversee their control room team. This person will work closely with all members of the compliance team and be a driver of the firm's control room function while assisting other SVPs within compliance. This is...
-
new york city, United States Atlantic Group Full timeLocation: Midtown ManhattanCompensation: $225K-$300K total compensationJob Description The Legal and Compliance Department consists of the General Counsel, the Chief Compliance Officer, Associate General Counsels, and several paralegals, legal assistants and compliance professionals. The Legal and Compliance Department coordinates, oversees, and handles all...
-
new york city, United States The Cypress Group Full timeOur client is a growing fintech software company in business for 10+ years. They are looking for a Dev Ops Engineer. The platform curates and allows access to alternative investments to various financial services firms, brokerages, hedge funds, etc. and they currently process ~$150 billion in assets. Hybrid in-office 4 days/week in New York City, New York...
-
new york city, United States The Cypress Group Full timeOur client is a growing fintech software company in business for 10+ years. They are looking for a Dev Ops Engineer. The platform curates and allows access to alternative investments to various financial services firms, brokerages, hedge funds, etc. and they currently process ~$150 billion in assets. Hybrid in-office 4 days/week in New York City, New York...
-
IT Security Specialist
7 days ago
New York, New York, United States City of New York Full timeAbout UsThe City of New York is a leader in providing safe, efficient, and environmentally responsible transportation solutions.Job OverviewWe are seeking an experienced IT Security Specialist to join our team in the NYC Department of Transportation's IT & Telecom division.Salary$65,000 - $85,000 per year.Job DescriptionThis role will involve delivering IT...