Compliance Officer, Trading Compliance

Compliance Consultancy Director - Previous Compliance Funds Experience and 1940 Act/NFA/CFTC Knowledge Required Ref: 4015G3 $200K - $220K + Bonus + Benefits New York City Our Client, a growing and dynamic regulatory consulting firm based in New York and London, are looking to hire an experienced compliance professional to join their New York Regulatory...

Chief Compliance Officer Lime Trading Corp is a registered execution-only, agency broker-dealer focusing on supporting low latency trading activity for institutional and retail clients trading for the US markets via various APIs, front-ends, and order management systems. . Lime is a direct member of all of the US Equity Exchanges, has access to all US...

RESPONSIBILITIES: The Senior Compliance Officer will lead the day-to-day management of Capstone’s Global trade compliance practice area and will provide real-time advisory support to Capstone’s trading staff. The ideal candidate is an intellectually curious, dynamic individual who wants to develop skills in a fast-paced environment, has the ability...

Leading Trading Firm is looking to hire a Compliance Officer 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 knowledge of the Investment Advisers Act of 1940 and Investment Company Act of 1940 is required.Testing...

Compliance Consultancy Director – Previous Compliance Funds Experience and 1940 Act/NFA/CFTC Knowledge Required Ref: 4015G3 $200K - $220K + Bonus + Benefits   New York City Our Client, a growing and dynamic regulatory consulting firm based in New York and London, are looking to hire an experienced compliance professional to join their New York Regulatory...

Global Metals Trading Firm located in Midtown Manhattan is seeking a Compliance Specialist to add to their growing team. They will train an individual who has 1-2 years work experience and is a self starter and very detailed for research and has excellent writing skills. This is not a KYC or AML Banking Compliance position. Summary: This position reports...

Global Metals Trading Firm located in Midtown Manhattan is seeking a Compliance Specialist to add to their growing team. They will train an individual who has 1-2 years work experience and is a self starter and very detailed for research and has excellent writing skills. This is not a KYC or AML Banking Compliance position. Summary:This position reports...

Global Metals Trading Firm located in Midtown Manhattan is seeking a Compliance Specialist to add to their growing team. They will train an individual who has 1-2 years work experience and is a self starter and very detailed for research and has excellent writing skills. This is not a KYC or AML Banking Compliance position. Summary:This position reports...

Global Metals Trading Firm located in Midtown Manhattan is seeking a Compliance Specialist to add to their growing team. They will train an individual who has 1-2 years work experience and is a self starter and very detailed for research and has excellent writing skills. This is not a KYC or AML Banking Compliance position. Summary:This position reports...

The Role We are seeking to hire an exceptional Compliance Officer to join our compliance team in our New York City office. The Compliance Officer will report into the Deputy Chief Compliance Officer and will lead the Risk Review, Monitoring and Exams (RRME) team in support of the overall global Compliance function. The position is responsible for managing...

Job DescriptionJob DescriptionLarge buy side firm seeks a junior compliance associate reporting into the Deputy CCO. This is a trade surveillance role, sitting with the business responsible for supporting the investment team and other business units with respect to the firm’s Compliance program and/or investment-related questions. Some responsibilities...

General Counsel & Chief Compliance Officer++ (New York, NY): Our client, a $1B+ hedge fund with a strong reputation and track record, is looking to hire their first fully dedicated GC & CCO. This new hire will be a part of the team’s executive leadership committee and spearhead their compliance program efforts while also meaningfully contributing to their...

General Counsel & Chief Compliance Officer++ (New York, NY): Our client, a $1B+ hedge fund with a strong reputation and track record, is looking to hire their first fully dedicated GC & CCO. This new hire will be a part of the team’s executive leadership committee and spearhead their compliance program efforts while also meaningfully contributing to their...

Lime Trading Corp., a financial services company for retail and institutional traders, is ready for the next stage of our growth. Although we are an established company with dedicated investors and long-term clients, Lime Trading is in the midst of an exciting period of expansion. We are thrilled for our rapidly increasing reach in this industry, and we are...

Location: NYC (Hybrid)Compensation: $125k-$175k base + bonus ($40k-$75k)Overview:The Funds and Trading Specialist will work closely with other members of the Legal and Compliance Department and other departments throughout the firm on a wide spectrum of legal and compliance issues and initiatives, focusing on matters related to funds and trading...

INTRODUCTION At Burberry, we believe creativity opens spaces. Our purpose is to unlock the power of imagination to push boundaries and open new possibilities for our people, our customers and our communities. This is the core belief that has guided Burberry since it was founded in 1856 and is central to how we operate as a company today.   We aim to...

INTRODUCTIONAt Burberry, we believe creativity opens spaces. Our purpose is to unlock the power of imagination to push boundaries and open new possibilities for our people, our customers and our communities. This is the core belief that has guided Burberry since it was founded in 1856 and is central to how we operate as a company today. We aim to provide an...

Our client, a well-established Alternative Investments firm is seeking to add a Compliance professional to support the growth of the business with an opportunity to join a high performing team. Key responsibilities include: Developing ongoing policies & procedures & monitoring the Compliance program in accordance with FINRA regulations. Reviewing personal...

Our client, a well-established Alternative Investments firm is seeking to add a Compliance professional to support the growth of the business with an opportunity to join a high performing team.Key responsibilities include:Developing ongoing policies & procedures & monitoring the Compliance program in accordance with FINRA regulations.Reviewing personal...

Firm: $30Bn Hedge Fund Location: NYC Hybrid: 4 days in office, 1 day WFH Compensation: $125k-$175k base + bonus [$40k-$75k] Benefits: Full paid Medical and Dental, paid lunch Overview: Join $30Bn Hedge Fund as a Legal and Compliance Specialist, where you'll collaborate with various departments across the firm to ensure adherence to legal and compliance...