Compliance Officer
JW Michaels & Co.
Well-regarded global hedge fund is seeking a dynamic compliance officer with strong trading compliance experience to join their team. Responsibilities: Provide real-time compliance coverage for traders, providing clear, actionable guidance on trade approvals and trading conduct Support and enhance the trading compliance program for the firm’s trading desks, driving measurable improvements in controls and monitoring Manage cross-functional coordination with legal, risk, operations, finance, technology, and third-party vendors to implement and enhance compliance solutions Build and enhance pre-trade and post-trade surveillance processes, including tuning alerts and escalating significant issues Assist in advising on new trading strategies, products, and market access to ensure compliant go-to-market execution and risk mitigation Partner with trading operations and technology teams to develop and implement automated controls, reports, and dashboards Execute and manage trading-related compliance projects Investigate trading exceptions and potential breaches, prepare concise findings and remediation plans, and present results to senior compliance leaders Develop and deliver targeted training and guidance for trading personnel to embed compliance-by-design practices Requirements: Juris Doctorate degree and Bar admission 5-7 years of compliance experience within an investment manager, hedge fund, or broker-dealer with direct responsibility for trading compliance Demonstrated working knowledge of U.S. securities laws and regulations applicable to trading and market conduct Strong experience designing, operating, or materially enhancing pre-trade and post-trade surveillance programs Proven ability to analyze trading activity and alert data Experience conducting compliance investigations Track record of leading cross-functional projects to implement policy, system, or process changes related to trading Excellent verbal and written communication skills #J-18808-Ljbffr JW Michaels & Co.
$165k - $275k
...Regional Compliance Officer We're seeking someone to join our team as a Regional Compliance Officer in WM Field Compliance to engage directly with the Wealth Management Northeast Regional team and using various data collected across the Firm, to aid in the identification...SuggestedTemporary workWork experience placementMorgan Stanley
Purchase, NY2 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...SuggestedFull timeWork at officeLocal area$145k - $175k
A Career with Point72's Compliance TeamThe Point72 Compliance department is an industry-leading team of compliance professionals who support global investment and trading activities by establishing and enforcing the firm’s compliance policies, providing real-time advice...Suggested- ...A financial services firm in Old Greenwich is seeking a Senior Compliance Officer to provide compliance support and conduct reviews for their investment management activities. The successful candidate will have over 12 years of experience in compliance, ideally with a...SuggestedFull time
Millennium
Old Greenwich, CT3 days ago - ...Senior Compliance Officer Position Details Provide ongoing compliance support to WorldQuant Millennium Advisors (" WMA ") Conduct ongoing WMA compliance reviews Address compliance-related items for the launches of new WMA funds and separately managed...Suggested
Millennium Management
Old Greenwich, CT5 days ago $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- ...application due to a disability, contact this employer to ask for an accommodation or an alternative application process. BSA Compliance Officer Chester, VA, US 1 Attachments 8 days ago Requisition ID: 1163 ROLE PURPOSE The purpose of thisrole is tosupport compliance...
- This is a hybrid role (4 days in office / 1 day remote)Interactive Brokers is looking for a motivated, data professional to support the... ...data qualityProduce source to destination data maps for AML compliance reports and systemsDesign periodic and adhoc supervisory reports...Temporary workWork at officeRemote work
$120k - $160k
Where Fintech Innovation Meets Data, Compliance & Career GrowthJoin a global fintech leader that is redefining the future of financial services through technology, innovation, and intelligent data solutions. At Interactive Brokers, compliance is more than a regulatory...$125k - $175k
A Career with Point72's Compliance TeamThe Point72 Compliance department is an industry-leading team of compliance professionals who support global investment and trading activities by establishing and enforcing the firm’s compliance policies, providing real-time advice...Work experience placement- This is Hybrid role (4 days in office /1 day remote)We are seeking a highly motivated Regulatory Reporting Operations Analyst to join our Compliance team. This role is pivotal in ensuring the accuracy, completeness, and timeliness of all regulatory reporting obligations...Work at officeRemote work
- Regulatory Reporting Data Analyst Stamford, CT/Remote Job Description - Own and execute daily / monthly production 14Q reports, ensuring completeness, accuracy, and timeliness. Prepare and validate 14Q regulatory reports. Conduct...Remote work
Programmers.io
Stamford, CT1 day ago - ...solutionsPrepare and review filing responses for multiple regulators and ensure submissions meet regulatory standardsCollaborate with our Compliance, Tax, Legal, Finance, Technology, and Operations teams to align requirements, resolve issues, and deliver complete filingsPartner...Work at office
- ...14, FRY15 liquidity reports, ensuring completeness, accuracy, and timeliness. Prepare and validate FDIC regulatory reports in compliance with 12 CFR 369 (FDIC reporting requirements) and 12 CFR 370 (recordkeeping & disclosure requirements). Conduct data quality checks...
Artech
Stamford, CT1 day ago - ...Active Errors and Omissions (E&O) coverage. Unrestricted authorization to contract within the United States. Functional remote office environment equipped with stable, high-speed connectivity. Financial Structure & Remuneration Classification: 1099...Contract workWork at officeImmediate startRemote work
CEO Life
Stamford, CT12 days ago - ...reconciliations, position and transaction monitoring checks, and exception investigations to maintain reporting accuracy Partner with compliance, legal, finance, risk, technology, and trading teams to document requirements, map workflows, and create control evidence...Work at office
$60 - $65 per hour
...and certification Liaise with Technology for implementation, testing, and debugging of reporting updates Produce documentation in compliance with regulatory expectations Support training for US and EU regulatory reporting teams Required Experience & Skills 5-10+ years...Contract work- ROLE ARGA Investment Management, LP seeks a motivated compliance professional to join the compliance department in our Stamford, CT office. This individual will report directly to the Chief Compliance Officer. JOB DESCRIPTION Responsibilities include, but are not limited...Work at office
$80k - $100k
...Structure Arbitrage, Event-Driven Investing, Equity Long/Short & Capital Markets Trading, and Global Quantitative Trading. Title: Compliance Analyst Location: New York, NY or Greenwich/Norwalk, CT Desired Years of Experience: 0-3 years Summary: We are seeking a...$202.4k - $253k
...Stamford, CT is just steps away from the Stamford Metro-North Train Station and easily accessible from NYC. About the Role The Compliance Officer, U.S. Central Functions is responsible for developing, leading, and overseeing the implementation of the U.S. compliance...Full timeLocal areaPhilip Morris International
Stamford, CT14 days ago- ...Prepare and review filing responses for multiple regulators and ensure submissions meet regulatory standards Collaborate with our Compliance, Tax, Legal, Finance, Technology, and Operations teams to align requirements, resolve issues, and deliver complete filings...Work at office
Point72 Private Investments
Stamford, CT3 days ago - Our client, a growing consulting firm based in White Plains, NY, is seeking a Senior Compliance Consultant to join their growing firm. The ideal candidate will have a minimum of five years of compliance consulting experience supporting private markets clients, including...
$119k - $218.3k
...developments to provide clients with up-to-date perspectives on compliance obligations and industry best practices.Collaborate with cross-... ...prioritiesand deadlinesAdvanced aptitude with Microsoft Office products, particularly Microsoft PowerPoint, Excel, and VisioExperience...Work at office- This is a hybrid role (4 days in office / 1 day remote)Interactive Brokers is looking for a motivated, IT security, risk or audit professional... ....Responsibilities:The role’s primary focus will be to:Support compliance coverage of the firm’s technology enterpriseDesign testing and...Temporary workWork at officeRemote work
$125k - $170k
...role offering exposure to world-wide markets, as well as to senior management, be appealing to you? If so, this Cybersecurity - Compliance Advisor opportunity could be for you.What Employees Are Saying: “You’re working with some of the smartest people in cybersecurity...Worldwide- ...risk strategies at a global financial services firm. Shape governance frameworks for scalable, global business operations. Drive compliance and resilience programs with executive leadership.Job DescriptionOverviewLead enterprise-wide risk management initiatives for a global...
- The Compliance Manager supports the implementation and ongoing enforcement of the Company’s compliance program, with a primary focus on global... ...proficiency with PC‑based applications, including Microsoft Office and other compliance‑related software tools.Experience...Full timeContract workCasual workWork at officeWeekend workAfternoon shift
$134.5k - $265.1k
...Regulatory & Financial Risk offering supports clients' regulatory and compliance needs, balancing risk and regulatory requirements with... ...user stories or business needsAdvanced proficiency in Microsoft Office (PowerPoint, Excel, Visio) Information for applicants with a need...Work at officeVisa sponsorship$190k - $215k
...application due to a disability, contact this employer to ask for an accommodation or an alternative application process. Chief Advancement Officer Full Time Greenwich, CT, US 5 days ago Requisition ID: 1452 Position Chief Advancement Officer Reports To Chief Executive Officer...Full timeWork at officeLocal areaFamily Centers, Inc.
Greenwich, CT2 days ago$150k - $175k
...looking for a Vice President candidate to join its Regulatory and Compliance team to work with senior members of the Compliance team. The... ...when we are together. Employees in this role will work in the office Monday-Thursday, with the flexibility to work remotely on Friday...Full timeWork at officeRemote work
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