Compliance Officer
Coda Search│Staffing
One of our highly reputable Alternative Asset Management clients currently seeking to add an AVP to their growing Alternative Investments Compliance Team. Ideal candidate will be working very closely with several Teams including but limited to Fund Marketing, Legal, Compliance, and Regulatory. Ideal candidate will be a pure Compliance generalist responsible for all facets of Trade Compliance/Surveillance, Regulatory, and ah-hoc compliance reviews related to Fund Operations. Essential Functions Oversee new initiatives targeting process improvement, and highlighting potential policies and procedures changes Review and approve sales communication/marketing and advertising literature for fund Assist with all matters under the: Investment Advisers Act of 1940; Securities Act of 1933; and Securities Exchange Act of 1934 Assist in researching and responding to comments and/or inquiries received from FINRA Review and test personal trading activities for compliance with regulations and the Code of Ethics Develop and implement effective methods and best practices for reviewing marketing communications. Daily monitoring of Trading related guidelines and communicate necessary details to various business units including: Investment Team, Compliance, and Trading Operations Revise all marketing materials and activities for compliance with regulatory requirements Preparing investment related presentations for senior management and firm principals Candidate will be responsible for identifying opportunities to centralize and optimize the processes to constantly improve overall group performance Assist with special projects, as requested. QUALIFICATIONS Bachelor’s degree from an accredited college or university; The candidate will have a demonstrated ability to analyze data and be able to present findings to the managerial level personnel. Minimum 3+ years related professional (Compliance and/or Legal) experience (Asset Management/Hedge Fund/Private Equity/ Fund Administration or similar) FINRA Licenses (7 & 24) not required Knowledge of Investment Company Act of 1940, Investment Advisers Act of 1940 and FINRA Rules and Regulations. Intermediate to Advanced Microsoft Excel/PowerPoint skills are required. Effective oral and written communication skills and ability to listen effectively. #J-18808-Ljbffr
- ...your Expertise to JPMorganChase. As part of Risk Management and Compliance, you are at the center of keeping JPMorganChase strong and... ...quo and striving to be best-in-class.As a Regulatory Strategy Officer within the Governance and Business Management team, you will play...SuggestedWork at office
$100k - $200k
Our client is a private equity firm. They seek a Compliance Officer to join their Manhattan, NY office.ResponsibilitiesCoordinate monthly compliance testing activities, including documentation collection and verification of regulatory requirementsSupport annual compliance...SuggestedWork at office$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...SuggestedLocal area$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 analytical and problem-solving mentality. This is a unique opportunity to join a leading proprietary trading firm with an entrepreneurial...SuggestedLocal area$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 with the Wealth Management Northeast Regional team and using various data collected across the Firm, to aid in the identification...SuggestedTemporary workWork experience placement$110k - $140k
The Compliance Officer will be instrumentally involved in overseeing, administrating and enhancing the Compliance Program of Institutional Shareholder Services Inc. (“ISS”), a U.S.-registered investment adviser under the Investment Advisers Act of 1940, covering also its...Full timeLocal area$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...Local area$175k
Reference: 13578Senior Compliance Officer, Investec USAInvestec - Where Out of the Ordinary HappensAt Investec, we do things differently. We're a leading international bank and wealth manager built on a culture of curiosity, entrepreneurial spirit and human connection....Full timeWork at officeRemote work$150k - $200k
...the PositionThe successful candidate will support the firm's compliance program across registered private equity funds, private debt funds... ...position will work a hybrid schedule in one of our following offices 3 days/week.Boston, New York, Philadelphia, Baltimore, St....Full timeLocal area3 days per week$175k - $200k
...Compliance Officer New York The Role Sixth Street's Compliance team partners with all aspects of Sixth Street to build and maintain a best-in-class compliance program that addresses applicable regulatory requirements and industry best practices. The Compliance...Temporary workLocal areaSixth Street Inc
New York, NY3 days ago$90k - $110k
...Make an impact in sanctions compliance and financial crime prevention. A company operating in the financial services industry based in New York. Job Description Core Responsibilities Assess sanctions screening alerts arising from international wire activity...Permanent employmentLocal areaMichael Page
New York, NY5 days ago$110k - $130k
...Compliance Officer New York, NY Job Description We are looking for a Compliance Officer to join our Legal & Compliance team. In this role, you will help support and maintain Vise's compliance program, ensuring we meet our regulatory obligations while enabling...Work at officeVISE Inc
New York, NY4 days 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...
Haitong International Securities Group
New York, NY1 day ago $160k - $220k
...Position: Compliance Officer Reports to: Group Chief Compliance Officer Location: New York City, USA Salary: USD 160,000 - 220,000 Overview - About MillTech MillTech provides advanced FX Hedging and Cash Investment solutions to increase...Work at officeRemote workFlexible hoursMill Tech
New York, NY3 days ago- ...The Compliance Officer will work closely with the members of a team focusing on regulatory compliance issues with respect to marketing and other investor/third party materials and communications. The Compliance Officer will serve as the primary day to day contact for...Work experience placement
Insight Global
New York, NY4 days ago $220k - $270k
Head of Monitoring & Surveillance Compliance Officer - Director, CA CIB Americas (New York, NY) Summary: The Head of Monitoring and Surveillance Americas will oversee the electronic and voice communications of the Firm's employees, in addition to trade surveillance review...Work at office$180k - $215k
...Trade Compliance Officer Location New York Business Area Legal, Compliance, and Risk Ref # 10052303 Description & Requirements Title: Compliance Officer – Americas Trade Compliance Location: New York Business Area: Legal, Compliance, and Risk Bloomberg’s Legal & Compliance...Temporary workFor contractorsWork experience placementWork at officeLocal areaBloomberg
New York, NY4 days ago$132k - $167k
...connective tissue empowering clients with seamless navigation through the ever-evolving cryptocurrency landscape. Job Summary The Compliance Officer for the Swap Dealer & Security-Based Swap Dealer is responsible for ensuring that the organization adheres to all regulatory...Local areaFalconX
New York, NY1 day ago$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...Contract workWork at officeG MASS Consulting
New York, NY5 days ago$1,000 per day
...G MASS Consulting are partnered with a leading Hedge Fund to appoint an experienced Compliance Officer who will take ownership of day-to-day regulatory governance and provide line-of-business coverage across its U.S. broker-dealer, with a particular focus on Operations...Contract workWork at officeG MASS Consulting
New York, NY4 days ago$77k - $143k
...COMPLIANCE OFFICER-DEPOSITS & PAYMENT OPERATIONS Position is responsible for overseeing and maintaining assigned areas of the compliance program covering consumers, including monitoring business areas for compliance with applicable laws and regulations and ensuring controls...Work experience placementRemote workCity National Bank
New York, NY5 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, NY2 days ago - ...Review investment product marketing materials for SEC compliance. Complete private quarterly reporting. Perform private fund compliance testing and monitoring. Assist in conducting company-wide training to meet SEC, NFA, and FINRA obligations. Facilitate periodic committee...
ConsultNet Technology Services and Solutions
New York, NY4 days ago - ...OCR Alpha in New York seeks an experienced Trading Compliance Advisory professional to join a leading global investment manager's front-office advisory team. You will work closely with portfolio managers, traders and quantitative teams on trading activity, market structure...
OCR Alpha
New York, NY3 days ago - ...Ares Management seeks an experienced attorney to join its Legal & Compliance team as VP - Investment Adviser Compliance, providing senior regulatory guidance across global platforms and investment strategies. The role requires advising on complex structures, regulatory...
Ares Management
New York, NY2 days ago $150k - $185k
...Purpose of Role Marex is seeking a Broker‑Dealer Compliance Advisor who is a subject matter expert in U.S. Broker‑Dealer regulation, providing... ...Compliance. Provide compliance advisory support to front‑office teams across day‑to‑day business activities. Review, draft and...Immediate startMarex, Inc.
New York, NY5 days ago- ...IDB Bank in New York is seeking a Senior Compliance Manager and Privacy Officer to lead privacy and non-lending consumer regulatory efforts. You will advise the Chief Compliance Officer and senior management, guide regulatory examinations, and manage Privacy, Identity...
IDBNY
New York, NY4 days ago - ...Remote Public Compliance Officer – 50862 Turing is looking for candidates with strong experience in government and regulatory compliance, especially for compliance officers, auditors, legal analysts, or public policy professionals working within or alongside public...Full timeFor contractorsFreelanceRemote work
Turing Inc
New York, NY5 days ago $135k - $160k
Location Designation: Hybrid - 3 days per week Role Overview:This is a significant officer-level opportunity within New York Life’s Compliance department. The AML Compliance Officer will serve as a key member of the AML leadership team — supporting the Enterprise AML Compliance...Local areaImmediate start3 days per week- ...ISS is seeking a senior Compliance Officer to oversee and enhance the firm’s compliance program, focusing on conflicts of interest and information barriers within its SEC-registered adviser framework. The role reports to the CCO and collaborates across the STOXX Compliance...
issgovernance
New York, NY3 days ago
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