Compliance Officer

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...

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,...

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": "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...

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 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: Senior Compliance OfficerSumitomo Mitsui Banking Corporation (SMBC) is a leading global financial institution with a rich history and diverse range of financial services. As a Senior Compliance Officer, you will play a critical role in ensuring the company's compliance with regulatory requirements and maintaining a strong reputation in the...

Job Title: Senior Compliance OfficerJoin Sumitomo Mitsui Banking Corporation as a Senior Compliance Officer and play a critical role in ensuring the company's compliance with regulatory requirements.About the RoleThe Senior Compliance Officer will be responsible for providing regulatory and compliance advice to business units, identifying and providing...

Compliance Officer - Trade Compliance and GeneralistOverview: Cardea 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 the firm's compliance with regulatory requirements and internal policies.Key Responsibilities:Conduct post-trade and...

Job 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...

About the RoleAres Management is seeking a highly skilled and experienced 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 ResponsibilitiesCollaborate with the Chief Regulatory Officer to direct the...

Job 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...

About the RoleWe are seeking a highly skilled Senior Compliance Officer to join our Compliance department in our New York Branch. As a key member of our team, you will be responsible for ensuring our compliance with applicable laws, rules, and regulations.Key ResponsibilitiesDevelop and maintain compliance policies and procedures to ensure adherence to...

AML Compliance OfficerFNZ Group is seeking an experienced AML Compliance Officer to join our team in the United States. As a key member of our compliance team, you will be responsible for establishing and overseeing an AML program for our newly formed U.S. clearing broker dealer.Key Responsibilities:Develop and implement policies and procedures related to...

Job Title: Chief Compliance OfficerNeuberger Berman Group LLC is seeking a seasoned Chief Compliance Officer to lead our compliance program for our registered funds business. As a key member of our Legal and Compliance Department, you will be responsible for ensuring our compliance program is robust, effective, and aligned with regulatory...

About the RoleCitigroup Inc. 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 play a critical role in ensuring the effective management of compliance risk across our global operations.Key ResponsibilitiesDesign, develop, and deliver best-in-class...

About CitiCiti is a leading global bank with a presence in over 160 countries and a customer base of approximately 200 million. We provide a wide range of financial products and services to consumers, corporations, governments, and institutions.The RoleThis Vice President position within Independent Compliance Risk Management (ICRM) is responsible for...

Job Title: Chief Compliance OfficerWe are seeking a highly skilled and experienced Chief Compliance Officer to join our team at Tradeweb. As a key member of our organization, you will be responsible for ensuring that our company operates in compliance with all relevant laws, regulations, and industry standards.Key Responsibilities:Develop and implement...