Senior Compliance Officer
Blacklock Group
I'm working with a highly regarded Investment firm in New York that is looking to add a Senior Compliance Officer to its growing team.
This is a hands-on role reporting directly into the CCO.
Scroll down to find the complete details of the job offer, including experience required and associated duties and tasks.
The role will cover:
- Compliance monitoring, testing and surveillance
- Investment Advisers Act / SEC regulatory requirements
- Portfolio & asset management compliance
- Alternative investments and private/pooled investment vehicles
- Client and investment management agreements
- Code of Ethics administration
- Third-party sub-adviser & vendor oversight
- Electronic communications and social media review
- Policies, procedures and supervisory controls
- Supporting SEC examinations and the xhyhwjd annual 206(4)-7 compliance review
Ideal background:
- Senior compliance experience within an investment adviser
- Strong Code of Ethics Experience
- Strong with AI within compliance functions
Vacancy posted 11 days ago
Similar jobs that could be interesting for youBased on the Senior Compliance Officer in New York, NY vacancy
- ...I’m working with a highly regarded Investment firm in New York that is looking to add a Senior Compliance Officer to its growing team. This is a hands-on role reporting directly into the CCO. The role will cover: Compliance monitoring, testing and surveillance...SeniorFull time
Blacklock Group
New York, NY1 day ago - ...Our client, a global hedge fund, is looking for a Senior Compliance Officer to join their team to support generalist compliance responsibilities. This role will play a critical role in advising the business on key initiatives while holding oversight of the compliance program...SeniorFull time
Arrow Search Partners
New York, NY1 day ago $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 officeAmerican International Group (AIG)
New York, NY7 days ago$150k - $200k
...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,... ...experience, plus discretionary bonus.#MID_SENIOR_LEVELAt Franklin Templeton, we believe your...SeniorLocal area3 days per weekFranklin Templeton
New York, NY4 days ago$120k - $145k
...role.Job DescriptionThe TD Securities US Compliance team is looking for an Associate-level... ...StakeholdersFamiliarize with key stakeholders including front office teams, and support functions such as... ...experience*General Job DescriptionThe Senior Compliance Office provides advice,...SeniorFull timeTemporary workWork at officeLocal areaWork from homeFlexible hoursTD Bank
New York, NY2 days ago$120k - $145k
...Description:Preferred Qualifications:The Global Compliance Surveillance Department is responsible... ...the Surveillance program to the Board, senior management, and regulators, as needed,... ...Surveillance Leads, Chief Compliance Officers, and other stakeholders by maintaining deliverables...SeniorFull timeTemporary workWork experience placementWork at officeLocal areaWork from homeFlexible hoursTD Bank
New York, NY2 days ago- ...AnnuallyIndustry Hedge FundSelling Points Lead impactful compliance operations in a dynamic investment environment. Collaborate with senior leadership on strategic initiatives and... ...Job DescriptionSenior Hedge Fund Compliance Officer / Legal Counsel OverviewThe Senior Hedge...SeniorContract work
Green Key Resources
New York, NY5 days ago $200k - $250k
...and is a member of the following: FINRA, SIPC, and NASDAQ. Chardan is seeking an experienced compliance professional to serve as a Director, Senior Compliance Officer and strategic partner to the Chief Compliance Officer. This individual will play a key leadership...SeniorFull timeWork at officeChardan
New York, NY2 days ago$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 areaIDB Bank
New York, NY5 days ago$150k - $190k
...right place to build a fulfilling career.Senior Tax ManagerThis role is responsible for... ...organizations within the BBH Multi-Family Office (MFO) Tax group. The position also... ...discrepancies and ensure completeness and compliance.Build and maintain strong relationships...SeniorFull timeSeasonal workWork at officeLocal areaImmediate startBrown Brothers Harriman
New York, NY5 days ago- Daily tasks and responsibilities include, but not limited to: Accurately complete payer enrollment and facility appointment applications for providers. Provides support and assistance for new practice setup as needed. Track progress of outstanding applications and communicate...Senior
Harris Computer
New York, NY5 days ago - Skandinaviska Enskilda Banken AB in New York is seeking an AVP, Senior Compliance Officer to join the Compliance department for the New York Branch and SEB Securities, Inc. You will serve as Deputy AML Officer, oversee complex AML/Compliance controls and related governance...Senior
- Neuberger is seeking an experienced compliance professional to join its Legal & Compliance Department. The Compliance Officer will support the compliance programs within Neuberger... ...companies. The role will work closely with senior Legal & Compliance personnel and other...Senior
- Mondrian Alpha in New York seeks a Compliance Officer to lead the compliance program for its equities trading desk. You will design, implement and oversee trade surveillance, regulatory controls and monitoring in a high-performance, autonomous environment. The ideal candidate...Senior
- Cboe Europe is seeking a Senior Compliance Officer to lead the development and delivery of a risk-based Compliance framework, including the Compliance Monitoring Programme and independent second-line challenge. Based in London, you will join an experienced team overseeing...Senior
- Job Description Summary The Senior Compliance Officer is responsible for the ongoing development and delivery of the risk-based Compliance framework at Cboe Europe, encompassing a Compliance Monitoring Programme, independent second-line challenge and oversight, provision...Senior
- Audit, Risk, Compliance & Legal Group Control functions Location: New York hybrid: hybrid Group Compliance supports SEB in conducting... ..., shareholders and society. We are seeking an AVP, Senior Compliance Officer to join the Compliance department in New York. The role supports...SeniorWork at officeLocal area
$190k - $250k
Neuberger is seeking an experienced compliance professional to join its Legal & Compliance Department. The Compliance Officer will support the compliance programs within Neuberger... ...companies. The role will work closely with senior Legal & Compliance personnel, business...SeniorLocal areaShift work- Senior Compliance Officer, Monitoring & Testing Location: New York, NY A leading financial services organization is seeking a Senior Compliance Officer, Monitoring & Testing to join its Compliance function. This individual will play a key role in executing compliance reviews...Senior
- Landing Point seeks a Compliance Officer in New York, NY to lead the U.S. compliance program and advise investment and research teams. The role reports to senior leadership and offers broad scope to shape compliance across the firm. You will interact with investment professionals...Senior
- ...directories and reviews network provider data for accuracy and ensures compliance with regulatory requirements and federal and state regulations.... .... Intermediate Microsoft software skills include Adobe, Access, Excel, Word, PowerPoint, and Office #J-18808-Ljbffr HealthfirstSeniorTemporary workWork at office
$1,000 per day
A leading consulting firm is seeking an experienced Compliance Officer to oversee regulatory governance within a U.S. broker-dealer. The role focuses on maintaining compliance across Operations, Treasury, and Finance interfaces. Key responsibilities include managing the...SeniorContract workWork at office- ...capital to work for our clients across industries! We work together to drive ambition for every future! Job Title: FICC Compliance Officer, Senior Manager Department: US Markets Compliance Location: New York Purpose Of Job The FICC Compliance Officer is responsible for...SeniorWork experience placementLocal areaFlexible hours
$75k - $90k
...20 countries. The Regulatory Affairs Senior Specialist drives global product registrations... .... This position is based in office from Mondays-Thursdays, and remote on Fridays... ...and trackers to ensure transparency, compliance, and readiness for audits. Create and...SeniorFull timeWork at officeLocal areaRemote workWorldwideInterparfums, Inc.
New York, NY2 days ago- ...demand for assurance services. Our team is seeking a Contract Compliance Senior Consultant with experience performing royalty audits,... ...Brunswick, NJ; Red Bank, NJ; Princeton, NJ; or Philadelphia, PA office. This position is a hybrid role (3 days in the office).Withum...SeniorFull timeContract workWork at officeLocal area
Withum Smith+Brown
New York, NY8 days ago $110.7k - $218.3k
Position Summary Senior Consultant - Regulatory & Compliance - Enterprise Operations & Risk Our Deloitte Regulatory, Risk & Forensic team helps client leaders translate multifaceted risk and an evolving regulatory environment into defensible actions that strengthen...SeniorLocal areaVisa sponsorshipDeloitte
New York, NY3 days ago- ...Position: Senior Pricing & Compliance Specialist (Global Law Firm) Location: New York, NY (Hybrid WFH) Company: Globally Recognized Am Law Firm Comp Package: Base salary up to $130K, Bonus, Full Benefits, 401K+, etc. Summary for Senior Pricing & Compliance...SeniorFull timeWork from home
Kay Search Group
New York, NY7 hours ago - ..., a global investment firm with a strong focus on credit strategies, is looking to add a seasoned credit attorney to its Legal & Compliance group. The position will support an expanding registered investment adviser business by advising on regulatory compliance, governance...SeniorFull time
Arrow Search Partners
New York, NY14 hours ago $75k - $95k
...for an accommodation or an alternative application process. Senior Compliance Specialist Full Time Professional Remote, US Today Requisition... ...standards, and continuous improvement. Proficiency in Microsoft Office, with strong Excel skills. Preferred Qualifications: Working...SeniorFull timeWork at officeRemote workAutomatic Data Processing
New York, NY2 days ago$70.1k - $126.2k
...intaking and triaging suspected issues of non-compliance, entry of compliance issues into GRC... ...analysis for business stakeholders and senior leadership on new, in progress and... ...analytics preferred Excellent Microsoft Office skills preferred Licenses/Certifications...SeniorFull timePart timeWork at officeRemote workWork from homeFlexible hoursCentene Corporation
New York, NY5 days ago
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Senior Compliance Officer. Be the first to apply!
Related searches
- trade compliance specialist New York, NY
- legal compliance analyst New York, NY
- compliance officer New York, NY
- coding compliance specialist New York, NY
- research compliance officer New York, NY
- regulatory operations specialist New York, NY
- compliance analyst New York, NY
- legal compliance officer New York, NY
- regulatory specialist New York, NY
- healthcare compliance officer New York, NY