Investment Compliance Specialist

About UsWellington Management Company, LLP offers a comprehensive range of investment management services that cater to the diverse needs of institutional clients across the globe. With a robust body of proprietary research and a collaborative culture that fosters independent thought and healthy debate, our investment solutions are designed to help clients...

Regulatory Compliance Specialist for Investment BankingWe are seeking a highly skilled Regulatory Compliance Specialist to ensure regulatory compliance, oversee filing requirements, and maintain effective supervisory controls within the investment banking division.Main Responsibilities:Ensure all investment banking activities adhere to regulatory...

Natixis Corporate & Investment Banking is seeking a highly skilled professional to fill the position of Investment Banking Credit Specialist. As a key member of our investment banking team, you will be responsible for analyzing credit risk and developing strategic plans to optimize our corporate banking portfolio. Your expertise in credit analysis, risk...

Company OverviewCapstone Investment Advisors is a global alternative investment management firm operating across a broad range of derivatives-based strategies with a deep understanding of volatility. Our commitment to provoking the evolution of asset management provides us with a perpetual hunger for knowledge that drives the improvement of our approach to...

At IQ-EQ, we're seeking a highly skilled Compliance Specialist to join our team. This role is ideal for an individual with 6-8 years of experience in compliance, preferably working at a registered investment adviser, law firm, or investment consulting firm.The successful candidate will have a strong understanding of the IA Act of 1940 and the ICA of 1940....

The Investment Solutions Specialist plays a critical role in Citigroup Inc's wealth management services, working closely with clients and the Banker teams to deliver tailored solutions that meet their needs. With 2-5 years of relevant experience, this specialist assesses risk when business decisions are made, demonstrating consideration for the firm's...

Job SummaryAs a Vice President of Investment Banking Compliance, you will provide expert advisory on complex Investment Banking matters with senior business stakeholders on a consistent basis. You will guide the Equity Capital Markets team in providing guidance on business trading inquiries, identifying and assessing regulatory, market conduct, and...

About the RoleAs a Investment Banking Compliance Professional, you will play a critical role in ensuring that our investment banking activities are conducted in accordance with all relevant laws and regulations. You will work closely with our business units to provide guidance on regulatory requirements and expectations, and develop solutions for complex...

Job OverviewIQ-EQ, a leading service provider to the alternative asset industry, is seeking an experienced Senior Compliance Officer to support its investment advisory clients.Company ProfileIQ-EQ works with managers in multiple capacities, offering services ranging from hedge fund and private equity fund launches to regulatory compliance, financial...

About UsWellington Management Company, LLP offers a comprehensive range of investment management services that span nearly all segments of the global capital markets. Our investment solutions are tailored to meet the unique return and risk objectives of institutional clients worldwide.As a private partnership, our ownership structure fosters a long-term view...

Job OverviewAJ Consultancy is seeking a seasoned Regulatory Compliance Expert to oversee investment banking activities and ensure adherence to regulatory requirements.Key Responsibilities:Compliance Oversight: Verify all investment banking activities comply with FINRA, SEC, and other relevant regulations.Filing Requirements: Prepare and submit regulatory...

Job Title: Tax Compliance SpecialistAbout Us: Michael Page is a well-established private investment firm based in New York City, offering a collaborative tax team environment. We are seeking an experienced Tax Compliance Specialist to join our team.Key Responsibilities:Manage the overall tax compliance function for all domestic and foreign tax filingsMonitor...

Job Overview: We are seeking a highly skilled Data Compliance Specialist to join our team at Veterans Sourcing Group, LLC.Salary: $80,000 - $100,000 per year, depending on experience.About the Role:We are looking for an experienced Surveillance Analyst to work with us on a 6-month contract with possible extension. The ideal candidate will have a strong...

Job Title: Regulatory Compliance SpecialistAbout Us: Wedbush Securities is a leading investment bank offering innovative financial solutions. We are currently seeking an experienced professional to oversee controls and protect confidential information.Responsibilities:- Analyze data and identify risk indicators using business intelligence tools- Implement...

About the RoleWe are seeking a highly skilled Compliance Team Lead to oversee our investment banking compliance team. This is an exciting opportunity to join a collaborative and dynamic team that drives business growth while ensuring regulatory compliance.The ideal candidate will have at least 3 years of experience in a registrations role, employee...

About the RoleWe are seeking a highly skilled Regulatory Compliance Specialist to join our team at BlackRock, Inc. This is an exciting opportunity to work in a fast-paced environment where you will have the chance to make a significant impact on our business.Job Summary: The successful candidate will be responsible for providing legal coverage of...

About the RoleWe are seeking a highly skilled Senior Compliance Officer to join our team at IQ-EQ. This is a fantastic opportunity for a seasoned compliance professional to take on a challenging role and make a real impact in the alternative investment sector.Job SummaryThe Senior Compliance Officer will be responsible for leading engagements for the...

Job Title: High-Frequency Investment SpecialistLocation: New York, London, or other global locations.Caxton Associates is a leading global trading and investment firm seeking an experienced High-Frequency Investment Specialist to manage significant capital allocations and oversee rigorous risk management across all active positions. The ideal candidate will...

As a key member of the Bloomberg team, you will be responsible for designing and developing a state-of-the-art compliance solution that enforces firm investment policies. With a strong focus on scalability and performance, you will work closely with stakeholders to identify opportunities for improvement and drive business results.About the RoleDevelop a deep...

Job DescriptionWe are seeking a highly skilled Regulatory Compliance Specialist to join our team at Cardea Group. This is an exciting opportunity for a driven professional to work closely with our Chief Compliance Officer (Americas) and contribute to the success of our dynamic, collaborative team.About the Role:This position involves day-to-day management of...