Jobs: compliance officer

Job SummaryThe Senior Quality Compliance Engineer will work with the Senior Manager of Quality Compliance to ensure Terumo Medical Corporation is achieving compliance to all global regulations and external standards for medical devices, combination medical device/pharmaceutical, and software products through collaborative partnerships and out-reach with...

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...

Job DescriptionJob DescriptionCompliance OfficerPosition Summary: The Compliance Officer’s primary responsibility is to ensure that requirements of regulatory laws, bank secrecy act and community reinvestment act are being implemented. The Compliance officer will act as a liaison between regulatory agencies and the various departments within the...

DescriptionPublicly traded Fintech is looking for a Compliance Officer to join their compliance team in Maryland US, responsible for ensuring that the operations adhere to the laws that regulate the business.The Compliance Officer- North America will report to the Director of Global Compliance.IN THIS POSITION YOU WILL:Ensure that the business has effective...

A Menlo Park Based Hedge Fund is seeking a Compliance Analyst with experience working for a registered investment adviser to join our compliance team. This role will report to the General Counsel / Chief Compliance Officer (GC/CCO). Develop and maintain an in-depth understanding of the business areas, its products and supporting functions ...

Responsibilities:Risk and ComplianceConduct audits and testing of broker/dealer branch offices for their compliance of written policies and proceduresProvide timely written reports to document findings and corrective actions to branch officesTrack findings and delinquencies discovered during audits to discover trends and proactively suggest best practices or...

Responsibilities:Risk and ComplianceConduct audits and testing of broker/dealer branch offices for their compliance of written policies and proceduresProvide timely written reports to document findings and corrective actions to branch officesTrack findings and delinquencies discovered during audits to discover trends and proactively suggest best practices or...

Responsibilities:Risk and ComplianceConduct audits and testing of broker/dealer branch offices for their compliance of written policies and proceduresProvide timely written reports to document findings and corrective actions to branch officesTrack findings and delinquencies discovered during audits to discover trends and proactively suggest best practices or...

JOB DESCRIPTIONABOUT THE FIRMSepio Capital, LP (“Sepio”) is a multifamily office and institutional investment advisor registered with the SEC. At Sepio, our mission is to protect our clients’ assets, fortify their legacies, and guard what matters most to them. We accomplish this first and foremost by having a deep understanding of their goals and...

JOB DESCRIPTIONABOUT THE FIRMSepio Capital, LP (“Sepio”) is a multifamily office and institutional investment advisor registered with the SEC. At Sepio, our mission is to protect our clients’ assets, fortify their legacies, and guard what matters most to them. We accomplish this first and foremost by having a deep understanding of their goals and...

LoadingSorry to interruptCSS Error Compliance Officer, Trading Compliance LocationNew York PostedPosted 35 Days Ago CodeREQ5643 Balyasny Asset Management is seeking an experienced Compliance Officer for its New York office. The employee will report to a Senior Compliance Officer and will work closely with both the Compliance and Legal Departments....

LoadingSorry to interruptCSS Error Compliance Officer, Trading Compliance PostedPosted 30 Days Ago CodeREQ5643 Balyasny Asset Management is seeking an experienced Compliance Officer for its New York office. The employee will report to a Senior Compliance Officer and will work closely with both the Compliance and Legal Departments. The primary focus...

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....

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....

Job DescriptionJob DescriptionLooking to make a difference?We at A Bright Future, are looking for a dynamic, organize, and process driven Compliance Officer for our Northbay, Sacramento Eastbay and Los Angeles regions.  Our Compliance Officer are responsible for ensuring that all corporate processes and procedures comply with the law and regulations of the...

Role: Compliance OfficerDuration: 9mo+Location: Hybrid (3x a wk onsite) in Charlotte, NC or NY, NYClient: Large bankSummary:This is for the Market Conduct Program - they are in charge of building out the surveillance officer model and owning the supervisory procedures. They need people that come from a regulatory compliance background in the markets/trading...

Role: Compliance OfficerDuration: 9mo+Location: Hybrid (3x a wk onsite) in Charlotte, NC or NY, NYClient: Large bankSummary:This is for the Market Conduct Program - they are in charge of building out the surveillance officer model and owning the supervisory procedures. They need people that come from a regulatory compliance background in the markets/trading...

Job DescriptionJob DescriptionHIGH LEVEL OVERVIEWNewly created position to manage the Export Compliance Program for this growing manufacturing company. 100% in office in the Greenville, SC area.EXPECTATIONSManage the Export Compliance program with an emphasis on ATF complianceFile and manage ATF reports and export licensesAssist with updating policies and...

This position provides an excellent opportunity for a self-motivated, hands-on individual with basic knowledge of the Investment Industry to broadly expand that knowledge as an integral part of a 4-person compliance department. This position will be involved in the daily review of control reports and other forms of oversight to monitor and ensure the...

Our dynamic and diversified firm spans asset management, wealth management, and fintech, offering many ways to help investors make progress toward their goals.Our talented teams working around the globe bring expertise that's both broad and unique.Global Regulatory Compliance, Mutual Funds is a five-person team responsible for overseeing the compliance...