Average salary: $80,000 /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
...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
..., 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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...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
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
...Retirement plan with employer match for full time employees.
Tuition reimbursement.
Free meals in our onsite cafeteria!
PSA Compliance Officer Responsibilities:
The PSA Compliance Officer educates, trains, and advises on policies/procedures and Prevention of Sexual...
Suggested
Full time
Temporary work
Interim role
Local area
...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
...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
Pharmko -
Compliance Officer & Accrediting Lead
ACHC
HIT
PCAB
SPECIALTY
VPP
USP 797
CMS compliance
ASPEN
LCD/NCD DME guidelines
self audits
Entirely owns the compliance and process of acrediting and maintaining the programs above...
Suggested
Monday to Friday
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...
Suggested
Local area
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...
Suggested
Local area
Work from home
Worldwide
Flexible hours
...life possible. Recently named a Forbes America's Best-In-State Employer 2022!
Responsibilities:
The Life Safety and Compliance Officer will be responsible for planning, organizing and managing the six Environment of Care (EOC) plans, Statement of Conditions,...
Suggested
Holiday work
Interim role
...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...
Suggested
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...
Permanent employment
Full time
...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
...Serving both SUNY Geneseo and SUNY Fredonia, the Harassment and Discrimination Investigator and Compliance Officer serves as the lead person investigating and resolving complaints of protected class harassment and discrimination, sexual misconduct, gender-based discrimination...
Remote job
Weekend work
Afternoon shift
...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...
Contract work
Flexible hours
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
