Deputy Chief Compliance Officer & Associate General Counsel
Cardea Group
Deputy Chief Compliance Officer & Associate General Counsel New York, NY Job Reference #3599635 Potential progression into the Chief Compliance Officer function Broad legal and compliance scope across hedge fund and private equity strategies Opportunity to help build AI governance and compliance infrastructure Lean, collaborative culture with minimal bureaucracy in a highly visible, senior leadership role Responsibilities Partner closely with the CCO and senior management on all aspects of the firm’s compliance and regulatory framework Assist in preparing the firm for future SEC examinations and ongoing regulatory readiness Lead and enhance the firm’s compliance program across multiple investment strategies and products Advise on the implementation and governance of AI and emerging technology tools across the organization, including helping to develop thoughtful and secure firm-wide AI usage policies and frameworks Support the integration of new investment products and private markets strategies into the firm’s existing compliance infrastructure Provide legal and regulatory support on fund-related matters, including fund formation, investor onboarding, side letters, and broader business initiatives Work cross-functionally with operations, investor relations, finance, HR, and investment teams on strategic and day-to-day matters Help foster a proactive, solutions-oriented compliance culture within a fast-paced investment environment Take ownership of projects and operate with a high degree of autonomy in a lean organizational structure Qualifications The firm is open to a range of profiles but is particularly interested in candidates with a blend of legal, regulatory, and in-house compliance experience within the alternative investment management industry – ideal profile is big law + in-house experience Experience supporting multi-strategy or complex investment platforms Familiarity with private markets products and related regulatory considerations Demonstrate intellectual curiosity and a willingness to learn the business deeply Enjoy operating in a non-siloed environment where responsibilities span multiple functions Entrepreneurial, adaptable, and willing to “roll up their sleeves” #J-18808-Ljbffr
$250k
...Job #1934: Chief Compliance Officer/ General Counsel - NY (5/20/2024) Job Title Chief Compliance Officer/ General Counsel New York, NY $250,000 About Us: Following significant asset growth and strong performance, a boutique Credit focused Investment Manager is seeking...SuggestedWork at officeImmediate start- ...up in San Francisco. You will partner with the executive team, negotiating complex enterprise contracts and ensuring healthcare compliance. The ideal candidate has 8-12 years of legal experience, particularly in healthcare compliance and contract negotiations. Benefits...SuggestedContract work
$200k
...Chief Legal & Compliance Officer AAPCI Corporate - Brooklyn, NY 11206 Overview Salary Range $200,000.00 - $200,000.00 Salary/year Chief... ...regarding subcontractor approvals. Manage and oversee outside counsel, consultants and other advisors as necessary to support...SuggestedFor subcontractor- ...and opportunistic credit, as well as direct lending. With offices in Miami, New York and London, and serving over 400 investors... ...at . Position Overview The firm is seeking a Deputy Chief Compliance Officer (Deputy CCO) to play a critical, hands-on role in the...SuggestedWorldwide
- ..., from automating banking, ensuring compliance, handling contracts, managing taxes,... ...Role Overview: The Part-Time Deputy Chief Compliance Officer (Deputy CCO) will support the Head of... ...transaction monitoring operations and associated case management workflows. ~ Hands...SuggestedHourly payPart timeBank staffRemote workNight shift
- ...Head Of Us Compliance And Deputy Cco Reporting directly to the Chief Compliance Officer, Oncology, the Head of US Compliance and Deputy CCO leads US Compliance program and serves as the primary strategic partner to US business. This senior leadership role is responsible...Local area
- ...Deputy Chief Compliance Officer We are actively recruiting for an experienced banking Compliance professional to function as Deputy Chief Compliance Officer. Candidates should be in a Lead or Managerial Role in Commercial Banking. Reporting to the Chief Compliance Officer...
$192.07k - $240.09k
...DIV: Legal SUPERVISOR: First Deputy General Counsel – Transactions WORK... ...supervision of MTA Senior and Associate attorneys and outside counsel... ...related functions to ensure compliance with all legal requirements... ...internal levels within the MTA’s offices and agencies, and to build...Full timePart timeFor contractorsWork at officeLocal areaRemote workWeekend workAfternoon shift1 day per week$263k - $360.93k
...Head of US Compliance and Deputy Chief Compliance Officer (Executive Director) Reports to Chief Compliance Officer, Oncology Opportunity Reporting directly to the Chief Compliance Officer, Oncology, the Head of US Compliance and Deputy CCO leads Stemline’s US Compliance...Temporary workWork at officeRemote workFlexible hours- ...Deputy Chief Compliance Officer (CCO) About the Company Diversified financial institution Industry Financial Services Type Privately Held About the Role The Company is in search of a Deputy Chief Compliance Officer to join their team. The successful...Work at office
- ...Menarini in New York is seeking a Head of US Compliance and Deputy Chief Compliance Officer (ED) to lead the Compliance program for Stemline’s US business. This senior role involves navigating compliance in a high-growth environment while collaborating with various departments...
$160k - $228.5k
...a high-visibility leadership opportunity to serve as the Deputy Chief Compliance Officer for New York Life's retail securities subsidiaries: NYLIFE... ...CCO before regulators, senior management, and external counsel; carrying delegated authority across the compliance program...Local areaHome office3 days per week$225k - $250k
...including but not limited to, hiring, compensation, benefits, promotion, and termination. Job Title: Vice President, Deputy Chief Compliance Officer Reports to (title): Senior Vice President, Head of Legal & Compliance Job Description: Alger seeks a...Contract workWork at office- ...Under the executive direction of the General Counsel/Chief Legal Affairs Officer, with extremely wide latitude for... ...and decision‑making, the Deputy Chief Legal Affairs Officer (DCLO)... ...Fair Hearings; SNAP Fair Hearing Compliance; and Fair Hearing Representation &...Full timeTemporary workWork at officeLocal area
- The City of New York is seeking an Executive Agency Counsel (Deputy Chief Legal Affairs Officer) for the Department of Social Services. Responsibilities... ...with community advocates and a commitment to compliance with applicable laws, ensuring the effectiveness and...
$255k - $300k
...rewards. The Robinhood Derivatives (RHD) Compliance team oversees regulatory compliance... ...(CFTC) and National Futures Association (NFA) requirements while supporting the... ...maintaining regulatory integrity! As Chief Compliance Officer (CCO) of RHD, you will lead the design...Work at officeFlexible hoursShift work$225k - $265k
...Reports to: Vice President, Compliance Position Overview This is... ...breadth: serving as the Chief Compliance Officer for our US spot trading entity... .... Work closely with legal counsel on broker‑dealer licensing... ...requirements, including associated persons (APs) registration...Work at office- ...Position: Chief Compliance Officer (Fractional) Location: Remote About The Company Wheel is evolving the traditional care ecosystem by equipping... ..." requirements. Prescribing Compliance: Manage key risks associated with remote prescribing including DEA compliance if...Remote workShift work
- ...investment manager is seeking an experienced Chief Compliance Officer to lead the firm's compliance... ...Manage relationships with external counsel and regulatory advisers What we're... ...knowledge of the Investment Advisers Act of 1940 and associated SEC rules and guidance...
$255k - $300k
...you’re ready to be at the epicenter of this historic cultural and financial shift, keep reading. About the team + role The Chief Compliance Officer of Robinhood Money will manage and grow a scalable compliance program that supports our expanding suite of banking and...Work at officeFlexible hoursShift work- ...Remote People is conducting a confidential search for a Chief Compliance Officer (CCO) to lead the organization's compliance efforts. This role entails developing a multi-jurisdictional compliance framework and managing AML/KYC oversight, data privacy, risk management...Remote work
$225k - $265k
...senior leadership role serves as the Chief Compliance Officer for Bullish US Operations, LLC and the... .... Work closely with legal counsel on broker‑dealer licensing, disclosure... ...registration requirements, including associated persons registration and branch office...Work at office- ...Confluence Technologies, Inc. is looking for a Compliance Services Consultant to serve as a senior, client-facing compliance authority. The role involves advising clients on compliance with major U.S. securities laws and requires at least 7 years of experience in the...Remote workFlexible hours
- ...Elmington- is looking for a Vice President of Compliance to lead their Compliance Services function. This role demands extensive experience in Affordable Housing compliance and oversight on regulatory deliverables, ensuring quality and accountability. You will manage...
$156.63k - $223.19k
...position, you'll be based in the New York City or Columbia, MD office for a minimum of three days a week, with the flexibility to... ...employees worldwide. A role you will love The Chief Compliance Officer, US ("CCO US") reports directly to the Head of US Compliance...Temporary workWork at officeWork from homeWorldwideFlexible hours3 days per week- ...Develop and manage company-wide BSA/AML, OFAC, KYC, and KYB compliance programs. Oversee MSB registration and state MTL licensing activities. Supervise transaction monitoring, enhanced due diligence, and SAR reporting. Monitor regulatory changes impacting...Remote work
$125k - $150k
...Job Description LHH is recruiting a Chief Compliance Officer for a regional law firm. The chief compliance... ...and any compliance certifications associated with its Code of Ethics or other... ...state securities commissions, attorneys general, and local authorities (i.e. Form ADV...For contractorsWork at officeLocal area- ...A leading financial services firm in the United States seeks a Compliance Officer to manage AML policies and ensure adherence to regulations. The role involves developing and implementing compliance training programs, risk assessments, and regulatory reporting. Candidates...Remote work
- ...investing in dedicated and hardworking associates who provide exceptional service and... ...innovative, experienced, and collaborative Chief Compliance Officer to lead the enterprise-wide... ...00The above annual salary range is a general guideline. Multiple factors are taken...Hourly payWork experience placementLocal areaFlexible hours
- ...-Monitor and ensure the New York Branch's compliance with all applicable federal and state banking... ...Branch. -Manage the submission of reports to the General Manager of the New York Branch and Head Office on information gathered and analyzed in order...Work at office
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