Compliance Officer
2 days ago
This key hire will play a pivotal role in running the day-to-day compliance program as the firm continues to build a leading team in the industry.
Key Responsibilities:- Develop and maintain compliance policies and procedures to ensure regulatory adherence.
- Conduct thorough compliance audits and risk assessments to identify areas for improvement.
- Monitor regulatory developments and implement necessary changes to maintain a strong compliance program.
- Licensing & Registrations and Filings (Form BD, Form BR, U4/U5, Form NRF) management.
- A strong academic background from a top university: Bachelor's degree in Finance, Business, Law, or related field.
- Excellent analytical and communication skills to effectively collaborate with the team.
- Relevant certifications (e.g., Series 7, Series 24) are a plus.
This position is ideal for a highly motivated and entrepreneurial individual looking to work at a firm renowned for innovation and integrity in the financial services industry.
A highly competitive compensation package is on offer to attract top talent.
For a confidential discussion, please submit your resume for consideration.
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Compliance Officer
3 weeks ago
New York, New York, United States JCW Full timeCompliance OfficerAt JCW, we are seeking a highly skilled Compliance Officer to join our team in New York City. This role offers a unique opportunity for compliance professionals to work closely with and learn directly from the Chief Compliance Officer.Key Responsibilities:Ensure compliance with all relevant regulations, including SEC and FINRA rules.Assist...
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Compliance Officer
3 weeks ago
New York, New York, United States JCW Full timeCompliance Officer Job DescriptionAt JCW, we are seeking a highly skilled Compliance Officer to join our team in New York City. This role offers the unique opportunity for compliance professionals to work closely with and learn directly from the Chief Compliance Officer.Key Responsibilities:Ensure compliance with all relevant regulations, including SEC and...
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Compliance Officer
14 hours ago
New York, New York, United States Social Capital Resources Full timeAt Social Capital Resources, we are seeking a seasoned Compliance Officer to support our Front Office in implementing and executing compliance initiatives, processes, and controls that manage compliance risks.Key responsibilities include:Maintaining business line and support function policies and procedures addressing compliance requirements, including...
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Compliance Officer
4 weeks ago
New York, New York, United States Amalgamated Bank of NY Full timeJob Title: Compliance OfficerAmalgamated Bank of NY is seeking a highly skilled Compliance Officer to join our team. As a Compliance Officer, you will play a critical role in ensuring the Bank's loan, deposit products, and services maintain compliance with federal and state regulations, as well as all Bank compliance-related policies and procedures.Key...
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Compliance Officer
3 weeks ago
New York, New York, United States Russell Investment Group Full timeJob Title: Compliance OfficerJoin Russell Investments as a Compliance Officer and play a critical role in ensuring the firm operates within regulatory requirements and industry practices.About the Role:The Compliance Officer will be responsible for assisting in the documentation and execution of the compliance program for Russell Investments' U.S. registered...
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Compliance Officer
20 hours ago
New York, New York, United States One Ten Associates Full timeWe are seeking a highly skilled Compliance Officer to join our team at One Ten Associates in New York. This is a broad generalised compliance role with full exposure across the business.The ideal candidate will have buy-side experience, either working within a hedge fund or regulatory consultancy. Strong control room/code of ethics experience is...
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Compliance Officer
4 weeks ago
New York, New York, United States Social Capital Resources Full timeCompliance Expert Sought by Social Capital ResourcesTop-Tier Bank in Midtown, Manhattan is seeking a seasoned Compliance professional to support their Front Office.Key Responsibilities:Support the implementation and execution of compliance initiatives, processes, and controls that manage compliance risks and ensure regulatory adherence.Maintain and update...
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Compliance Officer
4 weeks ago
New York, New York, United States Anonymous Full timeCompliance Officer Job DescriptionAnonymous, a top-tier hedge fund, is seeking a highly motivated and detail-oriented Compliance Officer to join their team in New York City.This key hire will play a strategic role in running the day-to-day compliance program as the firm continues to build an industry-leading team.The ideal candidate will have:Strong...
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Compliance Officer
4 weeks ago
New York, New York, United States Harrington Starr Full timeAbout the RoleWe are seeking a highly skilled Compliance Analyst to join our team at Harrington Starr in New York. As a key member of our middle and back office functions, you will work closely with our COO to develop and maintain our compliance framework.The ideal candidate will have a strong background in compliance, with a focus on building relationships...
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Compliance Officer
4 weeks ago
New York, New York, United States Interactive Resources - iR Full timeJob Title: VP, Compliance OfficerJob Summary:The VP, Compliance Officer will serve as an advisor to the Advanced Clearing and Prime Services (ACaPS) Division, Fixed Income, Commodities, Currencies, and Stock Lending Division (FICCS), and the Operations Department. Key activities in these areas include correspondent clearing services, prime brokerage, fixed...
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Compliance Officer
2 days ago
New York, New York, United States Brookfield Asset Management Full timeJob Title: Compliance OfficerBrookfield Asset Management is seeking a highly motivated and detail-oriented Compliance Officer to join its team in New York. The successful candidate will be responsible for supporting the compliance program focused on the marketing and wholesale distribution of our products on a global basis.Key...
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Compliance Officer
2 days ago
New York, New York, United States Millennium Management Corp Full timeJob Title: Compliance OfficerMillennium Management Corp is seeking a highly skilled Compliance Officer to join our team. As a key member of our Compliance department, you will play a critical role in ensuring the Firm's global Quantitative Trading Compliance program is effective and compliant with regulatory requirements.Key Responsibilities:Assist in the...
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Compliance Officer
3 weeks ago
New York, New York, United States ESRA Management Full timeJob OverviewESRA Management is seeking a detail-oriented and organized Compliance Officer to join our team. As a Compliance Officer, you will be responsible for ensuring the day-to-day execution of building compliance, Section 8, and LIHTC certifications across our portfolio of buildings.Key ResponsibilitiesMonitor project-based Section 8 and LIHTC...
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Compliance Officer
2 weeks ago
New York, New York, United States Social Capital Resources Full timeCompliance Expert Sought for Front Office SupportSocial Capital Resources, a leading financial institution, is seeking a seasoned Compliance professional to join their team in Midtown, Manhattan.Key Responsibilities:Develop and implement compliance initiatives, processes, and controls to mitigate risks and ensure regulatory adherence.Maintain and update...
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Compliance Officer
2 days ago
New York, New York, United States Social Capital Resources Full timeCompliance Expert Sought by Social Capital ResourcesAbout the Role:We are seeking a seasoned Compliance professional to join our team at Social Capital Resources. As a Vice President of Compliance, you will play a critical role in supporting our Front Office in implementing and executing compliance initiatives, processes, and controls that manage compliance...
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Compliance Officer
3 weeks ago
New York, New York, United States Brookfield Asset Management Full timeCompliance Resource OpportunityThe Brookfield Asset Management team is seeking a skilled Compliance professional to join its BOWS Legal and Regulatory Team in the New York office.This role offers a great opportunity for an individual with a hands-on approach to become an integral part of the team, contributing to the development and implementation of...
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Compliance Officer
2 weeks ago
New York, New York, United States IQ-EQ Full timeCompliance and Regulatory Affairs ManagerIQ-EQ is a leading service provider to the alternative asset industry, offering a comprehensive range of services to hedge fund, private equity fund, and mutual fund managers. Our team of experts works closely with clients to ensure compliance with regulatory requirements and industry best practices.Key...
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Compliance Officer
4 weeks ago
New York, New York, United States Cardea Group Full time{"title": "Senior Compliance Professional", "subtitle": "Join Cardea Group", "content": "Cardea Group is seeking a highly skilled Senior Compliance Professional to join our team. As a key member of our compliance team, you will play a critical role in ensuring the firm's compliance program is robust and effective in addressing evolving regulatory...
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Compliance Officer
2 weeks ago
New York, New York, United States Goldman Sachs Full timeJob Title: Global Banking & Markets - Public Compliance OfficerJob Summary:We are seeking a highly skilled and experienced Compliance Officer to join our Global Banking & Markets team. The successful candidate will be responsible for providing day-to-day line Compliance coverage for the Global Banking & Markets - Prime Service businesses, including coverage...
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Compliance Officer
1 week ago
New York, New York, United States Cardea Group Full timeSenior Compliance ProfessionalWe are seeking a highly skilled and experienced Senior Compliance Professional to join our team at Cardea Group. As a key member of our compliance team, you will play a critical role in ensuring that our firm's compliance program is robust and effective in addressing evolving regulatory requirements and changes in the...