Compliance Officer

Compliance OfficerAt JCW, we are seeking a highly skilled Compliance Officer to join our team in New York City. This role offers a unique opportunity for compliance professionals to work closely with and learn directly from the Chief Compliance Officer.Key Responsibilities:Ensure compliance with all relevant regulations, including SEC and FINRA rules.Assist...

Job Title: Compliance OfficerAmalgamated Bank of NY is seeking a highly skilled Compliance Officer to join our team. As a Compliance Officer, you will play a critical role in ensuring the Bank's loan, deposit products, and services maintain compliance with federal and state regulations, as well as all Bank compliance-related policies and procedures.Key...

Job Title: Compliance OfficerJoin Russell Investments as a Compliance Officer and play a critical role in ensuring the firm operates within regulatory requirements and industry practices.About the Role:The Compliance Officer will be responsible for assisting in the documentation and execution of the compliance program for Russell Investments' U.S. registered...

Compliance Expert Sought by Social Capital ResourcesTop-Tier Bank in Midtown, Manhattan is seeking a seasoned Compliance professional to support their Front Office.Key Responsibilities:Support the implementation and execution of compliance initiatives, processes, and controls that manage compliance risks and ensure regulatory adherence.Maintain and update...

Compliance Officer Job DescriptionAnonymous, a top-tier hedge fund, is seeking a highly motivated and detail-oriented Compliance Officer to join their team in New York City.This key hire will play a strategic role in running the day-to-day compliance program as the firm continues to build an industry-leading team.The ideal candidate will have:Strong...

About the RolePineBridge Investments is seeking a highly skilled Investment & Trade Compliance Specialist to join our team. As a key member of our Global Compliance Team, you will play a critical role in ensuring the compliance of our asset management business with relevant securities laws and regulations.Key ResponsibilitiesSupport the Head of Global...

About the RoleWe are seeking a highly skilled Compliance Analyst to join our team at Harrington Starr in New York. As a key member of our middle and back office functions, you will work closely with our COO to develop and maintain our compliance framework.The ideal candidate will have a strong background in compliance, with a focus on building relationships...

Job Title: VP, Compliance OfficerJob Summary:The VP, Compliance Officer will serve as an advisor to the Advanced Clearing and Prime Services (ACaPS) Division, Fixed Income, Commodities, Currencies, and Stock Lending Division (FICCS), and the Operations Department. Key activities in these areas include correspondent clearing services, prime brokerage, fixed...

Our client, a leading financial institution, is seeking a seasoned Compliance Officer to join their Asset Based Finance team in New York. As a key member of the team, you will be responsible for ensuring the company's compliance with all relevant rules and regulations. Your expertise will be instrumental in developing and implementing compliance initiatives,...

Job OverviewESRA Management is seeking a detail-oriented and organized Compliance Officer to join our team. As a Compliance Officer, you will be responsible for ensuring the day-to-day execution of building compliance, Section 8, and LIHTC certifications across our portfolio of buildings.Key ResponsibilitiesMonitor project-based Section 8 and LIHTC...

Our client, a leading financial institution, is seeking a seasoned Compliance Officer to join their Asset Based Finance team. As a key member of the team, you will be responsible for ensuring the company's compliance with all relevant rules and regulations. Your expertise will be instrumental in developing and implementing policies and procedures to mitigate...

{"title": "Senior Compliance Professional", "subtitle": "Join Cardea Group", "content": "Cardea Group is seeking a highly skilled Senior Compliance Professional to join our team. As a key member of our compliance team, you will play a critical role in ensuring the firm's compliance program is robust and effective in addressing evolving regulatory...

{"title": "Compliance Officer - Trade Compliance Specialist", "content": "Compliance Officer - Trade Compliance SpecialistCardea Group is seeking a highly skilled Compliance Officer to join our team in New York. As a key member of our legal and compliance team, you will be responsible for ensuring our client's compliance with regulatory requirements and...

VP, Compliance – Asset Based Finance (New York, NY)Our client, a leading multi-strat fund with an international presence, is seeking a seasoned compliance professional to fill a newly established position. As a key member of the asset-based finance group, the VP will oversee critical compliance-related projects and initiatives, collaborating closely with...

Job Title: Chief Compliance OfficerStoneX Group Inc. is seeking a highly experienced Chief Compliance Officer to lead our swap dealer compliance program. As a key member of our team, you will be responsible for ensuring our compliance with applicable rules and regulations.Key Responsibilities:Lead the oversight of the swap dealer compliance program, ensuring...

Job Title: Chief Compliance OfficerStoneX Group Inc. is seeking a highly experienced Chief Compliance Officer to lead our swap dealer compliance program. As a key member of our leadership team, you will be responsible for ensuring our compliance with applicable rules and regulations.Key Responsibilities:Lead the oversight of the swap dealer compliance...

Job Title: Chief Compliance OfficerStoneX Group Inc. is seeking a highly experienced Chief Compliance Officer to lead our swap dealer compliance program. As a key member of our team, you will be responsible for ensuring our compliance with applicable rules and regulations.Job Summary:The Chief Compliance Officer will serve as the leader in all aspects of...

Larson Maddox, a leading FinTech company, is seeking a highly skilled Compliance Officer to join its team. This role will serve as the regulatory counterpart to the VP, Legal, and work together on all legal & regulatory functions related to registered funds.Key Responsibilities:Develop and maintain expertise in Investment Company Act of 1940 and Investment...

Job Title: Senior Compliance OfficerAres Management Corporation is seeking a highly skilled Senior Compliance Officer to join our Legal and Compliance team. As a key member of our team, you will be responsible for creating and implementing the Firm's Registered Investment Adviser program.Key Responsibilities:Collaborate with the Chief Regulatory Officer to...

Job Title: Compliance Product OfficerCitigroup is seeking a highly skilled Compliance Product Officer to join our team. As a key member of our Independent Compliance Risk Management (ICRM) department, you will be responsible for leading and managing business execution activities, supporting the Chief Compliance Officer and the Senior Leadership team for...