Chief Compliance Officer
JW Michaels & Co.
Our client, an asset management firm based in New York, is seeking a Chief Compliance Officer to lead the firm's compliance function and ensure adherence to applicable regulatory requirements.
Responsibilities
- Oversee the design, implementation, and administration of the firm's overall compliance program
- Maintain and update compliance policies and procedures, including the annual review process
- Overside regulatory filings and serve as the primary point of contact for regulatory examinations and inquiries
- Monitor regulatory developments and assess their impact on the firm's compliance framework
- Review marketing materials and investor communications for regulatory compliance
- Administer the firm's code of ethics, including personal trading and related policies
- Provide compliance training to employees across the firm
- Partner with Legal and other internal teams to identify and resolve compliance issues
Qualifications
- Bachelor's degree required; JD preferred
- 10+ years of compliance experience within financial services, including prior senior compliance leadership experience
- Strong knowledge of applicable securities regulations
- Proven experience managing regulatory examinations
- Strong communication and leadership skills
- High degree of integrity and sound judgment
Vacancy posted 4 days ago
Similar jobs that could be interesting for youBased on the Chief Compliance Officer in New York, NY vacancy
$250k - $300k
...Chief Compliance Officer (New York, NY): Our client, a leading global alternative asset manager, is seeking a Chief Compliance Officer to lead its compliance function. With a global presence and over $100B in assets, the CCO will be a senior, hands-on leader who will...SuggestedFull timeWork at officeCardea Group
New York, NY12 hours ago- ...Rapidly growing Financial Services firm based in New York City is seeking a Chief Compliance Officer for a full-time position! Responsibilities: Responsible for running and managing a compliance program for U.S. FINRA-registered broker-dealer. Tasked with establishing...SuggestedFull time
Social Capital Resources
New York, NY12 hours ago $200k - $300k
...Chief Compliance Officer (New York, NY): Our client, a leading private equity firm with over $8 billion in AUM, is seeking an accomplished compliance professional to join their team as CCO and lead the firm’s compliance function. Following significant growth in assets...SuggestedFull timeImmediate startCardea Group
New York, NY12 hours ago$270k - $300k
...Chief Compliance Officer eToro is the trading and investing platform that empowers users to invest, share, and learn. We were founded in 2007 with the vision of a world where everyone can trade and invest simply and transparently. We have created an investment platform...SuggestedeToro - New York City, NY, US
New York, NY2 days ago- ...About the job A well-established, New York-based alternative investment manager is seeking an experienced Chief Compliance Officer to lead the firm's compliance function. The firm manages capital across performing credit, stressed and distressed special situations...Suggested
Rutherford Search
New York, NY4 days ago $160k - $210k
...application due to a disability, contact this employer to ask for an accommodation or an alternative application process. Chief Compliance Officer Regular Full-Time Compliance 220 Liberty St, Warsaw, NY, US Salary Range: $160,000.00 To $210,000.00 Annually Purpose As a...Full timeTemporary workInterim roleFlexible hoursWeekend workAfternoon shiftJobleads-US
New York, NY3 days ago- ...About the Job zerohash is seeking a Global Chief Compliance Officer, who will help shape and lead zerohash global compliance leadership team and posture and orchestrate adherence to industry-leading compliance standards across all supported geographies. This broad...Work from home
Zero Hash
New York, NY5 days ago - ...My client, a rapidly expanding hedge fund, is looking to hire a Chief Compliance Officer into it's New York office. They are capitalising on consecutive years of stellar performance and expanding their presence in the US, having already built out their operations in...Full timeWork at office
Mondrian Alpha
New York, NY2 days ago - $5+ Billion Growing Private Equity Firm Seeks a Chief Compliance Officer To be considered for an interview, please make sure your application is full in line with the job specs as found below. *Reporting to the General Counsel (GC) *Responsible for Daily Monitoring...
Atlantic Group
New York, NY11 days ago - ...proprietary data intelligence to identify and invest in category-defining companies. Role Overview The General Counsel and Chief Compliance Officer (GC/CCO) serves as ASG's chief legal and compliance executive, responsible for leading the firm's legal, regulatory,...Full timeWork at office
Alpha Square Group
New York, NY1 day ago - ...About the Role We are seeking an accomplished legal and compliance executive to lead the firm's regulatory, legal, and governance functions... ...investment managers, independent advisory firms, or family office environments. Familiarity with private investment vehicles,...Full timeWork at office
Madison-Davis, LLC
New York, NY2 days ago $330k - $400k
Chief Global Compliance Officer US-NY-New York Job ID: 2025-14670 Type: Office of General Counsel (WS1847) # of Openings: 1 Category: Business/Professional Administrative New York University Overview The Chief Global Compliance Officer (CGCO) is responsible to the Senior...For contractorsWork at officeLocal area$120k - $170k
...commercial, and payments clients, we operate from more than 80 offices spread across six continents. As a Fortune 100, Nasdaq-listed... ...management technology. Responsibilities The Deputy Chief Compliance Officer reports directly to the Chief Compliance Officer and...StoneX
New York, NY2 days ago- The US head of Compliance (Chief Compliance Officer) is a senior leadership role responsible for designing, implementing, and overseeing the firm’s comprehensive compliance framework in New York. This position plays a critical role in ensuring the organization’s adherence...
- ...Chief Compliance Officer (CCO) About the Company A rapidly growing alternative investment firm at the intersection of financial services and digital assets. Industry Investment Management Type Privately Held About the Role The Company is in search...
- ...Chief Compliance Officer (CCO) About the Company An investment management organization seeking an experienced attorney and compliance professional. Industry Investment Management Type Privately Held About the Role The Company is in search of a General...Contract work
- ...Chief Compliance Officer (CCO) About the Company Respected broker-dealer Industry Financial Services Type Privately Held About the Role The Company is seeking a Chief Compliance Officer to join their team. The successful candidate will be responsible...
- ...Chief Compliance Officer (CCO) About the Company Internationally renowned digital asset platform Industry Financial Services Type Privately Held About the Role The Company is in need of a Chief Compliance Officer to take on a pivotal role in leading...
- 500 Global, a venture capital firm, seeks a General Counsel, Group to lead governance, US regulatory perimeter, and capitalisation strategies for the Americas. You will partner with the Board, CEO, COO and shareholders, and serve as Secretary of the Board and Audit Committee...
500 Global
New York, NY1 day ago $160k - $250k
...Designation: Hybrid - 3 days per week Role Overview:This is a high-visibility leadership opportunity to serve as the Deputy Chief Compliance Officer for New York Life’s retail securities subsidiaries: NYLIFE Securities LLC, an introducing broker-dealer, and Eagle...Local areaHome office3 days per weekNew York Life Insurance Company
New York, NY2 days ago- ...Executive Search is partnering with a leading investment firm to identify an experienced Executive Assistant to support the Chief Compliance Officer and team in a fast-paced environment. The role focuses on discreet, proactive support for senior executives and the...
$225k - $275k
...Overview Our client is seeking an experienced and dynamic Hedge Fund Deputy CCO to join the Compliance team. The team is responsible for all legal and compliance matters for the Firm. The successful candidate will be part of the global team responsible for overseeing...Full timeAtlantic Group
New York, NY3 days ago$200k - $225k
...Deputy Chief Compliance Officer Position: Deputy Chief Compliance Officer Department: Legal – NY Office Reports To: Chief Compliance Officer Compensation Range: $200K to $225K w/ Discretionary Bonus Job Summary: In conjunction with the Chief Compliance...Contract workPrivate practiceWork at officeEmigrant Bank
New York, NY1 day ago$263k - $360.93k
...Overview Head of US Compliance and Deputy Chief Compliance Officer (Executive Director) Reports to Chief Compliance Officer, Oncology Founded in 1886 in Naples under the name of Farmacia Internazionale, Menarini moved in 1915 to Florence where the Group’s headquarters...Temporary workWork at officeRemote workFlexible hoursMenarini Group
New York, NY5 days ago$28 per hour
...with the rigor, structure, and integrity that investors demand. Compliance is not an afterthought here. It is core infrastructure, and we... ...San Francisco. For most roles on those teams, we work from the office at least two days per week (Tuesdays and either Wednesday or Thursday...Work at office2 days per weekAngelList
New York, NY19 days ago$300k
...innovation, excellence, and a customer-centric approach.Job Description: We are seeking a highly experienced and dynamic Head of Compliance to lead our compliance function. This role is pivotal in ensuring our operations adhere to all regulatory requirements and internal...Permanent employmentLocal area3 days per weekIDEX Consulting
New York, NY1 day ago- Chief Compliance Officer New York, NY Primary compliance and oversight professional to help us develop and manage the compliance function at the company, including compliance matters with respect to all FINRA and SEC regulated activities in coordination with our regulated...Full time
$210k - $253k
...seeking a General Counsel to serve as the chief legal resource and strategic advisor. The... ...entails managing legal matters, ensuring compliance, and supporting organizational growth.... ...requiring staff to work 1–3 days in the office based on organizational needs. #J-18808...Work at officeNYC KIDS RISE
New York, NY3 days ago$290k - $335k
...traders, banks, hedge funds and asset managers. With more than 40 offices worldwide, the group has over 2,300 employees across Europe,... ..., and analytics. In the ever-evolving financial landscape, Compliance has become increasingly complex. Marex must navigate a wide...Full timeWorldwideMarex
New York, NY24 days ago- ...Director of Compliance About the Organization For over three decades, SMC has been in the forefront of proven, quality real estate property... ...and manage staff performance Coach, mentor, and discipline office staff Allocate tasks and assignments to subordinates and...Full timePart timeWork at officeLocal area
SHINDA MANAGEMENT CORPORATION
New York, NY2 days ago
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Chief Compliance Officer. Be the first to apply!
Related searches
- chief compliance officer New York, NY
- alcohol compliance New York, NY
- medical compliance New York, NY
- affordable housing compliance New York, NY
- athletic compliance New York, NY
- regulatory affairs assistant New York, NY
- regulatory compliance New York, NY
- regulatory affairs part time New York, NY
- finance compliance New York, NY
- compliance reviewer New York, NY