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...

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...

Personal Account Dealing and Conflicts of Interest (COI) Analyst - Legal & Compliance. New York, NY - Posted May 3, 2024 - Requisition No. 125084 The energy of a newsroom, the pace of a trading floor, the buzz of a recent tech breakthrough; we work h Compliance Officer, Compliance, Officer, Operations, Monitoring, Support, Business Services

Job DescriptionJob Description Green Trading Capital is looking to add an individual to join our team to head up compliance and assist in operations. Our firm trades environmental commodities, including but not limited to carbon allowances and renewable energy. The new hire will lead all efforts in compliance including maintain compliance manuals,...

Compliance Officer (New York, NY): Our client, a $2B+ private equity fund is currently looking to fill a newly created position as their Compliance Officer. Supporting the Chief Compliance Officer and Associate General Counsel, this position offers the chance to engage in various areas such as compliance, governance, marketing, ESG, and deal-related affairs....

Large 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 firms Compliance program and/or investment-related questions. Some responsibilities include assisting in implementing...

Bloomberg Tradebook - Legal & Compliance. New York, NY - Posted Apr 26, 2024 - Requisition No. 124879 The energy of a newsroom, the pace of a trading floor, the buzz of a recent tech breakthrough; we work hard, and we work fast - while keeping up the Compliance Officer, Compliance, Officer, Senior, Regulatory, Project Management, Technology

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...

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...

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...

Legal & Compliance. New York, NY - Posted Apr 25, 2024 - Requisition No. 124842 The energy of a newsroom, the pace of a trading floor, the buzz of a recent tech breakthrough; we work hard, and we work fast - while keeping up the quality and accuracy Compliance, Compliance Officer, Lead, Surveillance, Advisor, Officer, Business Services

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...

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...

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...

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...