Compliance Officer
6 days ago
RIT Solutions, Inc. is seeking a highly skilled Compliance Officer to join our team in a Top-Tier Investment Bank. As a Compliance Officer, you will play a critical role in ensuring the firm's compliance with regulatory requirements and maintaining a strong control environment.
- Key Responsibilities:
- Assist and advise on Investment Banking and Capital Markets transactions, including conflicts review and ensuring adherence to regulatory guidelines.
- Maintain the Firm's Global Watch and Restricted Lists, including seeking and responding to updates from investment banking teams and ensuring accurate and timely reporting.
- Review Equity Research and FI Strategy notes prior to public dissemination to ensure compliance with regulatory requirements and firm policies.
- Advise business groups, Legal and Compliance colleagues on Information Barriers, wall crossing procedures, sensitive information, and need-to-know policies to ensure a strong control environment.
- Chaperone communications between Investment Banking and Research teams to ensure effective collaboration and compliance.
- 3-6+ years of relevant Legal or Compliance experience, preferably working in a Control Room, Investment Banking Compliance, or Research Compliance.
- Ability to interpret and apply SEC, Client, and other regulatory rules to ensure compliance and mitigate risk.
- Comfortable and able to react in a fast-paced environment, managing a wide variety of requests and prioritizing tasks effectively.
- Ability to work positively and make decisions under time pressure, ensuring timely and accurate completion of tasks.
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Compliance Officer
6 days ago
New York, New York, United States PineBridge Investments Full timeAbout 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...
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Chief Compliance Officer
4 days ago
New York, New York, United States Department For The Aging Full timeJob DescriptionJob Title: Chief Compliance OfficerDepartment: Department For The AgingJob Summary:The Department For The Aging is seeking a highly motivated and experienced Chief Compliance Officer to join our team. As a key member of our leadership team, the Chief Compliance Officer will be responsible for ensuring that our organization is in compliance...
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Compliance Officer
4 weeks ago
New York, New York, United States Cardea Group Full timeCompliance Officer (New York, NY): Our client, a successful and growing private equity firm, is seeking a motivated lawyer to join their lean team in a newly created role.This is a unique opportunity to join an $8B+ fund in a true generalist position, working in a #2 capacity supporting the GC/CCO. This is an excellent opportunity for a lawyer junior in...
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Senior Compliance Officer
6 days ago
New York, New York, United States Ares Management Corporation Full timeJob SummaryAres Management Corporation is seeking a highly skilled and experienced Compliance professional to join our Legal and Compliance team as a Senior Compliance Officer. This role will be responsible for creating and implementing the Firm's Registered Investment Adviser program, ensuring compliance with complex regulatory regimes, and providing...
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Senior Compliance Officer
6 days ago
New York, New York, United States Deutsche Bank Full timeAbout the RoleWe are seeking a highly skilled and experienced Senior Compliance Officer to join our Control Room function at Deutsche Bank. As a key member of our team, you will play a critical role in maintaining the integrity of our information barriers and ensuring compliance with regulatory requirements.Key ResponsibilitiesMaintain and update the Firm's...
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Contract Compliance Officer
6 days ago
New York, New York, United States City of New York Full timeJob SummaryThe City of New York is seeking a highly skilled Procurement Liaison to join our team. As a key member of our procurement team, you will be responsible for ensuring compliance with contractual provisions of City, State, and Federal funded contracts.Key ResponsibilitiesReview and oversee the analysis and compilation of contract details from various...
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ESG Compliance Officer
2 months ago
New York, New York, United States Kkr Full timeKKR & Co. Inc., together with its subsidiaries, is a leading global investment firm that offers alternative asset management and capital markets and insurance solutions. KKR aims to generate attractive investment returns by following a patient and disciplined investment approach, employing world-class people, and supporting growth in its portfolio companies...
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Assistant BSA Compliance Officer
2 weeks ago
New York, New York, United States Veritas Partners Full timeCompany OverviewVeritas Partners is a reputable financial institution focused on maintaining high standards of compliance and risk management.Position SummaryThe organization is in search of a Deputy BSA Officer to bolster their compliance division. This role is essential in assisting the BSA Officer with adherence to BSA and AML regulations. The position...
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Assistant BSA Compliance Officer
2 weeks ago
New York, New York, United States Veritas Partners Full timePosition OverviewVeritas Partners is seeking a Deputy BSA Officer to enhance our compliance division. The successful candidate will assist the BSA Officer in overseeing BSA and AML compliance obligations. This role offers a hybrid work arrangement, requiring presence in the office three days a week.Key ResponsibilitiesEvaluate and determine the escalation of...
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Assistant BSA Compliance Officer
2 weeks ago
New York, New York, United States Veritas Partners Full timePosition OverviewVeritas Partners is in search of a dedicated Deputy BSA Officer to enhance our compliance division. The selected candidate will assist the BSA Officer in fulfilling BSA and AML compliance obligations. This role offers a hybrid work arrangement, requiring presence in the office three days a week.Key ResponsibilitiesEvaluate and make...
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Compliance Officer
2 weeks ago
New York, New York, United States Chapel & York Full timePosition Title: Regulatory Affairs CoordinatorObjective of the Role:To facilitate prompt and precise legal and regulatory submissions while delivering exceptional service for US 501(c)(3) Standard Management Clients.Work Schedule: 20-25 hours/week, with potential for full-time.Collaborative Teams:Charity Management TeamFinance TeamIT DepartmentReporting...
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Senior Banking Compliance Officer
6 days ago
New York, New York, United States Banking Careers Full timeJob DescriptionWe are seeking a seasoned banking professional to fill the role of Deputy Chief Compliance Officer at Banking Careers.Key Responsibilities:Serve as a subject matter expert and support the compliance team in executing its responsibilities.Assist in directing the overall compliance program and strategy for the firm.Recommend policies and partner...
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Compliance Officer, Data
3 weeks ago
New York, New York, United States S&P Global Full timeAbout the Role: Grade Level (for internal use): 12 The Team: Working with Compliance Officers and the Risk & Internal Controls team globally, the Data & Technology Covering Compliance Officer will be a direct liaison and a point of escalation contact for S&P Global Ratings data and technology activities from a Compliance, Risk & Internal Controls...
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Compliance Officer
4 days ago
New York, New York, United States Cypress HCM Full timeJob SummaryCypress HCM is seeking a highly skilled Compliance Manager to support our Compliance team. As a key member of our team, you will assist in the day-to-day operations of our technology platforms that support the Compliance function.Key ResponsibilitiesConflict of Interest ManagementMonitor and review all conflicts of interest reported through our...
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Affordable Housing Compliance Officer
1 week ago
New York, New York, United States ASCEND HIRE INC Full timeBecome a Key Player as a Compliance Officer.ASCEND HIRE INC, a leading firm in property management, is committed to delivering high-quality affordable housing solutions. We are in search of a meticulous professional to oversee compliance and ensure efficient operations within our housing initiatives.Key Responsibilities:Collaborate with applicants and...
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Privacy Compliance Officer
2 months ago
New York, New York, United States Motion Recruitment Full timeOur client is looking for full-time Privacy Compliance Officer. This role will be onsite in New York, NYThe successful candidate will be involved in global privacy initiatives, interacting on a regular basis with Legal & Compliance, Information Security, Technology, Business, and Internal Audit groups as well as with senior leadership teams. Candidates must...
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Deputy Chief Compliance Officer
4 days ago
New York, New York, United States Banking Careers Full timeWe are seeking a seasoned banking professional to serve as Deputy Chief Compliance Officer. This role is ideal for a seasoned banking compliance professional looking to take on a leadership position in a dynamic and growing organization. Reporting to the Chief Compliance Officer, the Deputy Chief Compliance Officer will be responsible for ensuring that the...
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Anti - Money Laundering Compliance Officer
1 month ago
New York, New York, United States National Bank of Canada Full timeAs an Anti-Money Laundering Compliance Officer, you will be responsible for overseeing and managing the Firm's AML, BSA, and OFAC compliance programs.The candidate must possess an in-depth understanding of AML requirements driven by FINRA, SEC, MSRB, OCC, and blue-sky regulations.Oversee the Firm's BSA/AML/OFAC Program by establishing, implementing, and...
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Compliance Officer, ETF Advisory
6 days ago
New York, New York, United States THE BANK OF NEW YORK MELLON CORPORATION Full time**About the Role**We are seeking a highly skilled Compliance Officer to join our Investment Management Compliance team at The Bank of New York Mellon Corporation. This role is located in New York City, NY - HYBRID.**Key Responsibilities**Independently contribute to the compliance efforts of multiple assigned business units, ensuring adherence to regulatory...
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Corporate Tax Compliance Officer
2 months ago
New York, New York, United States Mizuho Financial Group Full timeJob Description The Corporate Tax Compliance Officer will be responsible for assisting the Assisting Director of Compliance on: Tax Compliance, Provision, Research and Audit. Specific duties include Prepare Federal, State & Local tax returns including quarterly estimated payments for separate, consolidated, unitary and worldwide tax filings Calculate tax...