Regulatory Compliance Lead
2 weeks ago
Regulatory Compliance Lead – Alternative Investment Firm
Larson Maddox is seeking a skilled Regulatory Compliance Lead to join a prestigious alternative investment firm specializing in macro trading strategies. This role is pivotal in fostering a culture of compliance throughout the organization, ensuring that compliance policies and procedures are effectively implemented and adhered to.
The successful candidate will report directly to the General Counsel and will play a crucial role in collaborating with senior stakeholders across various departments.
Key Responsibilities:
- Overseeing the entire lifecycle of internal compliance initiatives from conception to execution.
- Managing requests related to Core Compliance and Personal Trading.
- Contributing to the Compliance Annual Review process.
- Executing general compliance functions, including but not limited to researching regulatory matters, providing compliance guidance to business units, and developing policies and procedures.
Qualifications:
- A minimum of three years of relevant compliance experience within an alternative asset management environment.
- In-depth understanding of the SEC regulatory framework.
- Strong organizational and problem-solving skills.
- Outstanding communication abilities.
-
Compliance Officer
9 hours ago
Greenwich, Connecticut, United States Abacus Group, LLC Full timeAbacus Group, LLC is seeking a seasoned Compliance Manager to join their team in a Greenwich, CT office.Key Responsibilities:Develop and implement regulatory compliance strategies to ensure adherence to industry standards and regulations.Oversee the preparation and submission of regulatory filings, including ad hoc and periodic SEC filings.Conduct ongoing...
-
Regulatory Risk Manager
4 days ago
Greenwich, Connecticut, United States Interactive Brokers Full timeJob DescriptionInteractive Brokers LLC is seeking a seasoned professional to lead our Compliance Testing program. As a key member of our regulatory team, you will be responsible for ensuring our firm's compliance with U.S. securities and commodities regulations.Key Responsibilities:Compliance Testing Program Management: Oversee the development,...
-
Compliance Testing Director
4 days ago
Greenwich, Connecticut, United States Interactive Brokers Full timeJob DescriptionInteractive Brokers is seeking a seasoned Compliance Testing professional to lead our regulatory risk management efforts.Key ResponsibilitiesCompliance Testing Program Management: Oversee the development, implementation, and maintenance of our annual compliance testing program to ensure adherence to regulatory requirements.Stakeholder...
-
Compliance Officer
2 days ago
Greenwich, Connecticut, United States Interactive Brokers Full timeJob DescriptionInteractive Brokers LLC is seeking a seasoned professional to lead our Compliance Testing program. As a key member of our regulatory team, you will be responsible for ensuring our firm's compliance with U.S. securities and commodities regulations.Key Responsibilities:Compliance Testing Program Management: Oversee the development,...
-
Senior Compliance Analyst
5 days ago
Greenwich, Connecticut, United States Interactive Brokers Full timeJob DescriptionInteractive Brokers is seeking a highly motivated and experienced professional to join our team as a Senior Compliance Analyst. This role will be responsible for ensuring the firm's technology and data enterprise is in compliance with regulatory requirements.Key ResponsibilitiesCompliance Coverage: Support the firm's compliance coverage of...
-
Old Greenwich, Connecticut, United States Tandym Group Full timeJob Title: Tax Manager, Public Mortgage REIT Compliance SpecialistA leading professional services firm in Connecticut is seeking an experienced Tax professional to join their team as a Tax Manager, Public Mortgage REIT Compliance Specialist.Key Responsibilities:Preparation and monitoring of income tax provisions and related GAAP disclosures, ensuring...
-
Automotive Store Manager
5 days ago
Greenwich, Connecticut, United States Mavis Tire Supply Full timeJob DescriptionMavis Tire Supply is seeking a highly motivated and experienced Automotive Store Manager to lead our retail store locations and drive sales, profitability, and customer satisfaction.About the PositionManage a retail store location and ensure maximum profitability by driving sales, monitoring inventory and expenses, managing personnel, and...
-
Lead Financial Accountant
2 weeks ago
Greenwich, Connecticut, United States Creative Financial Staffing Full timePosition: Senior Accountant Location: Stamford, CT Creative Financial Staffing is seeking a Senior Accountant to join a dynamic investment management firm. The Senior Accountant will oversee the accounting functions for the firm's management company, general partner entities, and investment accounting and reporting. Key Responsibilities of the Senior...
-
Credit Fund Accounting Lead
2 weeks ago
Greenwich, Connecticut, United States Creative Financial Staffing Full timePosition: Accounting Manager Location: Greenwich, CTJob Type: Temporary, Full-TimeCreative Financial Staffing is currently seeking a skilled Accounting Manager to oversee the financial operations of a credit fund. This pivotal position will work closely with the CFO of a newly formed non-traded REIT, focusing on credit strategy. The successful candidate...
-
Nursing Team Lead
7 days ago
Greenwich, Connecticut, United States TAG MedStaffing Full timeNursing Supervisor Job Description**Job Summary:**We are seeking a highly skilled and experienced Nursing Supervisor to join our team at TAG MedStaffing. As a Nursing Supervisor, you will play a critical role in overseeing patient care and clinical operations, ensuring the highest standards of quality and excellence.Key Responsibilities:Patient Care...
-
Chief Financial Officer
2 weeks ago
Greenwich, Connecticut, United States Etana Custody Full timeJob OverviewEtana Custody is seeking a Chief Financial Officer to join our leadership team. This position is essential for guiding our financial strategy and operations.Company Background:Etana Custody Inc. operates as a chartered trust company, regulated by the State of Colorado Department of Regulatory Agency - Division of Banking. We specialize in...
-
Fitness and Wellness Team Lead
7 days ago
Greenwich, Connecticut, United States Gym Group Full timeAbout UsThe Gym Group is a dynamic and innovative company that is passionate about helping people achieve their fitness goals. We are committed to providing a supportive and inclusive environment for our members and staff alike.Job SummaryWe are seeking an experienced and motivated Assistant General Manager to join our team in Greenwich. As a key member of...
-
Investment Portfolio Executive
7 days ago
Greenwich, Connecticut, United States U.S. Bancorp Full timeWe're passionate about helping customers and the communities where we live and work. As a leading financial institution, U.S. Bancorp is one of the country's most respected, innovative, and successful banks. Our team is dedicated to delivering exceptional customer experiences and building strong relationships with our clients. As a Portfolio Manager, you...
-
Portfolio Investment Manager
7 days ago
Greenwich, Connecticut, United States U.S. Bancorp Full timeWe're passionate about helping customers and the communities where we live and work. As a leading financial institution, U.S. Bancorp is one of the country's most respected, innovative, and successful banks. Our team is dedicated to delivering exceptional customer experiences and building strong relationships with our clients. As a Portfolio Manager, you...
-
Director of Global Compensation and Benefits
3 days ago
Greenwich, Connecticut, United States iCapital Full timeJob OverviewiCapital is at the forefront of the alternative investment marketplace, revolutionizing how financial advisors, wealth management firms, asset managers, and banks assess and propose tailored public and private market strategies for affluent clients. Currently, iCapital manages approximately $187 billion in global client assets across 1,504...
-
Lead Financial Accountant
2 weeks ago
Greenwich, Connecticut, United States Creative Financial Staffing Full timePosition: Senior Accountant Location: Stamford, CT Creative Financial Staffing is seeking a Senior Accountant to join a dynamic investment management firm. The Senior Accountant will oversee the accounting functions for the firm's management company, general partner entities, and investment reporting. Key Responsibilities of the Senior Accountant:Manage...
-
Chief Financial Officer
2 weeks ago
Greenwich, Connecticut, United States Dawn Taylor Associates, Inc. Full timeDawn Taylor Associates, Inc. is seeking a strategic and results-oriented Vice President of Finance to lead financial operations for a prominent client.Key Responsibilities:Manage the annual audit cycle and ensure compliance with regulatory standards.Oversee the preparation, reconciliation, and consolidation of tax returns.Direct budget management and conduct...
-
Financial Portfolio Specialist
7 days ago
Greenwich, Connecticut, United States U.S. Bancorp Full timeWe're passionate about helping customers and the communities where we live and work. As a leading financial institution, U.S. Bancorp is one of the country's most respected, innovative, and successful banks. Our team is dedicated to delivering exceptional customer experiences and building strong relationships with our clients. As a Portfolio Manager, you...
-
Director of Global Compensation and Benefits
5 days ago
Greenwich, Connecticut, United States iCapital Full timeJob OverviewiCapital is at the forefront of the alternative investment marketplace, revolutionizing how financial advisors, wealth management firms, asset managers, and banks assess and recommend tailored public and private market strategies for affluent clients. As of April 2024, iCapital manages approximately $187 billion in global client assets across...
-
Total Rewards and Compensation Strategist
7 days ago
Greenwich, Connecticut, United States iCapital Full timeAbout the RoleiCapital is a leading provider of financial technology solutions for the alternative investment industry. Our platform has revolutionized the way advisors, wealth management firms, asset managers, and banks evaluate and recommend bespoke public and private market strategies for their high-net-worth clients. With a presence in multiple...