Compliance Associate

CAIPA MSO is a management service organization in which we service over 2500 providers in the Greater New York City area. Our mission is to alleviate our provider's administrative tasks so they can focus on patient care. CAIPA MSO is a certified Great Place to Work organization as we strive to take care of our team and the clients we service. The Compliance...

Description:CAIPA MSO is a management service organization in which we service over 2500 providers in the Greater New York City area. Our mission is to alleviate our provider's administrative tasks so they can focus on patient care. CAIPA MSO is a certified Great Place to Work organization as we strive to take care of our team and the clients we service. The...

Compliance Associate Maxim Group LLC ? 300 Park Avenue, New York, NY Maxim Group is a leading, diversified financial services company seeking an entry level Compliance Associate to help implement and enforce Firm policies and procedures and conduct surveillance with the goal of achieving compliance with securities industry rules and regulations. The job...

A financial services firm in New York City is actively seeking an experienced and hardworking professional to join their staff as their new Associate Director of Portfolio Compliance. In this role, the Associate Director of Portfolio Compliance will be responsible for monitoring current holdings and daily trading activity against client guidelines,...

A financial services organization in Manhattan is actively seeking an experienced and diligent professional to join their staff as their new Associate Director of Regulatory Compliance. In this role, the Associate Director of Regulatory Compliance will be responsible for general compliance duties related to execution of the Firm's compliance program,...

Job DescriptionJob DescriptionSalary: For over 20 years, Waystone has been at the cutting edge of specialist services for the asset management industry – partnering with institutional investors, investment funds and asset managers.  We work with our clients to help build, support, and protect investment structures and strategies worldwide. Our success...

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...

Responsibilities: To assist both the Head, Compliance and Executive, Compliance to monitor the Branch’s compliance with local laws, regulations, guidelines and standards, as well as Head Office requirements through the implementation of the Branch’s Compliance Plan, strategies and initiatives. To provide assistance to Branch and Head Office regarding...

Responsibilities:To assist both the Head, Compliance and Executive, Compliance to monitor the Branch’s compliance with local laws, regulations, guidelines and standards, as well as Head Office requirements through the implementation of the Branch’s Compliance Plan, strategies and initiatives. To provide assistance to Branch and Head Office regarding...

Our client is seeking a Compliance professional to join their Legal & Compliance team in providing the following support for their firm's regulated entities in the US and UK.Responsibilities:Supervise firm's compliance monitoring technology platform & review Code of Ethics preapprovals.Support business with questions related to compliance with company...

Our client is seeking a Compliance professional to join their Legal & Compliance team in providing the following support for their firm's regulated entities in the US and UK.Responsibilities:Supervise firm's compliance monitoring technology platform & review Code of Ethics preapprovals.Support business with questions related to compliance with company...

Commercial Bank in Midtown, Manhattan is seeking multiple Senior Compliance Associates for temporary-to-permanent positions!Responsibilities:Assess, identify and mitigate risks posed to the BankConduct annual and periodic compliance monitoring risk reviews for the Bank’s retail and business customers as well as the Bank’s deposit and lending...

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...

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...

Job Description       As an Associate Program Compliance Manager, you’ll learn first-hand from our team of outstanding professionals and grow into leading compliance strategy and execution for your own portfolio of advertiser clients. You’ll also manage publisher outreach and ensure violations are remedied in a timely manner. You’ll apply...

Global Compliance Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of complianceCompliance accomplishes these through the firm's enterprise-wide compliance risk management programAs an independent control function and part of the firm's second line of...

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....

Regulatory Compliance is responsible for developing and maintaining a Compliance Management Program (CMP) for the Bank that reasonably ensures compliance with consumer protection laws and regulations, addresses associated risks of harm to consumers and customers, and integrates consumer compliance into the day-to-day responsibilities of its management and...