Compliance Officer
$160k - $250kMillennium
This role will provide Compliance coverage to the Credit Business and Infrastructure groups in the US with a focus on CLO Manager, illiquid credit, operating in close partnership with the existing Compliance teams globally as well as the Global FIC Business Management team, and the various CLO & Credit Portfolio Managers. Principal Responsibilities Provide on desk Compliance coverage for all Credit Portfolio Manager teams and wider FI PMs as required. Keep local Senior Management constantly appraised of the overall compliance landscape and exposures within the CLO and illiquid Credit business. Provide Compliance coverage for relevant regulatory examinations, internal investigations, regulatory inquiries, and internal and external audits and inspections. Track relevant regulatory developments. Participate in working groups and projects as needed. Provide support with regulatory reporting as required. Periodic regional travel may be required. Qualifications/Skills Required Law degree and legal background is preferred but not essential. Strong knowledge of CLO manager, illiquid credit and general credit businesses. Strong knowledge and experience of Compliance monitoring and surveillance. Strong regulatory background US markets. Comprehensive understanding of and experience working with the rules and regulations and compliance processes and systems. Quick learner, detail oriented; demonstrable thoroughness and strong ownership of work. Good team player with a strong willingness to participate and help others. Able to prioritize in a fast moving, high pressure, constantly changing environment; high sense of urgency. Strong communication skills. The estimated base salary range for this position is $160,000 to $250,000, which is specific to New York and may change in the future. Millennium pays a total compensation package which includes a base salary, discretionary performance bonus, and a comprehensive benefits package. When finalizing an offer, we take into consideration an individual’s experience level and the qualifications they bring to the role to formulate a competitive total compensation package. #J-18808-Ljbffr Millennium
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Our client is a private equity firm. They seek a Compliance Officer to join their Manhattan, NY office.ResponsibilitiesCoordinate monthly compliance testing activities, including documentation collection and verification of regulatory requirementsSupport annual compliance...SuggestedWork at office$160k - $250k
Compliance OfficerThis role will provide Compliance coverage to the Credit Business and Infrastructure groups in US with a focus on CLO Manager, illiquid credit, operating in close partnership with the existing Compliance teams globally as well as the Global FIC Business...SuggestedLocal area$165k - $275k
We're seeking someone to join our team as a Regional Compliance Officer in WM Field Compliance to engage directly with the in an advisory capacity with the Wealth Management Northeast Regional team and using various data collected across the Firm, to aid in the identification...SuggestedTemporary workWork experience placement$110k - $140k
The Compliance Officer will be instrumentally involved in overseeing, administrating and enhancing the Compliance Program of Institutional Shareholder Services Inc. (“ISS”), a U.S.-registered investment adviser under the Investment Advisers Act of 1940, covering also its...SuggestedFull timeLocal area$95k - $130k
Flow Traders is looking for a Compliance Officer to join our Compliance team in New York. The ideal candidate is self-motivated with a strong analytical and problem-solving mentality. This is a unique opportunity to join a leading proprietary trading firm with an entrepreneurial...Local area$160k - $180k
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...the PositionThe successful candidate will support the firm's compliance program across registered private equity funds, private debt funds... ...position will work a hybrid schedule in one of our following offices 3 days/week.Boston, New York, Philadelphia, Baltimore, St....Full timeLocal area3 days per week- Reference: 13578Senior Compliance Officer, Investec USAInvestec - Where Out of the Ordinary HappensAt Investec, we do things differently. We're a leading international bank and wealth manager built on a culture of curiosity, entrepreneurial spirit and human connection....Full timeWork at officeRemote work
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Location Designation: Hybrid - 3 days per week Role Overview:This is a significant officer-level opportunity within New York Life’s Compliance department. The AML Compliance Officer will serve as a key member of the AML leadership team — supporting the Enterprise AML Compliance...Local areaImmediate start3 days per week$163k - $204k
...companies, through internal and external managers. The Investments Compliance team provides compliance and regulatory support to AIG’s... ...insurance companies and will work closely with the Chief Compliance Officer in the day-to-day execution of the compliance program.Review...Full timeWork at office$130k - $150k
...success.About the DepartmentFranklin Templeton’s Global Regulatory Compliance department provides oversight, guidance and monitoring of the... ...laws, regulations, and internal policies.The Compliance Officer will play a critical role in supporting the firm’s growth by ensuring...Full timeWork at officeLocal area$145k - $175k
A Career with Point72's Compliance TeamThe Point72 Compliance department is an industry-leading team of compliance professionals who support global investment and trading activities by establishing and enforcing the firm’s compliance policies, providing real-time advice...Work experience placement$120k - $140k
Job Description AVP, Fixed Income Compliance Officer Location: New York, NY This position is well-suited for a candidate with strong analytical and technical skills who is interested in developing fixed income compliance expertise. The successful candidate will assist...Full timePart timeLocal area$101k - $154k
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We are looking for a Compliance Officer to join our Legal & Compliance team. In this role, you will help support and maintain Vise’s compliance program, ensuring we meet our regulatory obligations while enabling our business to grow. You’ll report directly to the Chief...Work at office- Global investment management firm is seeking a compliance officer to join their dynamic team. Strong expertise with Trading Compliance is required, JD is a plus. They are on a hybrid schedule and working 4 days in office. Duties and Responsibilities: Provide real-time...Work at office
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Compliance Officer-The Rybak Firm PLLC, Bklyn, NY, seeks indiv to conduct compliance review & regulatory analysis on NY No-Fault insurance claims/litigations. Under guidance/supervisn of attorneys, audit & analyze claim files/billing records/med docs/ policy materials/...$80k - $130k
...investment results and shaping a workplace where diverse perspectives and independent thought drive better outcomes for clients. The Compliance Officer will work regularly with the CCO-Fixed Income and other compliance and legal staff in developing and implementing policies...Local areaWorldwideShift work$140k - $185k
Compliance Officer - Career Launch AI Talent Network Location: New York, NY Estimated Compensation: $140,000 - $185,000 total annual compensation (varies by employer) About This Posting This job description represents a sample Compliance Officer position commonly found...- Review investment product marketing materials for SEC compliance. Complete private quarterly reporting. Perform private fund compliance testing and monitoring. Assist in conducting company-wide training to meet SEC, NFA, and FINRA obligations. Facilitate periodic committee...
- Armand Corporation is seeking a detail-oriented and analytical Prevailing Wage & Compliance Officer to support prevailing wage compliance and contractor oversight on public-sector construction projects. This position is responsible for assisting the Prevailing Wage &...Full timeContract workFor contractorsFor subcontractorWork at officeLocal areaRemote work
$145k - $185k
...Job Description Job Description Job Summary Compliance Officer Initio Capital Full-time, Part-time, Contract, Temporary, Internship, Casual Remote | New York, NY, United States Compliance Officer – Initio Capital Location: New York, NY Employment...Full timeContract workTemporary workPart timeCasual workInternshipRemote work$140k - $180k
...technology development firm is seeking a proactive and detail-oriented compliance professional to join its Legal & Compliance team. This role... ...with colleagues across compliance, legal, operations, front office, and technology groups. The position provides significant...- ...Provides day-to-day and strategic oversight and management of the Compliance Program in assigned regions. This position provides technical... .... QUALIFICATIONS: Previous experience as a Compliance Officer for a hospital, physician practice/group or health care system...Contract workWork at officeLocal area
- ...regulatory breaches Advise traders and engineers on regulatory constraints during strategy development Draft and update internal compliance policies and procedures Liaise with regulators (SEC, CFTC, FINRA) during audits and inquiries Requirements 5+ years of compliance...
- ...background/ experience) Job Description Overview Contribute to the compliance team of a leading investment management firm, focusing on U.S.... ...to regulatory standards. Support the Chief Compliance Officer in managing compliance programs, governance matters, and...
- Position: Compliance Officer Reports to: Group Chief Compliance Officer Location: New York City, USA Overview - About MillTech MillTech provides advanced FX Hedging and Cash Investment solutions to increase market access, reduce costs and automate manual workflows. With...Work at officeRemote workFlexible hours
- We are always looking for talented professionals to join us in the path towards success. Summary The Compliance Officer will assist with the monitoring and administration of the Firm’s Compliance and AML programs to ensure accordance with regulatory requirements. Primary...
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