...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
...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
...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...
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
...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...
Suggested
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
...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
...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
...Sr. BSA/AML Compliance Officer – To $100K – New York, NY – Job # 3271
Who We Are
The Symicor Group is a boutique talent acquisition firm based in Lincolnshire, IL & Rockport, TX. Our nationally unique value proposition centers around providing the very best available...
Suggested
Permanent employment
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...
Suggested
...Title: Executive Director & Clinical Compliance Officer
Location: Midtown
Org Unit: Compliance and Privacy Office
Work Days: Monday-Friday
Exemption Status: Exempt
Salary Range: $225,400.00 - $262,500.00
* As required under NYC Human Rights Law Int 120...
Suggested
Local area
Monday to Friday
...impact is rewarded.
The selected colleague will work at an MUFG office or client sites four days per week and work remotely one day. A... ...to enable more enriched discussions on risk/AML/Sanctions compliance issues, while managing the progress of KYCs from an end to end...
Suggested
Holiday work
Work experience placement
Local area
Remote job
Overseas
...Sr System Analyst (System Operation Dept - Compliance)
Job Info
112099
Posting Expiration Date:Apr 29, 2024
Schedule Type:Full-Time
Minimum Salary:$95000
Maximum Salary:$125000
Organization:System & Transmission Ops
Department:System Operation Department...
Full time
For contractors
Work experience placement
...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
...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:...
Internship
Local area
...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
...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
...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...
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
**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...
...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...
...Chief Compliance Officer
About the Company
Award-winning local brokerage firm
Industry
Financial Services
Type
Privately Held
About the Role
The Chief Compliance Officer will be responsible for managing and directing the firm's compliance programs...
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...
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...
Remote job
...with applicable AML laws and regulations.
Role
The Global Head of AML Risk Management - Wealth reports to Citi's Chief Compliance Officer (CCO) Anti-Money Laundering (AML) / Bank Secrecy Act (BSA) and will be responsible for driving change and the primary face-off...
Holiday work
Full time
$167.91k - $190k
...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....
Full time
Local area
...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