Senior Compliance Officer - Equity Research & Control Room
$88 per hourA P A International
BizTek People is seeking a Senior Compliance Officer for our client, a global financial institution in New York City. Location: Midtown, NYC. Schedule: Hybrid (2 days onsite / 3 days remote). Duration: Contract through October 5, 2026. Start Date: ASAP. Pay Rate: up to $88/hour plus benefits. The role focuses on Information Barriers, Control Room Compliance, and Equity Research compliance, supporting governance, regulatory compliance, and SME activities across the organization. #J-18808-Ljbffr A P A International
- ...Provide regulatory and Firm compliance advice and guidance on... ...barriers, investment research, and investment... ...conflicts of interest, and Control Room operations. Manage the... ...business management, senior research analysts, and... ..., preferably equity‑related. Compensation...Employment Equity
- ...We are seeking an experienced Senior Compliance Officer to support the firm's Equity Research business and serve as a trusted advisor to business leaders, Legal... ...will play a critical role in overseeing the firm's Control Room and Information Barrier framework, ensuring...Employment EquitySenior
$80 - $88 per hour
...Seeking an experienced Senior Compliance Officer to support the Control Room/Equity Research Compliance function. This role will serve as the subject matter expert on Information Barriers, advise Equity Research and Investment Banking teams on regulatory compliance, manage...Employment EquitySenior$88 per hour
...New York State/Province New York 10020 Job Description Senior Compliance Officer | Equity Research Compliance BizTek People is seeking a Senior... ...experienced Senior Compliance Officer with deep expertise in Control Room Compliance, Equity Research Compliance, Information...Employment EquitySeniorContract workImmediate startRemote work- ...Senior Compliance Officer – Investec USA Investec USA's Compliance Advisory... ...with a focus on equity markets. Advise on U.S... ...policies, procedures, and controls aligned to U.S.... ...Compliance Advisory, Control Room, Surveillance, IT, Operations, Research and third‑party...Employment EquitySeniorWork at office
$88.65 per hour
...Senior Compliance Officer - Equity Research Compliance (Control Room) Location: New York, NY Duration: 3-Month W2 Contract Schedule: Hybrid preferred (2 days onsite / 3 days remote). Fully remote may be considered for the right candidate. Pay Rate: $88...Employment EquitySeniorContract workLocal areaRemote workFlexible hours- ...énérale de Surveillance SA is hiring for a compliance advisory role focused on regulatory guidance and oversight of research publications. The ideal candidate will possess... ...of relevant experience in compliance and control room activities. The position includes a...Senior
- Phyton Talent Advisors seeks an experienced Senior Compliance Officer to support the firm’s Equity Research business and serve as a trusted advisor to business... ...and Compliance partners. This role oversees the Control Room and Information Barrier framework, ensuring compliance...Employment EquitySenior
- ...Compliance Officer – Multi‑Strategy Investment Manager | New York Bring... ...years — trading fixed income, equities, and commodities. The... ...and entertainment, and the controls around research and material non‑public information... ...buy‑side at the mid‑to‑senior level Strong commodities...Employment EquitySenior
$160k - $212k
...part of the wider AML Compliance Team) is looking for a... ...objectives and ensure controlled and compliant growth;... ...context; You have excellent research, analytical, critical... ...across levels of seniority, cultures, and backgrounds... ...here . Our Diversity, Equity and Inclusion...Employment EquitySeniorFull timeRelocation- ...About the Department: The Office of the CCO is an Advisory Compliance function that supports... ...implement and synergize controls across the region and perform... .... About the role: The Senior Compliance Officer position... ...knowledge of a variety of equity, fixed income, and...Employment EquitySeniorFull timePart timeWork at officeFlexible hours
$150k - $200k
...Franklin Templeton Compliance Role At Franklin Templeton... ...registered private equity funds, private debt... ...reviews and testing of key controls. Investigate... ...one of our following offices 3 days/week. Boston... ...discretionary bonus. #MID_SENIOR_LEVEL At Franklin...Employment EquitySeniorLocal area3 days per week- ...motivated individual to join our team as a Senior Compliance Officer. In this role, the individual will... ...guidance and oversight to the firm’s equities trading and sales teams. The role... ...regulatory risk, support surveillance and control frameworks, and contribute to a...Employment EquitySenior
- Security Based Swap Dealer Senior Compliance Officer Serve as the leader in all aspects of compliance... ...or implement corrective action plans/controls for resolution and sustained... ...including SEC and FINRA rules governing equities Seniority level Mid-Senior level Employment...Employment EquitySeniorFull time
- ...accurate and timely financial reporting. Ensure compliance with relevant regulations and GAAP standards. Internal Controls & Systems: Foster a culture of strong... ..., and strategic guidance. Raise equity and debt for new projects and development strategies...Employment EquitySenior
- ...Description Job Description Job title: Senior Compliance Officer Location NYC Work schedule:... ...Director · Someone from Equity Research Compliance · Must have... ...· This position is for a Control Room/Equity Research Compliance Officer....Employment EquitySeniorFor contractorsWork at officeLocal areaRemote work
- ...trading firm is looking for an experienced, Senior Compiance Officer to join their growing team. The... ...regulatory guidance and oversight to the firm's equities trading and sales teams, ensuring a strong culture of compliance across the firm. This role will require 5...Employment EquitySenior
- ...directly into the CCO and cover Central Compliance function for the firm including Marketing... ...SEC regulated asset manager or private equity firm or law firm with relevant regulatory... ...a plus but not required. This is an in-office role based in Midtown Manhattan. #J-1880...Employment EquitySeniorWork at office
$220k - $300k
...years and are hiring a Controller who will partner with... ...ambitions include an IPO, and equity is available. Base pay... .../yr Remote with an SF office; SF location not... ..., ensuring GAAP compliance and accurate internal/... ...Employment type: Full-time Seniority level: Mid-Senior...Employment EquitySeniorFull timeH1bWork at officeRemote work- A high-growth SaaS company is seeking a motivated Controller to lead the in-house accounting function. This role offers an opportunity to... ...remote position open to candidates anywhere in the US, offering a competitive salary and potential equity. #J-18808-Ljbffr Mansfield BlackEmployment EquitySeniorRemote work
- TRD Advisors LLC is seeking a development controller to oversee accounting for major real estate development projects. The role involves... ...across properties and teams. You will coordinate with lenders, equity partners and external auditors, ensuring accurate statements and...Employment EquitySenior
$160k - $270k
A dynamic fintech company in New York is seeking a Controller to lead its accounting function during a pivotal growth phase. The ideal candidate... ...a competitive salary ranging from $160,000 to $270,000 plus equity and benefits, along with a hybrid work policy. #J-18808-Ljbffr...Employment EquitySenior$350k
InforCapital, partnership is seeking a Senior Controller for its Management Company in New York. This role is pivotal for overseeing global... ...candidate will have 10-20+ years in a senior finance role in private equity or similar sectors, with a strong focus on operational...Employment EquitySenior$163k - $204k
...external managers. The Investments Compliance team provides compliance and... ...with the Chief Compliance Officer in the day-to-day execution... ...compliance module and perform manual controls testing. Perform ad-hoc/... ..., mortgage loans, private equity, real estate and derivatives...Employment EquitySeniorFull timeWork at office- ...centers. The role involves serving as the technical authority for control systems, leading site audits, and ensuring operational... ...preferably in data centers. A competitive compensation package including salary, equity, and benefits awaits. #J-18808-Ljbffr FluidstackEmployment EquitySenior
- ...partner closely with compliance, legal, and... ...stakeholders to strengthen controls and promote consistent... ...As a Sanctions Senior Officer in the Global Financial... ...transaction due diligence. * Research client, product, and... ...and/or forfeitable equity, awarded in...Employment EquitySeniorFull timeWork at office
- ...global quant trading firm based in New York, is seeking an experienced Senior Compliance Officer to ensure compliance with regulatory requirements. This role involves providing guidance to equities trading and sales teams, requiring 6+ years of relevant experience. Key...Employment EquitySenior
- ...Group Reporting/Konsolidierung und Group Controlling der KB Group Betreuung spezieller... ...Konsolidierungsthemen wie Quotenkonsolidierung und Equity-Konsolidierung sowie Unterstützung des... ...Weiterentwicklung von SAP Analysis for Office (Excel)-Reportings, SAP-SAC-Dashboards...Employment EquitySeniorFlexible hours
- ...robust risk strategy. As a Tech Risk & Controls Senior Associate in Cybersecurity and... ...aligned aspects of Governance, Risk, and Compliance in line with the firm's standards. You... ...in the form of cash and/or forfeitable equity, awarded in recognition of individual achievements...Employment EquitySenior
- ...through cutting-edge research, influencing product design... ...Experience Research Senior Associate in SMB... ...and implement UX legal compliance protocols. ~ Experience... ...and/or forfeitable equity, awarded in recognition... ...customers access, share and control their financial data...Employment EquitySeniorShift work
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