Average salary: $114,232 /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...
Suggested
...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...
Suggested
...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
...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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...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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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
...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
...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...
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...
Suggested
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
...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
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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...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
...City Wide Facility Solutions is actively seeking a Contract Compliance Officer - Night Shift for our Franchise location in Northern New Jersey (Westwood, NJ)
City Wide, the nations leading management company in the building maintenance industry, provides solutions to...
Contract work
Part time
For contractors
Immediate start
Night shift
...Purpose:
Contributes to the overall success of the advisory compliance coverage of the Corporate & Investment Banking and Research... ...Loan Obligations (CLO). The CIB and Research Compliance Officer assists in the provision of advice on compliance with governing...
Flexible hours
