Current jobs related to Regulatory Compliance Specialist - New York, New York - CIFC Asset Management
-
Regulatory Compliance Specialist
4 weeks ago
New York, New York, United States Actalent Full timeJob Title: Regulatory SpecialistActalent is seeking a highly skilled Regulatory Specialist to join our team. As a Regulatory Specialist, you will play a critical role in ensuring compliance with Federal Regulations, Good Clinical Practice (GCP), and Institutional policies.Key Responsibilities:Regulatory Compliance: Ensure compliance with Federal Regulations,...
-
Regulatory Compliance Specialist
1 week ago
New York, New York, United States Weill Cornell Medical College Full timeJob SummaryWe are seeking a highly skilled Regulatory Compliance Specialist to join our team at Weill Cornell Medicine. As a key member of our clinical research team, you will be responsible for ensuring compliance with regulatory requirements and guidelines for clinical trials.Key Responsibilities* Coordinate all aspects of protocol submission for research...
-
Compliance and Regulatory Specialist
2 weeks ago
New York, New York, United States World Insurance Associates LLC Full timeJob SummaryWe are seeking a highly skilled Compliance and Regulatory Specialist to join our team at World Insurance Associates LLC. This role will support the Compliance and Legal department in regulatory, compliance, and operational matters. The ideal candidate will have a strong background in regulatory compliance, excellent analytical and problem-solving...
-
Regulatory Compliance Specialist
1 month ago
New York, New York, United States US Tech Solutions Full timeJob DescriptionUS Tech Solutions is seeking a highly skilled Paralegal to join our team as a Regulatory Compliance Specialist. In this role, you will be responsible for coordinating and project managing various regulatory examinations and audits related to the Firm's Bank Secrecy Act program on behalf of the Global Financial Crimes (GFC) team.Key...
-
Regulatory Compliance Specialist
3 days ago
New York, New York, United States JCW Full timeSenior Compliance OfficerAt JCW, we are seeking an experienced Senior Compliance Officer to join our team. As a key member of our regulatory compliance department, you will be responsible for ensuring our firm's compliance with SEC and FINRA requirements.Key Responsibilities:Regulatory Analysis: Conduct thorough analysis and provide recommendations on...
-
Senior Regulatory Compliance Specialist
2 weeks ago
New York, New York, United States Ocorian Full timeJob OverviewOcorian is a global leader in corporate and fiduciary services, fund administration, and capital markets. We provide compliant, tailored solutions that meet the unique needs of our clients.We manage over 15,000 structures for 6,000+ clients with a global footprint operating from 20+ locations, delivering administration and compliance services for...
-
Regulatory Compliance Specialist
4 weeks ago
New York, New York, United States SMBC Full timeJob Title: Regulatory Compliance AnalystAt SMBC, we are seeking a highly skilled Regulatory Compliance Analyst to join our Transaction Management team. As a key member of our team, you will be responsible for ensuring the compliance of our transactions with regulatory requirements.Key Responsibilities:Assess and process goods under funding documentation in...
-
Regulatory Compliance Specialist
1 month ago
New York, New York, United States TRANSRE Full timeAbout UsAt TransRe, we pride ourselves on delivering exceptional solutions to the insurance industry. Our team of experts combines global reach with local decision-making to provide innovative and effective solutions to our clients.Job OpportunityWe are seeking a highly motivated and detail-oriented Regulatory Compliance Paralegal to join our team in New...
-
Regulatory Compliance Specialist
2 weeks ago
New York, New York, United States Michael Page Full timeJob SummaryWe are seeking a highly skilled Regulatory Compliance Specialist to join our team. The successful candidate will be responsible for developing and implementing audit plans and programs based on risk assessments and organizational needs.Key Responsibilities:Develop and implement audit plans and programs based on risk assessments and organizational...
-
Regulatory Compliance Specialist
2 weeks ago
New York, New York, United States Oscar Health Full timeAbout the RoleOscar Health is seeking a highly skilled Senior Regulatory Analyst to join our Legal Operations team. As a key member of our Regulatory Operations team, you will be responsible for project managing and supporting discrete tasks to ensure Oscar's compliance with federal and state health plan requirements.You will work closely with internal teams...
-
New York, New York, United States US Tech Solutions Full timeJob OverviewUS Tech Solutions is seeking a highly skilled Client Onboarding and Regulatory Compliance Specialist to join our team in New York City. This role is part of our Client Onboarding and Regulatory Services (CORS) function within Shared Services Banking Operations.About the RoleAs a Client Onboarding and Regulatory Compliance Specialist, you will...
-
Regulatory Compliance Director
1 month ago
New York, New York, United States Brains Workgroup, Inc. Full timeRegulatory & Compliance Integration Director OpportunityBrains Workgroup, Inc. is seeking a talented Regulatory & Compliance Integration Director to join our team in New York City.This is a permanent position with a competitive compensation package, including a base salary of K, excellent benefits, and a target bonus.The ideal candidate will have experience...
-
Regulatory Compliance Expert
2 weeks ago
New York, New York, United States IDEX Consulting Full timeAbout Us: IDEX Consulting is a leading firm in the insurance brokerage and Managing General Agent (MGA) sector, recognized for their dedication to regulatory compliance and exceptional service.Job Description: We are seeking a skilled and meticulous VP / Regulatory Counsel to join our team in New York City. This role is crucial to the regulatory compliance...
-
Regulatory Specialist
3 weeks ago
New York, New York, United States Weill Cornell Medical College Full timeJob Title: Regulatory SpecialistWe are seeking a highly skilled Regulatory Specialist to join our team at Weill Cornell Medicine. As a key member of our clinical research team, you will be responsible for ensuring compliance with regulatory requirements and guidelines.Key Responsibilities:Coordinate all aspects of protocol submission for research...
-
Regulatory Compliance Expert
3 weeks ago
New York, New York, United States IDEX Consulting Full timeAbout UsIDEX Consulting is a leading firm in the insurance brokerage and Managing General Agent (MGA) sector, recognized for their dedication to regulatory compliance and exceptional service.Job DescriptionWe are seeking a skilled and meticulous VP / Regulatory Counsel to join our team in New York City. This role is crucial to the regulatory compliance...
-
Compliance Specialist
2 weeks ago
New York, New York, United States Brookfield Asset Management Full timeJob DescriptionThe Brookfield Asset Management team is seeking a highly skilled Compliance Specialist to join its BOWS Legal and Regulatory Team in the New York office.The ideal candidate will have a strong background in compliance and regulatory affairs, with experience working in a broker-dealer or asset management environment.The Compliance Specialist...
-
Regulatory Compliance Director
3 weeks ago
New York, New York, United States The Goodkind Group Full timeJob Profile SummaryThe primary objective of the Regulatory and Accreditation Program is to promote safe, high-quality, and effective patient care through maintaining accreditation, certification, and licensure compliance.The Regulatory Director is responsible for developing and leading a comprehensive regulatory survey readiness program in support of the...
-
Compliance Specialist
3 weeks ago
New York, New York, United States WEST SIDE FEDERATION FOR SENIOR AND SUPPORTIVE HOUSING, INC. Full timeJob Title: Compliance SpecialistWest Side Federation for Senior and Supportive Housing, Inc. is seeking a highly skilled Compliance Specialist to join our team. The successful candidate will be responsible for ensuring the organization's compliance with regulatory requirements and industry standards.Key Responsibilities:Assist in the preparation and...
-
Regulatory Compliance Specialist
3 weeks ago
New York, New York, United States Michael Page Full timeAbout the RoleWe are seeking a highly skilled Regulatory Auditor to join our team at Michael Page. As a key member of our financial services team, you will be responsible for conducting audits and providing recommendations to ensure compliance with industry standards and organizational policies.Key ResponsibilitiesDevelop and implement audit plans and...
-
Regulatory Compliance Officer
2 months ago
New York, New York, United States The Goodkind Group, LLC Full timeJob Profile SummaryThe Regulatory and Accreditation Program at The Goodkind Group, LLC is designed to ensure safe, high-quality patient care through accreditation, certification, and licensure compliance.We are seeking a highly skilled Regulatory Compliance Officer to lead our comprehensive regulatory survey readiness program, supporting our mission and...
Regulatory Compliance Specialist
2 months ago
CIFC ASSET MANAGEMENT OVERVIEW
Established in 2005, CIFC Asset Management LLC (and its affiliates, collectively referred to as "CIFC") operates as a global credit management firm specializing in various sectors including CLOs, structured credit, corporate credit, opportunistic credit, and direct lending. With a focus on serving institutional investors worldwide, CIFC is a SEC-registered investment manager overseeing approximately $42 billion in assets.
CIFC employs over 200 professionals, with its legal and compliance division situated in major financial hubs.
POSITION SUMMARY
The Legal and Compliance division at CIFC is in search of a junior professional to work closely with the Chief Compliance Officer, providing comprehensive compliance support. This role offers a unique opportunity to engage in a dynamic environment, addressing a wide array of issues relevant to the firm's regulatory compliance framework. The position reports directly to the Chief Compliance Officer, who emphasizes the importance of learning, career growth, and visibility within the organization.
PRIMARY RESPONSIBILITIES
- Manage incoming KYC inquiries from trading partners and service providers.
- Assist in the execution of various policies and procedures concerning private information, including database updates and monitoring of expert network communications.
- Support the oversight of the firm's ethical standards, including personal trading and gifts & entertainment protocols.
- Contribute to regulatory documentation and filings.
- Provide assistance with compliance assessments and monitoring activities.
- Engage in various ad hoc projects as required.
QUALIFICATIONS AND SKILLS REQUIRED
- Bachelor's degree with a strong academic background.
- Interest in compliance or the financial services sector is advantageous.
- Exceptional written and verbal communication abilities.
- Confident and polished individual with excellent interpersonal skills.
- Capacity to work diligently, manage multiple tasks, and prioritize effectively in a fast-paced environment with tight deadlines.
- Detail-oriented, organized, and proactive with strong follow-up skills.
- Able to thrive in a rapidly changing environment with shifting priorities.
- Self-motivated individual capable of working independently as well as collaboratively.
- Quick learner with the ability to master new tasks efficiently.
- Intellectual curiosity and eagerness to learn.
Compensation: $75,000 - $85,000/year total
