Average salary: $191,666 /yearly
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...to Rule 206(4)-7 of the Advisers Act which includes conducting reviews of the Groups policies and procedures as included in the Compliance Manual.
Conduct general compliance reviews for the Group, including but not limited to: marketing reviews, personal securities...
Suggested
..., LLC, a leading self-clearing broker-dealer is looking for a Compliance Associate to join the team. He/she will help with the delivery... ...related field.
~3+ years' proven experience in a compliance officer role and broker/dealer-related and escalations.
~ Series 7...
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...General Counsel & Chief Compliance Officer++ (New York, NY) : Our client, a $1B+ hedge fund with a strong reputation and track record, is looking to hire their first fully dedicated GC & CCO. This new hire will be a part of the teams executive leadership committee and...
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...and loan origination services to the latest in regulatory and compliance solutions. What drives us every day? A desire to innovate in the... ...consistent with current regulations, and as Chief Compliance Officer, you play a key role. We are looking for a Chief Compliance...
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We are looking for a Chief Compliance Officer who will play a crucial role in ensuring that Vise operates in compliance with all applicable laws, regulations, and industry standards. You will work closely with other departments to identify potential compliance issues and...
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Flexible hours
...The role involves a range of activities, including providing: Compliance advisory services, education & training, reporting to compliance... .../ ad hoc activities.
The Team:
The Compliance Policy Officer will join the Corporate Risk and Compliance department with accountability...
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Second job
Worldwide
Flexible hours
...Job Description
The Office of the New York City Comptrollers Bureau of Asset Management (BAM) supports the Comptroller in his role... ...investment managers; only short-term cash is internally managed. The Compliance Officer will work with the Chief Compliance Officer (CCO) to...
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Temporary work
3 days per week
...and reinsurance products under the management of The Global Atlantic Financial Group.
POSITION OVERVIEW
KKR is seeking a Compliance Officer to join KKR's Global Compliance team with a focus on the compliance program for transactional regulatory filings including...
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Work experience placement
...Please review the following job description:
Leads a team of compliance professionals to ensure appropriate compliance risk oversight... ...of the posted locations. Hybrid work environment (3-4 days in office). Not a telecommute/remote role.*
ESSENTIAL DUTIES AND RESPONSIBILITIES...
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Holiday work
Full time
Part time
Work experience placement
Bank staff
Shift work
Day shift
...About the Role:
Grade Level (for internal use):
10
The Role: Compliance Officer - Control Room
The Team: Control Room is part of the Compliance Monitoring and Exams part of S&P Global Ratings Compliance. Its members apply standardized monitoring and surveillance...
Suggested
Second job
Worldwide
Flexible hours
We are actively recruiting for an seasoned 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, the Deputy Chief Compliance...
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...credit cards, and consumer finance. The Group has more than 130 offices and 80,000 employees worldwide in nearly 40 countries.... ...the Volcker rule, and be able to implement, and manage SMBC's compliance program for the Volcker Rule. On a day-to-day basis, the position...
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Local area
Work from home
Worldwide
Flexible hours
...Location: New York, NY, US
** Compliance Officer - US Broker-Dealer**
**About Swiss Re**
Swiss Re is one of the worlds leading providers of reinsurance, insurance and other forms of insurance-based risk transfer, working to make the world more resilient. We anticipate...
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Flexible hours
...the Trust will continue to add staff to fulfill critical functions.
Position Summary
The Assistant General Counsel and Compliance Officer reports directly to the General Counsel and is a key member of the Trusts legal and compliance department. The Assistant General...
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Permanent employment
Full time
...Your Impact
The General Counsel / Chief Ethics and Compliance Officer is the senior-most legal executive in the organization, responsible for providing strategic legal guidance on a global scale to the executive team and Board of Directors on a host of corporate and...
Suggested
Contract work
Flexible hours
...Chief Compliance Officer Location: Hybrid in New York City
The Chief Compliance Officer will be responsible for developing and supporting the implementation of a program to ensure compliance with all relevant legal and regulatory requirements for Melio Payments...
Holiday work
Part time
Work from home
Shift work
The Chief Compliance Officer of Park Avenue Securities (PAS) will be responsible for representing the firm to regulatory bodies and other key constituents as well as having responsibility for the overall compliance framework for PAS as a dually registered broker-dealer...
Holiday work
Full time
Remote job
Offshore
Flexible hours
2 days per week
...Chief Compliance Officer
About the Company
Leading pharmaceutical
Industry
Pharmaceuticals
Type
Privately Held
About the Role
The Chief Compliance Officer will be responsible for establishing healthcare programs, providing comprehensive compliance...
...Bank’s business strategies and objectives. Provide advice on compliance with governing regulations and Bank internal policies and procedures... ...related support personnel. Coordinate with other Compliance officers to ensure training is consistent across businesses. In...
Flexible hours
**NY - Compliance Officer in Broker Dealer**
**Location:** New York, US *Intesa Sanpaolo is the banking group leader in Italy. Assisting more than 14,6 milion of retail customers through a network of 5360 branches, it significantly supports the development of Companies...
