Senior Compliance Officer - Registered Funds
Green Key Resources
A leading investment management firm is seeking a compliance professional in New York, NY to contribute to ensuring adherence to regulatory standards for U.S. Registered Funds. This role involves collaborating with internal stakeholders, supporting the Chief Compliance Officer, and maintaining compliance with federal securities laws. The ideal candidate will have at least 3 years of experience in financial services, strong analytical skills, and exceptional attention to detail, all while demonstrating a commitment to ethical practices. #J-18808-Ljbffr Green Key Resources
- ...Senior Legal Counsel, Registered Funds About the Company Financial services. Industry Financial Services Type Privately Held About... ...other documentation. This role also involves ensuring compliance with SEC and FINRA regulations, particularly in the...Senior
$190k - $225k
...RoleiCapital is seeking a Senior Vice President to join its Regulatory and Compliance team to manage iCapital’s registered 1940 Act product compliance... ...focused on registered funds including assisting with new... ...this role will work in the office Monday-Thursday, with the...SeniorFull timeWork at officeRemote work$150k - $200k
...candidate will support the firm's compliance program across registered private equity funds, private debt funds, and... ...schedule in one of our following offices 3 days/week.Boston, New York, Philadelphia... ..., plus discretionary bonus.#MID_SENIOR_LEVELAt Franklin Templeton, we...SeniorFull timeLocal area3 days per week- Reference: 13578Senior Compliance Officer, Investec USAInvestec - Where Out of the Ordinary HappensAt... ...lines, with a primary focus on a registered broker-dealer. You'll be a key member... ...activities.Act as a trusted advisor to senior stakeholders, delivering timely,...SeniorFull timeWork at officeRemote work
$150k - $190k
...to build a fulfilling career.Senior Tax ManagerThis role is responsible... ...within the BBH Multi-Family Office (MFO) Tax group. The position... ...and ensure completeness and compliance.Build and maintain strong... ...operating businesses, hedge funds, and private equity investments...SeniorFull timeSeasonal workWork at officeLocal areaImmediate start- ...Compliance Associate (New York, NY): Our client, the asset management... ...the most exciting, large-scale funds in a newly designed team. Key... ...experience within an SEC-registered investment adviser organization... ...scopes Job Reference #2979397 Seniority level Seniority level...SeniorFull time
$104k - $177k
We’re seeking a future team member for the role of Senior Vice President, Consumer Compliance Officer - Global Payments & Trade. to join our Risk & Compliance... ...including, but not limited to: UDAAP, Expedited Funds Availability Act (Regulation CC), Truth-in-Savings Act...SeniorTemporary workWorldwideFlexible hours$125k - $175k
...commodity producers, consumers and traders, banks, hedge funds and asset managers. With more than 35 offices around the globe, and over 2,300 dedicated people... ...of Role: Marex is recruiting for a Surveillance Compliance officer to join the team our at our New York office...SeniorFull timeWork at officeImmediate start$200k - $250k
...Headquartered in New York City, Chardan is a registered broker-dealer with the U.S. Securities and Exchange... ...and NASDAQ. Chardan is seeking an experienced compliance professional to serve as a Director, Senior Compliance Officer and strategic partner to the Chief Compliance...SeniorWork at office$85k - $115k
...RoleiCapital is looking for a Compliance Associate to join its... ...marketing materials for private funds. The ideal candidate will be... ...with both broker dealer and registered investment advisor experienceStrong... ...in this role will work in the office Monday-Thursday, with the...Full timeWork at officeRemote work$150k - $250k
Position Title: REIT and Real Estate Fund Ratings Analyst - Director/ Senior Director (NY)Department:... ...credit facilities and monitor covenant compliance. Maintain peer group comparisons of... ...full-service credit rating agency registered with the U.S. Securities and Exchange...SeniorFull timeTemporary workLocal areaFlexible hours$80k - $110k
The Compliance Analyst - Mutual funds position will report to the Chief Compliance Officer of Neuberger Registered Funds, including exchange traded funds(“ETF”). The primary responsibility... ...to Boards of Directors and/or other senior management Experience working within a...Local areaWorldwideShift work$200k
A world-leading hedge fund is looking to make an exciting Compliance Officer hire into their New York office. The firm have had exceptional performance over the past few years and have truly established themselves as one of the leading names in the industry. They are continuing...Work at office- ...to their growing Alternative Investments Compliance Team. Ideal candidate will be working... ...with several Teams including but limited to Fund Marketing, Legal, Compliance, and Regulatory... ...investment related presentations for senior management and firm principals Candidate...
- Neuberger Berman seeks a Compliance Analyst - Mutual funds to support registered funds compliance matters, including ETFs, with the Chief Compliance Officer - Registered Funds. You will assist with board reports, policy monitoring, and surveillance programs under Rule 3...
- A New York-based investment management firm, ~7B Aum, is looking to hire a Senior Compliance Officer/DCCO to their growing team. Strong preference for candidates coming out of a hedge fund environment. Will be the #2 in compliance, working directly with the GC/CCO. Needs...Work at office
$93.4k - $116.8k
...Utilization Management, Provider Relations, Compliance, and Analytics—to sustain continuous... ...Disability Employer-matched retirement saving funds Personal and financial wellness... ...current registration to practice as a Registered Professional Nurse in New York State or...SeniorWork experience placementFlexible hours$100k - $135k
...America Hours 40 Line Of Business Compliance Pay Detail $100,000 - $135,000 USD... ...Description Preferred Qualifications: This Senior Compliance Officer is a key member of the TD Securities... ...Compliance Testing or Audit within a registered US broker dealer or regulator, with a...SeniorTemporary workWork experience placementWork at officeWork from homeFlexible hours$100k - $135k
## Senior Compliance Officer - Monitoring and Testing (Associate) - TD Securities (US)Applyremote type: On Sitelocations: New York, New Yorktime... ...degree, required.* 5 or more years of experience with a registered US broker dealer or regulator.* JD desirable but not required...SeniorWork experience placementLocal areaWork from homeFlexible hours$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...SeniorFull timeWork at office$93.4k - $116.8k
...Utilization Management, Provider Relations, Compliance, and Analytics—to sustain continuous... ...\n Employer-matched retirement saving funds \n \n Personal and financial wellness... ...current registration to practice as a Registered Professional Nurse in New York State or...SeniorWork experience placementFlexible hours$88 per hour
...Senior Compliance Officer Equity Research Compliance BizTek People is seeking a Senior Compliance Officer for our client, a global financial institution in New York City. Location: Midtown, NYC Schedule: Hybrid preferred (2 days onsite / 3 days remote). Fully remote...SeniorContract workImmediate startRemote work- ...Compliance Officer Sixth Street's Compliance team partners with all aspects of Sixth Street to... ...Formation and Strategy team on private fund and separately managed account marketing... ...compliance program Collaborate with senior internal stakeholders on future...SeniorFlexible hours
- ...Senior Compliance Analyst Pockyt is building the AI-native infrastructure for global money movement... ..., send money globally, and manage funds through Global Virtual Accounts and... ...report directly to our Chief Compliance Officer, work daily with our financial-ops, onboarding...Senior
$115k - $135k
...Brookfield in New York is seeking a Senior Fund Accountant for the Finance and Operations team. The candidate will manage fund accounting responsibilities and support fund operations, including the preparation of financial statements and interaction with external audits...Senior$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...SeniorLocal area- ...Senior Compliance OfficerBHFT is a proprietary algorithmic trading firm. Our team manages the full trading cycle, from software development... ...world, from the United States to Hong Kong. Although we maintain office spaces, we currently operate as a 100% remote organization.At...SeniorWork at officeRemote workFlexible hours
- ...as a firm KPMG is currently seeking a Senior Manager to join our Business Tax Services... ...eight years of recent experience in mutual fund tax Bachelor's degree in Accounting... ...contains further information regarding KPMG's compliance with federal, state and local recruitment...SeniorFull timeLocal area
$110k - $140k
The Compliance Officer will be instrumentally involved in overseeing, administrating... ...Inc. (“ISS”), a U.S.-registered investment adviser under the... ...affiliates.This role is a senior position within the ISS Compliance... ..., cyber risk, and fund intelligence, giving clients...Full timeLocal area$175k - $200k
Sixth Street is seeking a Compliance Officer in New York. This role involves managing the compliance program, overseeing marketing material approvals, and collaborating with the Capital Formation team on compliance matters. The ideal candidate will possess over 5 years...Senior
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