Compliance Officer
JW Michaels & Co.
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 compliance coverage for traders, providing trade approvals and trading conduct Support the trading compliance program for the firm’s trading desks, driving measurable improvements in controls and monitoring Work collaboratively with legal, risk, operations, finance, technology, and third-party vendors to implement and enhance compliance solutions Build and enhance pre-trade and post-trade surveillance processes, including tuning alerts and escalating significant issues Assist in advising on new trading strategies, products, and market access to ensure compliant go-to-market execution and risk mitigation Investigate trading exceptions and potential breaches, prepare concise findings and remediation plans, and present results to senior compliance leaders Qualifications: 4 year degree and a JD is a strong plus but not required 5-7 years of compliance experience within an investment manager, hedge fund, or broker-dealer with direct responsibility for trading compliance Demonstrated working knowledge of U.S. securities laws and regulations applicable to trading and market conduct Proven experience designing, operating, or materially enhancing pre-trade and post-trade surveillance programs Demonstrated experience working directly with traders, portfolio managers, and trading operations to provide timely compliance advice Proven ability to analyze trading activity and alert data Experience conducting compliance investigations and producing clear written summaries, escalation materials, and remediation plans Track record of leading cross-functional projects to implement policy, system, or process changes related to trading The firms offers an amazing benefits package! #J-18808-Ljbffr
- ...Job Description Job Description Regulatory Compliance Officer About the Company: Respected International Investment Bank, specializing in technology, life sciences, cryptocurrencies and emerging privately held companies. Services include capital raising,...SuggestedWork at office
Stan Hamlet Associates Inc
New York, NY7 days ago - ...your Expertise to JPMorganChase. As part of Risk Management and Compliance, you are at the center of keeping JPMorganChase strong and... ...quo and striving to be best-in-class.As a Regulatory Strategy Officer within the Governance and Business Management team, you will play...SuggestedWork at office
$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...SuggestedLocal area$100k - $200k
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$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...Full timeLocal 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...Temporary workWork experience placement$160k - $180k
Department: ComplianceDivision: Risk & Compliance DivisionTitle: Senior Compliance Manager and Privacy Officer Job SummaryProvide advice and guidance to the Chief Compliance Officer, senior management, and business lines regarding compliance with non-AML/BSA laws and regulations...Local area- 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
$150k - $200k
...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- ...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...
Haitong International Securities Group
New York, NY5 days ago - ...Job Description The Compliance Officer will work closely with the members of a team focusing on regulatory compliance issues with respect to marketing and other investor/third party materials and communications. The Compliance Officer will serve as the primary day...Work experience placement
Insight Global
New York, NY2 days ago $160k - $220k
...Position: Compliance Officer Reports to: Group Chief Compliance Officer Location: New York City, USA Salary: USD 160,000 - 220,000 Overview - About MillTech MillTech provides advanced FX Hedging and Cash Investment solutions to increase...Work at officeRemote workFlexible hoursMill Tech
New York, NY2 days ago$90k - $110k
...Make an impact in sanctions compliance and financial crime prevention. Grow your expertise in OFAC and international payments. About Our Client A company operating in the financial services industry based in New York. Job Description Core ResponsibilitiesSanctions...Permanent employmentLocal areaMichael Page International Inc.
New York, NY3 days ago$110k - $130k
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New York, NY2 days ago$80k - $130k
...Compliance Officer Neuberger is a private, independent, employee-owned investment manager, offering a wide range of active strategies across equity, fixed income, private equity, real estate, and hedge funds to institutions, advisors, and individual investors worldwide...Local areaWorldwideShift workNeuberger Berman
New York, NY5 days ago$81.4k - $151.8k
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New York, NY4 days ago- ...OCR Alpha in New York seeks an experienced Trading Compliance Advisory professional to join a leading global investment manager's front-office advisory team. You will work closely with portfolio managers, traders and quantitative teams on trading activity, market structure...
OCR Alpha
New York, NY2 days ago - ...Requirements Bachelor’s degree required Professional certifications (e.g., CAMS, CGSS) strongly preferred 5-7 years of sanctions compliance, payment screening, sanctions investigations, or financial crime compliance experience Experience reviewing sanctions screening alerts...
Jobtailor
New York, NY1 day ago - ...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...
ConsultNet Technology Services and Solutions
New York, NY2 days ago - ...our highly reputable Alternative Asset Management clients currently seeking to add an AVP to their growing Alternative Investments Compliance Team. Ideal candidate will be working very closely with several Teams including but limited to Fund Marketing, Legal, Compliance,...
Coda Search│Staffing
New York, NY4 days ago $77k - $143k
...COMPLIANCE OFFICER-DEPOSITS & PAYMENT OPERATIONS Position is responsible for overseeing and maintaining assigned areas of the compliance program covering consumers, including monitoring business areas for compliance with applicable laws and regulations and ensuring controls...Work experience placementRemote workCity National Bank
New York, NY4 days ago- ...Omaze is seeking an experienced leader to oversee KYC operations, ensuring compliance and enhancing processes through AI and innovation. The role requires a strong background in AML and KYC frameworks, as well as demonstrated leadership experience. As part of a dynamic...
Omaze
New York, NY4 days ago - ...Compliance Officer (New York, NY): Our client is a well-established alternative asset management firm with approximately $8b in AUM is seeking a dedicated Compliance Officer to join its lean team. The firm has a more than 20-year track record and invests across multiple...
Landing Point
New York, NY4 days ago - ...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...
Neutral Street
New York, NY1 day ago $140k - $185k
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New York, NY5 days ago- ...Corebridge Financial is seeking a Transaction Review Analyst to conduct suitability reviews for pre‑approval transactions and mitigate compliance risks. The role involves reviewing submissions, obtaining needed information from financial professionals, and coordinating with...
Corebridge Financial
New York, NY1 day ago $88 per hour
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New York, NY4 days ago$1,000 per day
...G MASS Consulting are partnered with a leading Hedge Fund to appoint an experienced Compliance Officer who will take ownership of day-to-day regulatory governance and provide line-of-business coverage across its U.S. broker-dealer, with a particular focus on Operations...Contract workWork at officeG MASS Consulting
New York, NY2 days ago
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