Equities Compliance Officer

Equities Compliance OfficerFinancial FirmNYC – Downtown225K base + bonus Hybrid, 3 days onsiteJob Summary:A leading interdealer broker covering equities, fixed income and commodities is seeking an Equities Compliance Officer to oversee the Equity and Equity Derivatives Trading Business. You will report into the head of equities compliance. You will draft,...

Equities Compliance OfficerFinancial FirmNYC – Downtown225K base + bonus Hybrid, 3 days onsiteJob Summary:A leading interdealer broker covering equities, fixed income and commodities is seeking an Equities Compliance Officer to oversee the Equity and Equity Derivatives Trading Business. You will report into the head of equities compliance. You will draft,...

Regulatory Support RoleLarson Maddox is seeking a Compliance Officer - Equities Trading to provide regulatory support to the equity trading desk. This role involves ensuring all trading activity is compliant with regulatory requirements.Key Responsibilities:Support the Head of Trading Compliance in ensuring all equity desk trading activity is compliant with...

Job DescriptionWe're seeking a highly skilled Senior U.S. Equity Derivatives Compliance Officer to join our team at CIBC. As a key member of our U.S. Capital Markets Compliance team, you will be responsible for ensuring that our Equity Derivatives business operates in compliance with all relevant regulatory requirements.Key ResponsibilitiesAdminister CIBC's...

Title: : Equities Middle Office (Equity Swap)Location - New York, NYHybrid RoleDuration - 4 Months of contract opportunity Skills:1-3 years experience in equity swapsThis covers multiple markets and products including OTC equity derivatives, cash equities, and exchange traded derivatives. This role will focus on the support of the Equity Swap businessThe...

Title: : Equities Middle Office (Equity Swap)Location - New York, NYHybrid RoleDuration - 4 Months of contract opportunity Skills:1-3 years experience in equity swapsThis covers multiple markets and products including OTC equity derivatives, cash equities, and exchange traded derivatives. This role will focus on the support of the Equity Swap businessThe...

Interested in joining a growing firm at a dynamic time? Consider joining White Oak Fund Services, LLC. White Oak is a professional services firm providing outsourced CFO support, fund administration and tax compliance services to private equity firms in all stages of their life cycle. The Part-Time Private Equity Tax Accountant will be responsible for...

Interested in joining a growing firm at a dynamic time? Consider joining White Oak Fund Services, LLC. White Oak is a professional services firm providing outsourced CFO support, fund administration and tax compliance services to private equity firms in all stages of their life cycle. The Part-Time Private Equity Tax Accountant will be responsible for...

Compliance and Regulatory Affairs ManagerIQ-EQ is a leading service provider to the alternative asset industry, offering a comprehensive range of services to hedge fund, private equity fund, and mutual fund managers. Our team of experts works closely with clients to ensure compliance with regulatory requirements and industry best practices.Key...

Title: : Equities Middle Office (Equity Swap)Location - New York, NYHybrid RoleDuration - 4 Months of contract opportunity Skills:1-3 years experience in equity swapsThis covers multiple markets and products including OTC equity derivatives, cash equities, and exchange traded derivatives. This role will focus on the support of the Equity Swap businessThe...

Title: : Equities Middle Office (Equity Swap)Location - New York, NYHybrid RoleDuration - 4 Months of contract opportunity Skills:1-3 years experience in equity swapsThis covers multiple markets and products including OTC equity derivatives, cash equities, and exchange traded derivatives. This role will focus on the support of the Equity Swap businessThe...

Title: : Equities Middle Office (Equity Swap)Location - New York, NYHybrid RoleDuration - 4 Months of contract opportunity Skills:1-3 years experience in equity swapsThis covers multiple markets and products including OTC equity derivatives, cash equities, and exchange traded derivatives. This role will focus on the support of the Equity Swap businessThe...

Interested in joining a growing firm at a dynamic time? Consider joining White Oak Fund Services, LLC. White Oak is a professional services firm providing outsourced CFO support, fund administration and tax compliance services to private equity firms in all stages of their life cycle. The Part-Time Private Equity Tax Accountant will be responsible for...

Interested in joining a growing firm at a dynamic time? Consider joining White Oak Fund Services, LLC. White Oak is a professional services firm providing outsourced CFO support, fund administration and tax compliance services to private equity firms in all stages of their life cycle. The Part-Time Private Equity Tax Accountant will be responsible for...

Position: Equity Middle OfficeClient: BankingLocation: New York, NY 10020Duration: 4 months of Contract + possible extensionWork Schedule: 2 days onsite/ 3 days remote Job Description The Equities Middle Office is responsible for a variety of functions supporting the Equity Derivative, Equity Financing and Cash Equity trading businesses. This covers multiple...

Compliance Director - Private Funds ExpertWe are seeking an experienced Compliance 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 solutions to our clients in the private funds space.Key Responsibilities:Act as lead compliance resource for retained...

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 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...

Job SummaryWe are seeking a highly skilled Compliance Officer to join our team at TD Bank. As a Compliance Officer, you will be responsible for ensuring that our business practices and operations comply with relevant laws and regulations.Key Responsibilities:Execute the annual Compliance testing and monitoring planLead testing engagements, sometimes...

The Equities Middle Office handles various functions that support the Equity Derivative, Equity Financing, and Cash Equity trading sectors. This includes a range of markets and products, such as OTC equity derivatives, cash equities, and exchange-traded derivatives.Client DetailsA highly reputable global banking institution.DescriptionCollaborate with...