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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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...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 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
...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
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...
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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...
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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...
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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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...regulations, and accreditation standards. The CCPO leads the design, development, implementation, and maintenance of the enterprise-wide compliance, risk management system, policies and procedures development, and standardization of processes.
ESSENTIAL JOB FUNCTIONS:...
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Internship
Local area
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...
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Holiday work
Full time
Remote job
Offshore
Flexible hours
2 days per week
...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...
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Full time
Local area
**Chief Compliance Officer, Broker Dealer**
New York City / Legal Legal / Full Time **About Yieldstreet** Yieldstreet is building the largest global digital wealth management platform to change the way wealth is created. With an investor-first approach, our investor...
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Full time
...innovation.
Why we're looking for you
With enormous growth and sales consistently beating quotas, we need our first Legal and Compliance Officer to help build and scale all aspects of the legal and compliance function. Our product is at the intersection of banking and...
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Remote job
...Update date
18/04/2024
Job description
Business type
Types of Jobs - Compliance / Financial Security
Job title
AML / OFAC Compliance officer
Contract type
Permanent Contract
Job summary
Summary:
Reporting to the Head of Financial...
Permanent employment
Contract work
Bank staff
Worldwide
...financial institutions as well as complete order routing transparency featuring real-time visualization.
The Role
The Compliance Officer is an integral part of our DASH Compliance team. Compliance professionals facilitate business decisions within a dynamic regulatory...
Worldwide
...FIRNA rules and regulations applicable to equity market making, agency trading and options trading. Develop, implement, and maintain policies and procedures across equity sales and Compliance Officer, Sales, Equity, Compliance, Officer, SEC, Banking, Business Services...
...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...
...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...