Compliance Officer
Taylor Root
A leading alternative investment manager is seeking a Compliance Officer to join its growing team. This role has a significant marketing review component and offers the opportunity to work closely with capital raising, investor relations, legal, and senior business leaders across a dynamic private markets platform. Key Responsibilities Lead the review and approval of marketing materials including pitchbooks, DDQs, investor communications, presentations, and social media content Serve as a key advisor on the SEC Marketing Rule and private fund marketing activities Support and enhance the firm's distribution and capital markets compliance programs Manage regulatory filings and reporting obligations, including Form ADV and Form PF Draft and enhance compliance policies, procedures, and controls Conduct compliance testing, monitoring, and training initiatives Partner with business stakeholders on new products, growth initiatives, and regulatory matters Monitor regulatory developments and help implement compliance best practices Qualifications 4+ years of compliance experience at an asset manager, private fund adviser, or alternative investment firm Must have significant marketing review experience Strong knowledge of the SEC Marketing Rule and its application to private fund marketing Experience reviewing investor-facing materials, DDQs, and fundraising-related communications Bachelor's degree required; advanced degree a plus Strong communication, organizational, and project management skills #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
$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$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$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$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- 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
- ...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...
- ...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...
$200k - $250k
...Compliance OfficerNew York, New York, United StatesThe 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...Work 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...Contract workWork at office$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 office$101k - $154k
...range for this role is $101,000 to $154,000. JOB DESCRIPTION Under the direction of the Trade Compliance Leadership, the primary responsibility of the Trade Compliance Officer is to be a strong individual contributor to the AV organization. Responsible for performing the...Permanent employmentFull timeContract workFor contractorsWork at officeRemote work$175k - $225k
...Hybrid | New York City, NY Base Salary: $175,000 - $225,000 + Bonus About the Opportunity Compliance Advisory Officer Hybrid | New York City, NY Base Salary: $175,000 - $225,000 + Bonus About the Opportunity A growing global financial services firm...$100k - $145k
...Compliance OfficerCAIS is the pioneer in democratizing access to and education about alternative investments for independent financial advisors... ...compliance oversight activities including, conducting branch office examinations, testing policies and procedures, and supporting...Work at officeImmediate start$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 work$155k - $185k
...a Subscription Document Review AVP to join its Regulatory and Compliance team to review investor subscription materials submitted in relation... ...when we are together. Employees in this role will work in the office Monday-Thursday, with the flexibility to work remotely on...Full timeWork at officeRemote work- ...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,...
- ...Compliance OfficerAs Compliance Officer at Forus, you will build a modern healthcare compliance program and lay the foundation for client and partner trust. You will work directly with the General Counsel and teams across the company. You will tackle complex healthcare...Full timeWork at office
- ...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 institutions...Full timeFor contractorsFreelanceRemote work
- ...Goldman Sachs is seeking a Vice President for PWM Compliance in New York. You will oversee supervision, regulatory adherence, and governance across PWM businesses, partnering with Legal, Risk and control functions to strengthen compliance risk management. The role emphasizes...
- ...Corebridge Financial is seeking a Transaction Review Analyst to conduct suitability reviews for pre‑approval transactions and mitigate compliance risks. The role involves reviewing submissions, obtaining needed information from financial professionals, and coordinating with...
- ...Paxos is seeking a Compliance Investigations Manager to lead financial crime investigations, AML/KYC compliance and regulatory reporting. You will guide a growing investigations team and drive the strategy for continuous improvement. You’ll collaborate with cross-functional...
- ...President, Global ComplianceWe are seeking someone to join Global Compliance as a Vice President who will provide advisory compliance... ...clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you'll find an opportunity...Temporary work
- ...Equitable in New York combines a long history with a modern, client‑focused approach. The Branch Compliance Senior Manager will oversee compliance activities for the Greater NY-CT Complex, supporting about 700 financial advisors and reporting to the Chief of Controls....
$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- ...Job Description Job Description Regulatory Compliance Officer About the Company: Respected International Investment Bank, specializing in technology, life sciences, cryptocurrencies and emerging privately held companies. Services include capital raising,...Work at office
$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
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