Marketing Compliance Officer
$43.27 - $60.1 per hourOppenheimer & Co
Who We Are:Oppenheimer & Co. Inc. (Oppenheimer) is a leading middle-market investment bank and full service broker-dealer. With roots tracing back to 1881, the Company is engaged in a broad range of activities in the financial services industry, including retail securities brokerage, institutional sales and trading, investment banking (both corporate and public finance), equity & fixed income research, market making, trust services and investment advisory and asset management services.Job Description:Oppenheimer & Co. Inc. is seeking a Compliance Professional to join our Compliance Department in New York. The position will be part of a team that supports the Oppenheimer Asset Management business, which includes a dually registered broker-dealer and an investment adviser with several affiliated advisers. The ideal candidate must be able to work in a fast-paced environment, work independently, and demonstrate strong relationship management skills.Responsibilities:Review marketing and advertising materials for proprietary and third-party funds and advisory programs to ensure compliance with the applicable FINRA and SEC marketing rules for the dually registered broker-dealer and investment adviserDraft appropriate disclosures for marketing and advertising materialsSubmit required marketing materials to FINRA and coordinate correspondenceAdvise broker-dealer and investment advisers on marketing and advertising issuesAssist in the preparation and filing of the annual Form ADV brochures, and amendments thereto for several registered investment advisersQualifications:2+ years of working experience with Advisers Act and FINRA regulationsUnderstanding of wealth management and investment advisory products, including wrap fee separate account programs, private and registered investment funds, as well as the regulatory landscape of investment advisers and broker-dealers.Ability to interpret legal and business terms and grasp concepts quicklyStrong attention to detail, critical-thinking, and analytical skillsMust be an ambitious, dedicated, and results-oriented individual that is an independent thinker and takes ownership of his/her work and enjoys collaborating within a team environmentProficient computer skills and knowledge of web browsers and web searching skillsStrong written and verbal communication and presentation skillsCompensation:For job postings in New York City, Oppenheimer is required by law to include a reasonable estimate of the salary range for this role. This salary range is specific to the City of New York and takes into account the wide range of factors that are considered in making salary decisions including but not limited to your skills, qualifications, experience, licensure and certifications, and other business and organizational needs. A reasonable estimate of the current base salary range is $90,000.00 - $125,000.00 at the time of this posting. Also, certain positions are eligible for additional forms of compensation such as discretionary bonus.Location: New York, NY Type of Hire: Experienced Hires Division: Compliance
$90k - $125k
...We Are:Oppenheimer & Co. Inc. (Oppenheimer) is a leading middle-market investment bank and full service broker-dealer. With roots... ...management services.Job Description:Oppenheimer & Co. Inc. is seeking a Compliance Professional to join our Compliance Department in New York. The...SuggestedWork experience placement- Our client, a mulit-strategy investment management firm, is looking to add a compliance officer to support their marketing compliance initiative. This role will also provide an opportunity to work on generalist compliance responsibilities such as testing and surveillance...Suggested
$115k - $150k
...that offers alternative asset management as well as capital markets and insurance solutions. KKR aims to generate attractive investment... ...insurance subsidiaries. Position Overview KKR is seeking a Compliance Officer to join KKR’s Global Compliance team with a focus on KKR’s...SuggestedWork at officeLocal area$110k - $140k
The Compliance Officer will be instrumentally involved in overseeing, administrating and enhancing the Compliance Program of Institutional... ...drive to help us bring clarity and transparency to capital markets, we want to work with you.Together, we can grow your career...SuggestedFull timeLocal area$130k - $150k
...understand their goals, and navigate complex markets together. We leverage cutting edge... ...DepartmentFranklin Templeton’s Global Regulatory Compliance department provides oversight, guidance... ..., and internal policies.The Compliance Officer will play a critical role in supporting...SuggestedFull timeWork at officeLocal area- Reference: 13578Senior Compliance Officer, Investec USAInvestec - Where Out of the Ordinary HappensAt Investec, we do things differently. We... ...lending desks, and global affiliates with a focus on equity markets.Advise on U.S. securities regulations (SEC, FINRA) and...Full timeWork at officeRemote work
- ...JPMorganChase. As part of Risk Management and Compliance, you are at the center of keeping... ...best-in-class.As a Regulatory Strategy Officer within the Governance and Business Management... ...finance and risk to human resources and marketing. Our corporate teams are an essential...Work at office
$150k - $200k
...understand their goals, and navigate complex markets together. We leverage cutting edge... ...successful candidate will support the firm's compliance program across registered private equity... ...hybrid schedule in one of our following offices 3 days/week.Boston, New York,...Full timeLocal area3 days per week$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... ...Compliance guidance and advice to Regional Management and Market management on Firm and regulatory policies and procedures;>...Temporary workWork experience placement$75k - $123.75k
This role will be responsible for garnering support from ETF liquidity providers and Authorized Participants to provide market quality and liquidity in State Street Investment Management’s ETFs. This individual will be a point of contact for ETF traders regarding the pricing...Temporary work$145k - $175k
A Career with Point72's Compliance TeamThe Point72 Compliance department is an industry-leading team of compliance professionals who support... ...in advising on new trading strategies, products, and market access to ensure compliant go-to-market execution and risk mitigationPartner...Work experience placement$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...Local area$100k - $200k
Our client is a private equity firm. They seek a Compliance Officer to join their Manhattan, NY office.ResponsibilitiesCoordinate monthly compliance... ...with AML/KYC reviews, investor diligence requests, marketing material reviews, and compliance inquiriesCollaborate with internal...Work 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... ...communities. When it comes to salary, Flow Traders uses reliable market research to create base ranges. Where candidates will fall...Local area$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$300k
...mission.About The RoleEliseAI is entering its next phase of growth—and we’re looking for a strategic and operationally minded Chief Marketing Officer to help us get there. We’ve seen strong, consistent revenue performance and are now focused on scaling our go-to-market engine...Work at officeLocal areaRelocation package- ...Job Description Job Description Regulatory Compliance Officer About the Company: Respected International Investment Bank, specializing... ...Provide real-time advice to Investment Banking and Capital Markets on Regulation BI, Regulations and other applicable...Work at office
Stan Hamlet Associates Inc
New York, NY17 days ago $160k - $180k
Department: ComplianceDivision: Risk & Compliance DivisionTitle: Senior Compliance Manager and Privacy Officer Job SummaryProvide advice and guidance to the Chief Compliance... ...Time Deposit Terms and Conditions and related marketing materials and disclosuresWork with business...Local area- ...Type AnnuallyIndustry Hedge FundSelling Points Lead impactful compliance operations in a dynamic investment environment. Collaborate with... ...processes.Job DescriptionSenior Hedge Fund Compliance Officer / Legal Counsel OverviewThe Senior Hedge Fund Compliance Officer...Contract work
- We are seeking someone to join Global Compliance as a Vice President who will provide advisory... ...Rates Products suite including Treasury market practices, Treasury primary dealer... ...and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley,...Temporary work
$150k - $190k
...corporations, and tax-exempt organizations within the BBH Multi-Family Office (MFO) Tax group. The position also includes selective tax... ...to identify discrepancies and ensure completeness and compliance.Build and maintain strong relationships with internal and external...Full timeSeasonal workWork at officeLocal areaImmediate start$104k - $177k
...team member for the role of Senior Vice President, Consumer Compliance Officer - Global Payments & Trade. to join our Risk & Compliance team... ..., regulations and rules of relevant regulators. BNY assesses market data to ensure a competitive compensation package for our employees...Temporary workWorldwideFlexible hours$110k - $150k
...seriously. With a 200-year legacy and a shared passion for what’s next, this is the right place to build a fulfilling career.The Tax Officer prepares all necessary tax authority filing requirements for clients of Private Wealth Management, either directly or through...Full timeWork at officeLocal area$107k
...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...New York Times
New York, NY1 day ago- ...Compliance Officer (New York, NY): Our client is a well-established alternative asset management firm with approximately $8b in AUM is seeking... ...Form ADV and Form PF Support compliance with the SEC Marketing Rule and other regulatory obligations in the United States and...
Landing Point
New York, NY4 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 - ...Paxos is seeking a Compliance Investigations Manager to lead financial crime investigations, AML/KYC compliance and regulatory reporting. You will guide a growing investigations team and drive the strategy for continuous improvement. You’ll collaborate with cross-functional...
Paxos
New York, NY1 day ago - ...that enables strategic objectives while appropriately managing compliance risk. Build a deep understanding of assigned business... ...transformation initiatives preferred. Prior experience as an HCC or GCC officer/manager preferred. Demonstration of leveraging digital...
Jobtailor
New York, NY6 hours ago $175k - $200k
...The Role Sixth Street’s Compliance team partners with all aspects of Sixth Street to build and... ...industry best practices. The Compliance Officer will be a key team player in managing, executing, and enhancing the firm’s marketing and distribution process. The Compliance...Temporary workLocal areaSixth Street Inc
New York, NY1 day ago- ...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...
Haitong International Securities Group
New York, NY2 days ago
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