VP Compliance/CCO

General Counsel & Chief Compliance Officer++ (New York, NY): Our client, a $1B+ hedge fund with a strong reputation and track record, is looking to hire their first fully dedicated GC & CCO. This new hire will be a part of the team’s executive leadership committee and spearhead their compliance program efforts while also meaningfully contributing to their...

A newly established and growing fund focusing on global macro strategies ($5bn+ AuM)is looking to introduce a Senior Compliance Officer into their New York team on a 4-5 month contract basis.This individual will report in the CCO, partnering closely with senior management on the continued build out and development of the global compliance...

Conduct reviews under the Group’s annual review program pursuant to Rule 206(4)-7 of the Advisers Act which includes conducting reviews of the Group’s policies and procedures as included in the Compliance Manual.Conduct general compliance reviews for the Group, including but not limited to: marketing reviews, personal securities transaction reviews,...

Conduct reviews under the Group’s annual review program pursuant to Rule 206(4)-7 of the Advisers Act which includes conducting reviews of the Group’s policies and procedures as included in the Compliance Manual.Conduct general compliance reviews for the Group, including but not limited to: marketing reviews, personal securities transaction reviews,...

Our client, a global, multi-strategy hedge fund seeks a Compliance professional in a generalist role to add to its first in class program. This role will offer unparalleled growth for high performing candidates with significant exposure to the business and GC/CCO. Key responsibilities include: SEC Regulatory Filings, (Form ADV, PF,) Manage Code of Ethics...

The Chief Compliance Officer, Brokerage, will champion a culture of compliance and will be responsible for managing compliance for Robinhood’s broker dealers. The candidate will serve as an advisor for Robinhood Financial and Robinhood Securities’s operations and customer service teams and help ensure compliance with brokerage policies and procedures....

Our client, a global, multi-strategy hedge fund seeks a Compliance professional in a generalist role to add to its first in class program. This role will offer unparalleled growth for high performing candidates with significant exposure to the business and GC/CCO. Key responsibilities include: SEC Regulatory Filings, (Form ADV, PF,) Manage Code of Ethics...

Our client, a global, multi-strategy hedge fund seeks a Compliance professional in a generalist role to add to its first in class program. This role will offer unparalleled growth for high performing candidates with significant exposure to the business and GC/CCO.Key responsibilities include:SEC Regulatory Filings, (Form ADV, PF,)Manage Code of Ethics...

**Role**: Working closely with the CCO, this role will be responsible for: - Reviewing and updating compliance policies and procedures; - Executing periodic compliance controls over the activities in the Americas; - Assisting with investment compliance; - Reviewing and approving of marketing materials; - Running conflict checks on investment...

Introduction: Established in 1912, Bank of China is one of the largest banks in the world, with over $3 trillion in assets and a footprint that spans more than 60 countries and regions. Our long-term outlook, institutional weight and global breadth provide our clients with a stable and reliable financial partner, whether in Corporate or Personal Banking or...

BitGo is the leader in digital asset financial services, providing institutional investors with liquidity, custody, and security solutions. Founded in 2013, BitGo pioneered the multi-signature wallet and is the first digital asset company to focus exclusively on serving institutional clients. Active in both centralized and decentralized finance, BitGo offers...

Compliance Associate (New York, NY): Our client, a private investment advisory firm, is in search of a highly motivated Compliance Associate to join their expanding team. This recently established position is anticipated to collaborate closely with the Compliance Consultant, Finance, and Network teams. Key Points: Impact position as the first hire under the...

Large buy side firm seeks a junior compliance associate reporting into the Deputy CCO. This is a trade surveillance role, sitting with the business responsible for supporting the investment team and other business units with respect to the firms Compliance program and/or investment-related questions. Some responsibilities include assisting in implementing...

Large buy side firm seeks a junior compliance associate reporting into the Deputy CCO. This is a trade surveillance role, sitting with the business responsible for supporting the investment team and other business units with respect to the firms Compliance program and/or investment-related questions. Some responsibilities include assisting in implementing...

Compliance Officer (New York, NY): Our client, a $2B+ private equity fund is currently looking to fill a newly created position as their Compliance Officer. Supporting the Chief Compliance Officer and Associate General Counsel, this position offers the chance to engage in various areas such as compliance, governance, marketing, ESG, and deal-related affairs....

Compliance Officer (New York, NY): Our client, a $2B+ private equity fund is currently looking to fill a newly created position as their Compliance Officer. Supporting the Chief Compliance Officer and Associate General Counsel, this position offers the chance to engage in various areas such as compliance, governance, marketing, ESG, and deal-related affairs....

Compliance Officer (New York, NY): Our client, a $2B+ private equity fund is currently looking to fill a newly created position as their Compliance Officer. Supporting the Chief Compliance Officer and Associate General Counsel, this position offers the chance to engage in various areas such as compliance, governance, marketing, ESG, and deal-related affairs....

Large buy side firm seeks a junior compliance associate reporting into the Deputy CCO. This is a trade surveillance role, sitting with the business responsible for supporting the investment team and other business units with respect to the firm’s Compliance program and/or investment-related questions.Some responsibilities include assisting in implementing...

Large buy side firm seeks a junior compliance associate reporting into the Deputy CCO. This is a trade surveillance role, sitting with the business responsible for supporting the investment team and other business units with respect to the firm’s Compliance program and/or investment-related questions.Some responsibilities include assisting in implementing...

Currently partnered with an established growing broker dealer that is seeking a strong Swap Dealer Compliance Associate to join their team in NYC. The ideal candidate will have a strong compliance background from a Broker-Dealer and a deep understanding of NFA, CFTC, and Dodd Frank Title VII SEF regulations.Responsibilities:Lead compliance efforts for all...