Chief Compliance Officer

3 days ago


New York, New York, United States IQ-EQ Full time

IQ-EQ is a leading service provider to the alternative asset industry, seeking a Chief Compliance Officer to join our team. As a key member of our compliance team, you will be responsible for overseeing the development, implementation, and maintenance of effective compliance programs for our clients in the alternative and traditional investment sector.

Our ideal candidate will possess a strong understanding of regulatory requirements, particularly within the alternative and traditional investment sectors. They will also have excellent leadership skills, enabling them to guide cross-functional teams and make sound decisions.

About IQ-EQ: With a long history of supporting our clients' needs, IQ-EQ offers a comprehensive range of services, including compliance, regulatory support, and operational assistance. Our expertise spans multiple capacities, from hedge fund and private equity launches to ongoing regulatory compliance, financial controls, and operational support services.

Your Key Responsibilities: As our Chief Compliance Officer, you will be responsible for leading engagements to develop, implement, and maintain compliance programs for various financial services firms. You will oversee staff in creating and implementing compliance policies and procedures, taking a proactive approach to ensuring their successful implementation. Additionally, you will lead annual compliance reviews, internal control testing, onsite training for clients on regulatory requirements and best practices, and contribute to company initiatives outside of client engagement management.

Qualifications: To succeed in this role, you must have at least 15 years of relevant compliance experience at a registered investment adviser, law firm, or investment consulting firm. A strong working knowledge of the IA Act of 1940 and the ICA of 1940 is essential, as well as familiarity with SEC Exam practices and experience with SEC exams and mock exams. Knowledge of CFTC/NFA and FINRA requirements is also desirable.

Compensation Package: This role offers a highly competitive salary, ranging from $200,000 to $250,000, based on experience and location, accompanied by a comprehensive benefits package. #LI-Hybrid



  • New York, New York, United States Oscar Health Full time

    Job OverviewOscar Health is seeking a seasoned professional to lead our compliance efforts as Chief Compliance Officer. This role is responsible for designing and implementing a compliance program that focuses on governance, ethics, and HIPAA.The successful candidate will lead all compliance efforts for Oscar's licensed entities delivering Qualified Health...


  • New York, New York, United States Randstad Full time

    Job OverviewThe Chief Compliance Officer will play a critical role in ensuring our company maintains the highest standards of safety and quality. This individual will be responsible for daily monitoring of compliance with safety procedures and SQF certification requirements.


  • New York, New York, United States NEUBERGER BERMAN Full time

    We are seeking an experienced and skilled Chief Compliance Officer to join our team at Neuberger Berman in Business Services. This is a unique opportunity to leverage your expertise in risk management, regulatory compliance, and business operations to drive growth and success within our organization.The ideal candidate will have a deep understanding of the...


  • New York, New York, United States DriveWealth Full time

    DriveWealth - A Global Financial Technology OrganizationWe are seeking an experienced Chief Compliance Officer to join our team at DriveWealth, a global financial technology organization dedicated to democratizing access to financial independence. Our mission is to empower partners to offer seamless investing and trading experiences to clients worldwide...


  • New York, New York, United States Keller Executive Search Full time

    We are seeking an experienced Chief Tax Compliance Officer to join our team. As a key member of the leadership team, you will be responsible for developing and implementing tax strategies to minimize liabilities and ensure compliance with tax laws and regulations.Job Description:Develop and implement tax strategies to minimize liabilities and ensure...


  • New York, New York, United States CLEAR - Corporate Full time

    Clear Vision: We're looking for a talented individual to join our team as Chief Compliance Officer and Head of Regulatory. This role is perfect for someone who is passionate about creating a culture of compliance and integrity within our organization. You'll have the opportunity to work closely with our leadership team to develop and implement compliance...


  • New York, New York, United States Zeta Global Full time

    Job Title: Chief Compliance Officer - Risk and RegulationsCompany OverviewZeta Global is a cutting-edge marketing cloud that utilizes AI and trillions of consumer signals to simplify marketing for businesses.Job DescriptionWe are looking for an experienced Chief Compliance Officer to lead our risk and regulations team. In this role, you will be responsible...


  • New York, New York, United States Barclays Full time

    Job OverviewThe Americas Chief Compliance Office AVP role at Barclays is a key position that requires a strong compliance professional to oversee and manage the firm's adherence to laws and regulations. This role involves providing data-led expert oversight and challenge on business and compliance matters to ensure that the organization operates in...


  • New York, New York, United States Uphold Full time

    About the RoleWe are seeking a highly skilled and experienced Chief Legal Officer to join our team at Uphold. As a key member of our leadership, you will be responsible for providing strategic guidance on legal matters, negotiating commercial agreements, and implementing risk management strategies to ensure compliance with regulations.


  • New York, New York, United States America Needs You Full time

    America Needs You is seeking a highly skilled and experienced Chief Financial Officer to lead the organization's financial management, operations, and strategy. The ideal candidate will have a strong background in finance, accounting, and business administration, with at least 5 years of progressive experience in a managerial role. A bachelor's degree in...


  • New York, New York, United States Tik Tok Full time

    **About the Role**We are seeking a highly motivated and experienced Chief Compliance Officer - Privacy Regulatory Expert to join our Global Privacy & Regulatory Affairs team. As a key member of this team, you will play a critical role in handling and overseeing legal privacy and regulatory matters pertaining to TikTok's global operations.The ideal candidate...


  • New York, New York, United States AJ Consultancy Full time

    Job Title: Chief Compliance OfficerCompany Overview: AJ Consultancy is a leading provider of regulatory compliance solutions.Salary: Estimated annual salary range: $120,000 - $180,000 based on industry standards and location.Job Description:Key Responsibilities:Establish and maintain effective compliance procedures to identify, prevent, detect, and remediate...


  • New York, New York, United States AJ Consultancy Full time

    AJ Consultancy seeks an experienced Chief Compliance Officer to lead our compliance program and ensure adherence to regulatory requirements.Job OverviewOur company, AJ Consultancy, operates as a tech-enabled broker-dealer. We are committed to providing excellent services to our clients while maintaining high ethical standards.ResponsibilitiesEstablish and...


  • New York, New York, United States Savvy Wealth Full time

    About Savvy WealthWealth management is a massive industry in the US with $545 billion annual revenue. However, it remains archaic and inefficient with low technology penetration. This inefficiency results in a poor client experience and over 70% of a financial advisor’s time spent on non-client facing tasks.Savvy Wealth is a digital-first platform for...

  • Compliance Officer

    4 days ago


    New York, New York, United States ACLU - National Office Full time

    Job OverviewA competitive salary of $92,431 (Level I) awaits the successful applicant for this Compliance Manager role at the ACLU - National Office in New York. Reporting to the Co-Chief Corporate Counsel for Regulatory Compliance, you will be responsible for administering and implementing political law reporting compliance protocols and processes.Your Key...


  • New York, New York, United States The Metropolitan Opera Full time

    Job Title: Chief Technology OfficerWe are seeking a skilled Chief Technology Officer to join our team at The Metropolitan Opera. As a key member of our leadership team, you will be responsible for overseeing and coordinating both Information Technology and Cybersecurity efforts.About the Role:Create a comprehensive technology strategy aligned with our...


  • New York, New York, United States Away Full time

    We're seeking an experienced Chief Financial Officer, Accounting to lead our global accounting operations at Away. This role reports directly to the CEO and is responsible for ensuring the accuracy, efficiency, and compliance of our financial records. The ideal candidate will have a proven track record of managing global accounting teams, with experience...


  • New York, New York, United States Michael Page Full time

    Job SummaryAs the Chief Information Security Officer - Risk and Compliance, you will play a critical role in ensuring the security and integrity of our organization's technology infrastructure.This senior leadership position involves providing strategic direction and oversight to ensure that our technology risks are properly assessed and mitigated. You will...

  • Compliance Officer

    4 weeks ago


    New York, New York, United States cesna Full time

    We are seeking an experienced Compliance Officer to join Cesna. This role will play a key part in ensuring our operations align with regulatory requirements and industry standards.Key Responsibilities:Policy Development and Implementation: Assist the Chief Compliance Officer in developing and implementing compliance policies and procedures that meet...


  • New York, New York, United States Institute for Comm Living Full time

    Job OverviewWe are seeking a highly skilled and experienced Chief Financial Officer to join our team at the Institute for Comm Living. As a key member of our leadership team, you will be responsible for driving financial management and strategic initiatives that support the organization's mission.Estimated Salary: $180,000 - $220,000 per yearThe ideal...