Associate Director, Regulatory Compliance

Compliance Consultancy Director - Previous Compliance Funds Experience and 1940 Act/NFA/CFTC Knowledge Required Ref: 4015G3 $200K - $220K + Bonus + Benefits New York City Our Client, a growing and dynamic regulatory consulting firm based in New York and London, are looking to hire an experienced compliance professional to join their New York Regulatory...

Overview: Director of Compliance and Regulatory Affairs Overview   The primary function of this position is to direct and provide oversight of Somnia’s Compliance and Regulatory Affairs Program.  The individual will be responsible for planning, implementing, and managing a compliance and regulatory affairs program for Somnia and its affiliated...

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,...

Job DescriptionJob DescriptionSalary: Regulatory Compliance Manager Job Description:                           We are seeking a highly skilled and motivated individual to join our team as the Regulatory Compliance Manager at our esteemed hydropower company. The Regulatory Compliance Manager is responsible for providing expert...

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...

Assist the Consumer Compliance Officer & CRA Officer with the formulation; implementation and monitoring of the Consumer Compliance program and related risk to ensure that the bank achieves optimum compliance with all consumer protection laws. Essential Functions: Reasonable accommodations may be made to enable individuals with disabilities to perform the...

Assist the Consumer Compliance Officer & CRA Officer with the formulation; implementation and monitoring of the Consumer Compliance program and related risk to ensure that the bank achieves optimum compliance with all consumer protection laws. Essential Functions:Reasonable accommodations may be made to enable individuals with disabilities to perform the...

Assist the Consumer Compliance Officer & CRA Officer with the formulation; implementation and monitoring of the Consumer Compliance program and related risk to ensure that the bank achieves optimum compliance with all consumer protection laws. Essential Functions:Reasonable accommodations may be made to enable individuals with disabilities to perform the...

AP Professionals is partnering with a local manufacturer in search of a Regulatory Compliance Specialist. The Regulatory position centers on fulfilling Customers' document requests, while ensuring adherence to business protection standards. Collaborating with multiple teams, the role supports Regulatory Compliance needs. Food manufacturing experience and...

**Responsibilities**: - Maintain, develop, and implement compliance programs, policies, and practices. - Work closely with third party testing companies. - Identify new regulatory compliance issues that require follow-up and implementation. - Disseminate written policies and procedures related to compliance activities. - Cross communicate with employees and...

MetroPlusHealth provides the highest quality healthcare services to residents of Bronx, Brooklyn, Manhattan, Queens and Staten Island through a comprehensive list of products, including, but not limited to, New York State Medicaid Managed Care, Medicare, Child Health Plus, Exchange, Partnership in Care, MetroPlus Gold, Essential Plan, etc. As a wholly-owned...

**Responsibilities**: Responsibilities include, but are not limited to: - Monitoring, reviewing, tracking, and disseminating changes to applicable laws, rules, and regulations to determine applicability and impact to SG’s U.S. business operations - Communicating regulatory information to stakeholders across the Firm both in the U.S. and globally -...

Empower. Unite. Care.MetroPlusHealth is committed to empowering New Yorkers by uniting communities through care. We believe that Health care is a right, not a privilege. If you have compassion and a collaborative spirit, work with us. You can come to work being proud of what you do every day.About NYC Health + HospitalsMetroPlusHealth provides the highest...

Compliance Consultancy Director – Previous Compliance Funds Experience and 1940 Act/NFA/CFTC Knowledge Required Ref: 4015G3 $200K - $220K + Bonus + Benefits   New York City Our Client, a growing and dynamic regulatory consulting firm based in New York and London, are looking to hire an experienced compliance professional to join their New York Regulatory...

A boutique Hedge Fund is looking bring on a compliance associate in their Connecticut office. A Global Macro Hedge Fund is looking to bring on a Compliance Associate in their Connecticut office. Responsibilities: Assist with MFA Self Exam and SEC Annual Review Trade compliance monitoring Monitoring employee certifications and trade reviews Implementing...

Webull Financial LLC is a FINRA registered broker dealer, we provide online investing platform for retail investors, products include global market data, news and trading in US equities and listed options. We are looking for a talented financial compliance professional in the New York area to be part of our Compliance team. Responsibilities: Demonstrate an...

Our client is now hiring for Director of Regulatory for growing cosmetics and OTC manufacturer in New Jersey. This role will report the Chief Scientific Officer and will have management responsibilities in addition to overseeing regulatory of OTC and cosmetics products. This role has significant growth opportunity with vertical career trajectory with an...

A bank in New York City is actively seeking a dynamic and driven professional to join their staff as a Compliance Associate. In this role, the Compliance Associate will 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...

Position Summary The Compliance Associate will support the Office of Ethics and Compliance's ("OEC's") operations and activities, and manage the execution and timeline of projects to ensure that New York University's global operations comply with applicable national and international laws and regulations, as well as University policies. Responsibilities...

Job DescriptionJob DescriptionOverview of Role: The Deputy Compliance Director is responsible for supporting the Compliance Director in all aspects of the Fund Office’s compliance with financial and reporting regulations pertaining to the administration of its retirement and health & welfare employee benefit and other (i.e., legal, training) funds. This...