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
$130k - $150k
...London, we manage $253.6 billion* and operate across multiple offices globally. Man Group plc is listed on the London Stock Exchange... ...at 30 June 2026 Purpose of the role This role sits in the Compliance team based in NY and to work as part of the team under the...SuggestedFull timeLocal areaFlexible hours$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...SuggestedFull timeLocal area$130k - $160k
...You will report to the Local Head of Regulatory and Corporate Compliance within the New York Branch Compliance Function of Intesa Sanpaolo... ...everyone feels valued and empowered. The Chief Compliance Officer Governance Area oversees compliance with the regulatory framework...SuggestedFull timeLocal area$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$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 RiskBloomberg...SuggestedTemporary workFor contractorsWork experience placementWork at officeLocal 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...Temporary workWork 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$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$100k - $150k
...DaveContact Email: ****@*****.*** BSA/AML & Corporate Compliance OfficerJob description:Overview We are seeking a detail-... ...Mandarin Chinese is required to effectively communicate with head office stakeholders and navigate diverse regulatory documentation.DutiesRegulatory...Work at officeLocal area$160k - $250k
...Compliance Officer About Millennium Millennium is a global, diversified alternative investment firm, founded in 1989. Defined by evolution, innovation and focus, Millennium's mission is to deliver results for our investors. Our people are empowered with...Millennium Management Corp
New York, NY2 days ago$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, NY2 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, NY5 days ago $200k - $250k
...The Role We are seeking to hire an exceptional Trading and Systematic Advisory Compliance Officer to join our global compliance team in our New York office. You will act as subject matter expert for regulations that apply to the market infrastructure, and investment...Work at officeSchonfeld
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, NY3 days ago $135k - $160k
Location Designation: Hybrid - 1 day 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 start1 day per week$92.5k - $115.5k
...interest, and certifications. Escalate exceptions to business and Compliance management along with supporting documentation. Work to... ...This position requires the physical capabilities to work in an office environment, which may include prolonged periods of sitting at...Permanent employmentTemporary workWork at officeFlexible hoursCorient Capital Partners
New York, NY1 day ago- ...Compliance Officer MillTech is seeking a Compliance Officer to lead the compliance function for our New York office. Reporting to the Group Chief Compliance Officer, you will assist with the design, implementation, and continuous improvement of our compliance program...Work at officeRemote workFlexible hours
Mill Tech
New York, NY2 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, NY3 days ago- ...Benefits: 401(k) 401(k) matching Company parties Flexible schedule Opportunity for advancement Job Overview The Compliance Officer will be responsible for ensuring that all moving and cleaning operations adhere to federal and state-specific regulations....Full timePart timeFor contractorsLocal areaRemote workLong distanceFlexible hours
JULIAN EIAN JUEL MOVING AND CLEANIN
New York, NY2 days 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, NY5 days ago $130k - $150k
...success.About the DepartmentFranklin Templeton’s Global Regulatory Compliance department provides oversight, guidance and monitoring of the... ...laws, regulations, and internal policies.The Compliance Officer will play a critical role in supporting the firm’s growth by ensuring...Full timeWork at officeLocal area- ...Omaze is seeking an experienced leader to oversee KYC operations, ensuring compliance and enhancing processes through AI and innovation. The role requires a strong background in AML and KYC frameworks, as well as demonstrated leadership experience. As part of a dynamic...
Omaze
New York, NY4 days ago $125k - $222.5k
...Job Title Private Bank Americas - Senior Compliance Officer Corporate Title Vice President Location New York, NY Overview You will work in the Compliance Department as a business line compliance officer primarily focused on the Private Bank's lending activities. In addition...Work at officeWork from homeDeutsche Bank
New York, NY4 days ago- ...WM001 William & Mary in Idaho seeks a Lab Safety Manager to lead laboratory safety programs and ensure compliance with various safety regulations. Responsibilities include overseeing safety audits, managing chemical and safety training, and investigating incidents. Candidates...
WM001 William & Mary
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, NY4 days 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...Full timeWork at office- ...Kashable is seeking a detail-oriented Regulatory Compliance Lead to join our Compliance team in a hybrid New York City office. This role drives consumer complaint responses, licensing activities, vendor due diligence, and risk assessments across Kashable’s fintech operations...Work at office
Kashable
New York, NY4 days ago - ...EY is seeking a Financial Services Tech Consulting Rule Coding Senior in New York, focusing on investment compliance implementations across OMS platforms like Charles River and Aladdin. This role requires interpreting investment guidelines into compliance rules and validating...
EY
New York, NY4 days ago - ...A growing investment management firm is seeking a Compliance Officer to support a broad range of regulatory, marketing, and advisory compliance initiatives. This individual will work closely with business leaders and serve as a key compliance partner on fundraising activities...
Larson Maddox
New York, NY3 days ago $88.24k - $134.16k
...mentoring staff and managing contractors. Apply now to help us ensure compliance with current standards and help carry out the mission of the... ...equivalent Federal Government job title, as determined by the Office of Administration); or Five years of professional experience in...Permanent employmentFull timeFor contractorsWork at officeLocal areaWork from homeMonday to FridayFlexible hoursState of Pennsylvania
New York, NY4 days ago
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