Regulatory Compliance Officer
Stan Hamlet Associates Inc
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, merger and acquisition advisory, equity research, and institutional trading.
The firm is a Registered Broker-Dealer,with the U.S. Securities and Exchange Commission and a member of FINRA, SIPC, and NASDAQ.
Job Responsibilities:
· Provide real-time advice to Investment Banking and Capital Markets on Regulation BI, Regulations and other applicable regulatory requirements related to public and private offerings .
· Advise Business Lines, Legal, and Compliance staff on information barriers, sensitive information policies.
· Provide Compliance and regulatory guidance advice to Equity Research department regarding Rule 2241, Regulation AC, and the Global Research Settlement.
· Create and manage effective action plans in response to any identified compliance deficiencies.
· Develop and maintain effective Written Supervisory Procedures relating to any and all firm activities.
· Advise Equity Research and Corporate Access regarding use of experts and expert networks.
· Advise Senior Management on new laws/regulations and their related impact on businesses.
· Make recommendations to develop or enhance business unit procedures as they relate to compliance subject matters and respond to compliance related questions from management and staff.
· Monitor electronic communications, trading activities and escalate potential compliance issues.
.Mentor and supervise Compliance staff.
· Prepare and file FINRA Gateway filings such as Form BD, Forms U4 and U5, and responses to 8210 Requests.
· Assist in maintaining the Firm’s Watch and Restricted Lists, including seeking and responding to updates from investment banking teams.
· Conduct training of the equity research, public and private side staff during onboarding, add-hoc and annual compliance training.
· Serve as a compliance liaison during regulatory examinations.
· Responsible for projects as assigned by supervisor and/or Compliance senior management Perform ad-hoc special projects as assigned by the Chief Compliance Officer.
Qualifications:
·Bachelor degree in Finance related field
Masters degree preferred
· Series 7, 79, 63 and 24 certifications.
. 10+ years of Compliance experience within a Broker Dealer, Regulatory, and/or Compliance Consulting firm.
· Strong communicator with ability to discuss and challenge across all levels of the organization.
.Control and lead special projects as they arise
· Microsoft Office Suite proficient (Outlook, Word, PowerPoint, and Excel).
The Firm offers a high salary,bonus and excellent work/life balance.
Interested candidates contact:
Stan Hamlet
Stan Hamlet Associates Inc
$130k - $160k
.... Overview You will report to the Local Head of Regulatory and Corporate Compliance within the New York Branch Compliance Function of Intesa... ...everyone feels valued and empowered. The Chief Compliance Officer Governance Area oversees compliance with the regulatory...SuggestedFull timeLocal area- ...Governance, Risk & Compliance (GRC) Analyst (AI Training) About the Role We're looking for experienced GRC professionals to help evaluate and improve AI systems being trained on real-world security, compliance, and risk scenarios. Your practitioner knowledge...SuggestedHourly payOngoing contractContract workFreelanceRemote workFlexible hours
Alignerr
New York, NY2 days ago - ...regulators, hunt down data breaks, and keep compliance reporting reliable as we scale into new... ...states and roll out new products, our regulatory, financial, and audit reporting... ...work We are a remote-first company with offices in Chicago, IL and St. Petersburg, FL where...SuggestedFull timeTemporary workRemote workFlexible hoursShift work
$110k - $150k
...A major financial institution in New York is seeking a regulatory reporting professional responsible for the timely submission of the... ...position is $110K - $150K, offering opportunities to engage in compliance and regulatory activities while supporting various departments...SuggestedCrédit Agricole Group
New York, NY5 days ago- ...Position Summary The Regulatory Compliance Specialist (RCS) provides administrative, operational, and programmatic support for research compliance programs administered by the Office of Research Compliance and Training (RCT), with an approximate 70/30 split between...SuggestedWork at officeLocal area
Columbia University in the City of New York
New York, NY5 days ago $260k - $390k
...Healthcare Regulatory Associate Direct Counsel is seeking a Healthcare Regulatory Associate with 3–6 years of healthcare transactional... ...landscape while supporting sophisticated transactions and compliance initiatives. Responsibilities Advise healthcare providers...Direct Counsel
New York, NY16 hours ago- ...Regulatory Reporting Analyst Are you looking for a new challenge to grow an exciting SaaS company as a Regulatory Reporting Analyst... ...innovation is not just encouraged — it's celebrated. Simplify compliance. Strengthen governance. Scale with confidence with...Full timeWork experience placementRemote workFlexible hours
AQMetrics
New York, NY1 day ago $40k - $55k
...About the Role Our client, a leading provider of commercial insurance solutions, is seeking an Entry‑Level Regulatory Reporting Analyst to join their growing compliance team. This is an excellent opportunity for someone looking to launch a career in insurance operations...Full timeWork at officeRemote workSelby Jennings
New York, NY2 days ago$90 - $150 per hour
...include Benchmark , General Catalyst , Peter Thiel , Adam D'Angelo , Larry Summers , and Jack Dorsey . Position: Compliance Officer Type: Contract Compensation: $90–$150/hour Location: Remote Duration: 3–4 weeks Commitment: 15–30+ hours/...Contract workSummer workImmediate startRemote workMercor Inc
New York, NY2 days ago- ...Taylor Root is running a confidential search for a compliance analyst to join the legal and compliance function at a New York investment... ...daily trading activity against internal controls and regulatory requirements and escalating anything that looks off. Tracking...Internship
Taylor Root
New York, NY4 days ago - ...Compliance SpecialistThe Administration for Children's Services (ACS) protects and promotes... ...programs for youth in the community. The Office of Human Resources holds a broad... ...ensuring that all hiring decisions meet regulatory and agency standards while supporting recruitment...Work at office
New York City | Administration & Human Resources
New York, NY1 day ago $80k - $130k
...independent thought drive better outcomes for clients. The Compliance Officer will work regularly with the CCO–Fixed Income and other compliance... ...1940 rules and regulations Review, analyze, and respond to regulatory inquiries, including those relating to the SEC and NFA/CFTC...Local areaWorldwideShift workNeuberger Berman
New York, NY2 days ago$110k - $130k
...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 our business to grow. You’ll report directly to the Chief...Work at officeVISE Inc
New York, NY16 hours ago$66.3k - $70k
...property management, and its tax-exempt affiliate, Phipps Neighborhoods, provides human services to its development communities. The Compliance Specialist will play a key role in the re-rental of vacant units across the Phipps Houses portfolio. Working as part of a small,...Local areaWork visaPhipps Houses
New York, NY3 days ago$80k - $85k
...Meaningful Moments that transform lives. The Compliance Coordinator supports compliance and... ...weekly pay between $80,000-$85,000 annually! Office hours Monday -Friday 8:30-5pm. The... ...completes, submits, and maintains required regulatory, payer, and internal compliance reports...Weekly payWork at officeMonday to FridayFlexible hoursHelp At Home
New York, NY3 days ago- ...Compliance Officer (New York, NY): Our client, an established institutional alternative investment manager, is looking to add a Compliance... ...outside activities, conflicts and political contributions Monitor regulatory developments and assist with implementation of applicable...Work at office
Landing Point
New York, NY2 days ago $66.3k
...accommodation or an alternative application process. Corporate Compliance Specialist Salary: $66,300.00 Annually Transitional Services... ...Full-Time Corporate Compliance Specialist for its Administrative offices in Whitestone, NY. The Corporate Compliance Specialist will...Full timeWork at officeTransitional Services for New York, Inc.
New York, NY4 days ago$50 - $55 per hour
Compliance Associate (F1474233TNM) New York, New York Salary: USD50 - USD55 per hour Beacon Hill is partnering with a leading advisory... ...degree required. 2+ years of relevant compliance, legal, or regulatory experience, preferably in asset management, private credit, or...Hourly payLong term contractRemote workBeacon Hill Inc
New York, NY3 days ago- ...Position: Compliance Officer Reports to: Group Chief Compliance Officer Location: New York City, USA Overview - About MillTech... ...This is a high visibility role for a leader who can pair deep regulatory expertise with pragmatic, business enabling judgment....Work at officeRemote workFlexible hours
Mill Tech
New York, NY3 days ago $70k - $160k
...Compliance AssociateAbout MillenniumMillennium is a global, diversified alternative investment firm, founded in 1989. Defined by evolution... ...program by partnering across the business to address the regulatory considerations of algorithmic and systematic trading activities...Millennium Management Corp
New York, NY1 day ago- ...experienced professional to join their team as a Compliance Associate. Responsibilities: Support the... ...monitoring processes Assist with regulatory reporting, periodic reviews, and... ...different functions Proficiency in Microsoft Office and ability to learn new systems and technologies...Work at office
Nextera Search
New York, NY3 days ago $40 per hour
...) Lawyers on Demand (LOD) is seeking a Compliance Associate to support one of our global clients... ...rules to assist the Chief Compliance Officer (CCO) with managing the U.S. broker-... ...respect to BD and RIA compliance. Assist with regulatory filings, including Form ADV, Form CRS,...Hourly payContract workTemporary workWork at officeRemote workMonday to FridayFlexible hoursShift workLawyers On Demand
New York, NY2 days ago$120k - $150k
...type Types of Jobs - Finance / Accounting Job title Regulatory Reporting Analyst Contract type Permanent Contract... ...revised reporting requirements as they occur. • Perform periodic compliance and industry best practices review on all regulatory reports....Permanent employmentContract workWork at officeLocal areaCrédit Agricole CIB Limited
New York, NY16 hours ago$90k - $200k
...American Investigations, Diligence and Compliance practice is seeking a Senior Manager based... ...investigations, forensic accounting, regulatory compliance, including business intelligence... ...colleagues across Kroll's network of offices and various practices. Essential Traits...Temporary workFlexible hoursKroll
New York, NY2 days ago$50k - $52k
...Hotels, Construction Sites, Special Events, Office Buildings, Shelters and Personal... ...company. SJ Solutions is created based on compliance to their needs and overall objective in... ...ensure adherence to company policies and regulatory requirements. Payroll Administration...Full timeContract workPart timeWork at officeLocal areaFlexible hoursSJ Solutions Security and Protection Services Inc.
New York, NY5 days ago- ...Our client is looking for a Compliance professional to assist its Compliance Team. This candidate will assist a highly collaborative team in the New York office who supports the administration of the firm's compliance policies as it relates to personal trading and employee...Work at office
Snelling
New York, NY1 day ago $90k - $110k
...Make an impact in sanctions compliance and financial crime prevention. A company operating in the financial services industry based... ...supporting records and intelligence to facilitate compliance and regulatory determinations. Develop concise investigation summaries...Permanent employmentLocal areaMichael Page
New York, NY2 days ago$100k - $140k
...Build expertise across RIA and broker-dealer compliance programs. Gain broad exposure to alternative investments and regulators.... ...Description Key ResponsibilitiesMarketing, Communications & Regulatory Oversight Review marketing materials, investor communications...Permanent employmentLocal areaMichael Page International Inc.
New York, NY1 day ago- ...Job Description 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...Work experience placement
Insight Global
New York, NY1 day ago - ...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. PRIMARY FUNCTIONS AND ESSENTIAL RESPONSIBILITIES...
Haitong International Securities Group
New York, NY3 days ago
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Regulatory Compliance Officer. Be the first to apply!
- compliance consultant New York, NY
- regulatory analyst New York, NY
- cybersecurity policy and compliance analyst New York, NY
- compliance officer part time New York, NY
- trade compliance specialist New York, NY
- senior compliance analyst New York, NY
- medicare compliance specialist New York, NY
- regulatory compliance analyst New York, NY
- aml compliance analyst New York, NY
- healthcare compliance officer New York, NY