Compliance Officer

Job Title: Vice President of ComplianceThe ideal candidate will possess a minimum of three years of direct, investment advisor-related legal or compliance experience involving one or more of the following areas:Individual ultra-high-net-worth and family office wealth management clients; andPrivate pooled investment vehicles, such as hedge and real...

Compliance and Regulatory SpecialistWe are seeking a highly skilled Compliance and Regulatory Specialist to join our team at Harrington Starr in New York. As a key member of our compliance team, you will play a critical role in ensuring the firm's middle and back office functions are in line with regulatory requirements.The RoleCollaborate with the COO to...

Compliance Officer Job DescriptionAbout Bay State Savings BankBay State Savings Bank is a Massachusetts-based mutual bank with a rich history dating back to 1895. As a value-driven organization, we are committed to making a positive impact in our communities through our business practices and investments.Job SummaryWe are seeking a highly skilled Compliance...

Compliance Officer Job DescriptionAbout Bay State Savings BankBay State Savings Bank is a Massachusetts-based mutual bank with a rich history dating back to 1895. As a value-driven organization, we are committed to making a positive impact in our communities through our banking practices and investments.Job SummaryWe are seeking a highly skilled Compliance...

Our client, Abacus Group, LLC, is seeking a seasoned Compliance Manager to oversee the implementation and management of regulatory requirements in their Greenwich, CT office. Key responsibilities include managing regulatory filings, overseeing ad hoc filings and periodic SEC filings, and completing ongoing testing of internal policies and procedures. The...

About the Role:Coda Search│Staffing is seeking a seasoned Compliance Officer to join our client, a reputable Investment Manager in Hoboken, NJ. This is an exciting opportunity to enhance the company's legal/compliance function and register with the SEC.Key Responsibilities:Develop and implement a comprehensive compliance program in alignment with the SEC...

Compliance Leader Opportunity at WayohAbout the Role:We are seeking a seasoned Compliance Leader to join our team at Wayoh. As a key member of our organization, you will be responsible for overseeing and managing all compliance-related activities within our institution. This includes developing and implementing policies and procedures to ensure compliance...

Chief Compliance OfficerBlue Chip Partners, LLC, is a registered investment advisory (RIA) firm that has established itself as a leader in the industry. As a testament to our commitment to excellence, we were named one of the best places to work in Southeast Michigan by Crain's Detroit Business in 2024. With a team of 30 employees and assets under management...

Kingston Infrastructure Partners Overview:We are a global infrastructure investment firm that specializes in the development, financing, and management of infrastructure assets. Our firm operates in various regions and sectors, including renewables and power, social and environmental, transportation, digital, and energy infrastructure. We have a reputation...

Compliance Manager RoleWe are seeking a highly skilled Compliance Manager to support the design, development, and implementation of our compliance requirements.Key Responsibilities:Collaborate with business partners to draft and implement compliance policies and procedures, and assist with regulatory reviews of company press releases and filings.Mastery of...

Compliance and Risk Management Professional – Turks and Caicos Island – Up to $72,000We are working with a renowned luxury hotel in the beautiful islands of Turks and Caicos, known for their exceptional service, elegant accommodations, and world-class amenities. The hotel has a long-standing reputation for excellence, and they are committed to providing...

Compliance Manager – Turks & Caicos Island – Competitive SalaryCOREcruitment Ltd is working with a renowned luxury hotel in the beautiful islands of Turks and Caicos, known for their exceptional service, elegant accommodations, and world-class amenities. The hotel has a long-standing reputation for excellence, and they are committed to providing guests...

Position OverviewWe are seeking a dedicated Information System Security Officer to ensure the security compliance of our systems at Base-2 Solutions, LLC. This role involves collaboration with various stakeholders including application leads, system administrators, and developers to achieve and maintain Authorization to Operate (ATO).Key...

Job Summary:Planet Pharma is seeking a highly skilled Regulatory Affairs Specialist to join our team. As a key member of our regulatory team, you will be responsible for providing consultation and advice to our regulatory specialists on change control and product development.Key Responsibilities:Provide regulatory direction and interpretation on team...

About the RoleA leading alternative investment manager, JCW, is seeking a highly skilled Compliance Officer to join their team. This position will report directly to the Chief Compliance Officer (CCO) and will be responsible for ensuring the firm's compliance with regulatory requirements.Key ResponsibilitiesDraft and Update Compliance Policies and...

Position OverviewThe role of the Information System Security Officer is critical in safeguarding our organization's information systems. This position involves collaboration with various stakeholders, including application leads, system administrators, database administrators, developers, and testers, to ensure that all assigned systems comply with security...

Position OverviewThe role of the Information System Security Officer is critical in safeguarding our organization's information systems. This position involves collaborating with various stakeholders, including application leads, system administrators, and developers, to ensure that all assigned systems adhere to security compliance standards and...

Key Responsibilities:As a Vice President of Investment Compliance, you will be responsible for ensuring the consistent implementation, adoption, and maintenance of policies, procedures, and internal controls to meet regulatory obligations, specifically under the Investment Adviser Act of 1940, the Investment Company Act of 1940, and other relevant federal...

Position OverviewThe role of the Information System Security Officer involves collaborating with various stakeholders including application leads, system administrators, database administrators, developers, and testers to ensure that assigned systems meet security compliance standards and successfully achieve and maintain Authority to Operate (ATO).Key...

Job Title: Chief Compliance OfficerCompany: Fernridge GroupJob Type: Full-timeIndustry: Financial ServicesLocation: Remote (with occasional on-site meetings)About Us: Fernridge Group is a leading investment firm that specializes in alternative investments. We are seeking a highly experienced Chief Compliance Officer to join our team and lead our compliance...