Average salary: $87,500 /yearly
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..., 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...
Suggested
...The Global Atlantic Financial Group.
TEAM OVERVIEW
KKR's Compliance team is responsible for developing and enforcing compliance... ...capital markets.
POSITION SUMMARY
Based in one of KKR's core offices, this individual will be responsible for supporting various...
Suggested
...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
...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...
Suggested
Temporary work
3 days per week
A hedge fund in New York City is actively seeking an organized and diligent professional to join their staff as their new Compliance Officer. In this role, the Compliance Officer will focus on SEC and other regulatory compliance matters for the fund.
Responsibilities...
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...Description:
HPDs division of Economic Opportunity and Regulatory Compliance (EORC) promotes inclusion and economic opportunity while also... ...federal, state, and local labor laws. LMUs labor compliance officers analyze payroll records and make field visits to affordable...
Suggested
Full time
Local area
...Job Title: Trade Compliance Officer
Responsibilities:
Monitor trading activities to ensure compliance with relevant regulations, laws, and policies
work with traders to ensure that all trades are executed in compliance with regulatory requirements and...
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Our client, a large organization with recently revised remote guidelines, is looking for a Contract HR Compliance Officer who will be tasked with ensuring the organization's employment policies align with the needs of a dispersed workforce.Alongside a deep knowledge of...
Suggested
Hourly pay
Contract work
Freelance
Local area
Remote job
Flexible hours
..., our communities and the planet we all share.
This position will have responsibility for working with the advisory compliance officer responsible for coverage of the Futures and Options business as well as the futures product traded on US exchanges across house...
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Flexible hours
...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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...Description
Job Description Robert Half is working with a reputable construction company in Brooklyn, NY to hire their next Office and Compliance Manager. This person must have construction office management experience specializing in safety compliance. Expertise...
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...Job Title: Research Compliance Officer
Grade: 37
Salary: $167,905 - $190,003
The Research Foundation for Mental Hygiene is seeking a qualified applicant to fill a full-time Research Compliance Officer position at the New York State Psychiatric Institute.
The...
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Full time
Local area
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...
Suggested
Flexible hours
...Global Compliance
Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and... ...regulatory landscape.
Compliance Transformation Office
A new team created to transform and optimize the overall...
Suggested
Full time
Temporary work
Part time
...hard worker who leads by example.
Location: In our Soho, NYC Office at least three days a week
Compensation: Competitive market... ...Coordinate with CCO to develop the Firm's internal compliance dashboard for servicing client accounts, managing the books and...
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3 days per week
...Job Description
Job Description 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...
Holiday work
Part time
Work from home
Shift work
...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...
Second job
Worldwide
Flexible hours
Senior Compliance Officer - MNPI
This role will provide senior Compliance coverage in relation to handling of material non-public information as it pertains to firm trading, with a focus on distressed credit, CMBS and wall crossings. Operating in close partnership with...
Local area
...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...
Work experience placement
...for over 50 years and has locations globally.
Description
Report directly into the Compliance Director and work with other teams that include Client On boarding, Front Office, IT and Head Office Compliance personnel.
Responsible for reviewing and validating high...
Hourly pay
Contract work
Temporary work
Local area
Immediate start
