Marketing Compliance Officer
$90k - $125kOppenheimer & Co
Who We Are:Oppenheimer & Co. Inc. (Oppenheimer) is a leading middle-market investment bank and full service broker-dealer. With roots tracing back to 1881, the Company is engaged in a broad range of activities in the financial services industry, including retail securities brokerage, institutional sales and trading, investment banking (both corporate and public finance), equity & fixed income research, market making, trust services and investment advisory and asset management services.Job Description:Oppenheimer & Co. Inc. is seeking a Compliance Professional to join our Compliance Department in New York. The position will be part of a team that supports the Oppenheimer Asset Management business, which includes a dually registered broker-dealer and an investment adviser with several affiliated advisers. The ideal candidate must be able to work in a fast-paced environment, work independently, and demonstrate strong relationship management skills.Responsibilities:Review marketing and advertising materials for proprietary and third-party funds and advisory programs to ensure compliance with the applicable FINRA and SEC marketing rules for the dually registered broker-dealer and investment adviserDraft appropriate disclosures for marketing and advertising materialsSubmit required marketing materials to FINRA and coordinate correspondenceAdvise broker-dealer and investment advisers on marketing and advertising issuesAssist in the preparation and filing of the annual Form ADV brochures, and amendments thereto for several registered investment advisersQualifications:2+ years of working experience with Advisers Act and FINRA regulationsUnderstanding of wealth management and investment advisory products, including wrap fee separate account programs, private and registered investment funds, as well as the regulatory landscape of investment advisers and broker-dealers.Ability to interpret legal and business terms and grasp concepts quicklyStrong attention to detail, critical-thinking, and analytical skillsMust be an ambitious, dedicated, and results-oriented individual that is an independent thinker and takes ownership of his/her work and enjoys collaborating within a team environmentProficient computer skills and knowledge of web browsers and web searching skillsStrong written and verbal communication and presentation skillsCompensation:For job postings in New York City, Oppenheimer is required by law to include a reasonable estimate of the salary range for this role. This salary range is specific to the City of New York and takes into account the wide range of factors that are considered in making salary decisions including but not limited to your skills, qualifications, experience, licensure and certifications, and other business and organizational needs. A reasonable estimate of the current base salary range is $90,000.00 - $125,000.00 at the time of this posting. Also, certain positions are eligible for additional forms of compensation such as discretionary bonus.Location: New York, NY Type of Hire: Experienced Hires Division: Compliance
$130k - $150k
...deep research and span public and private markets, across all major asset classes, with a... ...6 billion* and operate across multiple offices globally. Man Group plc is listed on the... ...of the role This role sits in the Compliance team based in NY and to work as part of...SuggestedFull timeLocal areaFlexible hours$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$175k
Senior Compliance Officer, Investec USAInvestec - Where Out of the Ordinary HappensAt Investec, we do things differently. We're a leading international... ...lending desks, and global affiliates with a focus on equity markets.Advise on U.S. securities regulations (SEC, FINRA) and...SuggestedFull timeWork at officeRemote work$180k - $215k
Trade Compliance Officer Location New York Business Area Legal, Compliance, and Risk Ref # 10052303 Description & Requirements... ...on factors such as geographic location, work experience, market conditions, education/training and skill level. We offer one...SuggestedTemporary workFor contractorsWork experience placementWork at officeLocal 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... ...communities. When it comes to salary, Flow Traders uses reliable market research to create base ranges. Where candidates will fall...SuggestedLocal area$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$100k - $200k
Our client is a private equity firm. They seek a Compliance Officer to join their Manhattan, NY office.ResponsibilitiesCoordinate monthly compliance... ...with AML/KYC reviews, investor diligence requests, marketing material reviews, and compliance inquiriesCollaborate with internal...Work at office$130k - $150k
...understand their goals, and navigate complex markets together. We leverage cutting edge... ...DepartmentFranklin Templeton’s Global Regulatory Compliance department provides oversight, guidance... ..., and internal policies.The Compliance Officer will play a critical role in supporting...Full timeWork at officeLocal area$150k - $200k
...understand their goals, and navigate complex markets together. We leverage cutting edge... ...successful candidate will support the firm's compliance program across registered private equity... ...hybrid schedule in one of our following offices 3 days/week.Boston, New York,...Full timeLocal area3 days per week$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... ...Compliance guidance and advice to Regional Management and Market management on Firm and regulatory policies and procedures;>...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$21.5 - $27 per hour
...years of credentialing experience. - Required Provider Credentialing - Preferred: Credentialing in a Healthplan setting. - Microsoft Office/Suite Proficient Solid problem solving and time management skills. Have the ability to review and draft correspondence in email...Work at officeLocal areaImmediate startMonday to Friday$150k - $190k
...corporations, and tax-exempt organizations within the BBH Multi-Family Office (MFO) Tax group. The position also includes selective tax... ...to identify discrepancies and ensure completeness and compliance.Build and maintain strong relationships with internal and external...Full timeSeasonal workWork at officeLocal areaImmediate start$104k - $177k
...team member for the role of Senior Vice President, Consumer Compliance Officer - Global Payments & Trade. to join our Risk & Compliance team... ..., regulations and rules of relevant regulators. BNY assesses market data to ensure a competitive compensation package for our employees...Temporary workWorldwideFlexible hours$150k - $175k
About the RoleiCapital is looking to hire a Compliance Officer to oversee the relevant investment advisers supporting the Exchange-Traded Funds (ETF) and 1940 Act Registered Funds businesses. This individual will also be responsible for assisting and/or leading the implementation...Full timeWork at officeRemote work$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$130k
The VP, Compliance Officer will play a crucial role in offering real-time advice and guidance to the trading and sales teams, ensuring the firm's activities adhere to regulatory standards. This position demands a deep understanding of fixed-income regulations and the ability...Temporary workWork at officeImmediate start$200k - $250k
...seeking to hire an exceptional Trading and Systematic Advisory Compliance Officer to join our global compliance team in our New York office.... ...act as subject matter expert for regulations that apply to the market infrastructure, and investment and trading elements of...Work at officeSchonfeld
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, NY3 days ago $88 per hour
...Job Description Senior Compliance OfficerEquity Research Compliance BizTek People is seeking a Senior Compliance Officer for our client, a global financial institution in New York City. Location: Midtown, NYC Schedule: Hybrid preferred (2 days onsite...Contract workImmediate startRemote workBizTek People, Inc. | APA International Placement Consultant...
New York, NY1 day ago$160k - $175k
...US B Regulatory Compliance We are looking for a Senior Compliance Officer to join our Compliance Team. The role may be based in New York, NY or Miami Lakes... ...and/or compliance audits or reviews. Review marketing materials, disclosures, and other customer communications...Full timeTemporary workPart timeSeasonal workWork at officeImmediate startFlexible hoursPopular
New York, NY2 days ago$120k - $160k
...AML Compliance Officer Experience: 5+ Years Location: New York, NY (Hybrid) Reporting To: Chief Compliance Officer Company Overview... ...execution solutions designed to meet the needs of today's dynamic market participants. Built entirely on cloud-native, real-time...Immediate startFlexible hoursRQD * Clearing LLC
New York, NY2 days ago$160k - $250k
...Compliance Officer About Millennium Millennium is a global, diversified alternative investment firm, founded in 1989. Defined... ...trade surveillance reviews with a focus on identifying potential market manipulation and insider trading activity Monitor daily...Millennium Management Corp
New York, NY3 days ago$300k
...mission.About The RoleEliseAI is entering its next phase of growth—and we’re looking for a strategic and operationally minded Chief Marketing Officer to help us get there. We’ve seen strong, consistent revenue performance and are now focused on scaling our go-to-market engine...Work at officeLocal areaRelocation package$175k - $200k
...The Role Sixth Street’s Compliance team partners with all aspects of Sixth Street to build and... ...industry best practices. The Compliance Officer will be a key team player in managing, executing, and enhancing the firm’s marketing and distribution process. The Compliance...Temporary workLocal areaSixth Street Inc
New York, NY1 day 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 - ...fundamental, research-driven investing across global public markets, with deep expertise in healthcare and life sciences investing... ...platform. Position Overview We are seeking an experienced Compliance Officer to lead and manage the firm's regulatory compliance program...
Confidential
New York, NY1 day ago - ...partnering with a Commercial Bank who is looking to bring on a new Compliance Officer. This position will work closely with the banks US Head of... ...the rollout of new or amended laws and regulations. Review marketing materials, disclosures, and customer communications for...
JCW Group
New York, NY3 days ago $107.6k - $209.1k
...segment within AXA XL Americas, our Middle Market business focuses on the expansion of AXA... ...P&C market. As a Senior Underwriting Officer - Construction supporting the Middle Market... ...-functional groups including Claims, Compliance, Regulatory, Legal and other functions to...Flexible hours- ...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 to...Work experience placement
Insight Global
New York, NY3 days ago
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