Jobs
>
New York City

    Senior Compliance Officer - New York, United States - Chardan

    Chardan
    Chardan New York, United States

    3 weeks ago

    Default job background
    Description

    Title: Senior Compliance Officer (Control Room)

    About the Company:

    Chardan is an independent global investment bank specializing in healthcare, technology, SPACs and emerging growth companies. Our range of services include capital raising, merger and acquisition advisory, strategic advisory, equity research, corporate access, and institutional trading. Headquartered in New York City, Chardan is a registered broker-dealer with the U.S. Securities and Exchange Commission and is a member of the following: FINRA, SIPC, NASDAQ and the NYSE Arca, Inc.

    Chardan is seeking an experienced Compliance professional who will be responsible for ensuring Chardan functions in a legal and ethical manner while meeting our business goals. The role is structured as blended Investment Banking, Capital Markets, Research, and Control Group. AML experience helpful, but not required.

    Job Responsibilities

    · Assist and advise Investment Banking and Capital Markets on Public and Private transactions.

    · Manage and facilitate Regulation M processes and Distribution Manager filings.

    · Review and maintain the Firm's Watch and Restricted Lists, including seeking and responding to updates from investment banking teams to review and resolve transactional conflicts.

    · Advisor to business groups on MNPI, Information Barriers, wall crossing procedures, sensitive information and need to know policies.

    · Assist and advise Research on permitted activities, Research Report content and required disclosures.

    · Advise management on implementation of an effective legal compliance program and ensure the staff is educated on the latest regulations, processes, and potential risks.

    · Create and manage effective action plans in response to compliance violations.

    · Monitor electronic communications and trading activity for AML and general compliance issues and effectively escalate any concerns as appropriate.

    · Monitor communications between restricted groups of employees, act as gatekeeper and chaperone permitted conversations between restricted groups of employees to ensure they are in line with the firm's conflicts of interest policy.

    · Maintain records and logs of permitted communications as well as identify and escalate potential compliance issues arising out of communications.

    · Participate in the drafting of compliance related policies and procedures.

    · Perform ad-hoc special projects as assigned by the Chief Compliance Officer.

    Job Qualifications

    · Bachelor's degree in a related field or relevant experience with fluent knowledge of US financial regulation framework, risk management and industry principles.

    · Series 7, 14 and 24 certifications (27 and 55/57 a plus).

    · 5+ years of Compliance experience within an Investment Advisory, Broker Dealer, Regulatory, and/or Compliance Consulting firm.

    · Highly organized self-starter with excellent judgment and strong attention to detail Broad knowledge of Global Research Settlement, Equity Research Sales and Advisory functions.

    · Understand Capital Markets rules and transactions.

    · Understand settlement operations, trading, and related controls.

    · Understanding of research regulations such as FINRA 2241 & 2242, Rule 138 & 139.

    · Ability to think analytically and provide advice based on sound judgment.

    · Work effectively in a team environment and foster effective relationships.

    · Be able to react in a fast-paced environment, managing a wide variety of requests.

    · Be able to work positively and make decisions under time pressure.

    · Be able to interpret and apply SEC, FINRA and other regulatory rules.

    · Strong communicator with ability to influence and challenge across all levels of the organization.

    · Microsoft Office Suite proficient (Outlook, Word, PowerPoint, and Excel).

    Chardan is an Equal Opportunity/Affirmative Action employer and does not discriminate on the basis of race, gender, ancestry, color, religion, sex, age, marital status, sexual orientation, gender identity, national origin, medical condition, disability, veteran's status, or any other basis protected by law.

  • NYC Careers

    Compliance Officer

    1 week ago

    NYC Careers Manhattan, United States

    **Compliance Officer**: · - Apply**Compliance Officer**: · - Agency: OFFICE OF THE COMPTROLLER · - Posted on: 05/15/2024- Job type: Full-time · Location · MANHATTAN · - Title Classification: No exam required · Department · Asset Management · - Salary range: $125, $140, The Office ...

  • Kohlberg Kravis Roberts & Co.

    Compliance Officer

    2 weeks ago

    Kohlberg Kravis Roberts & Co. New York, United States

    **COMPANY OVERVIEW** · KKR & Co. Inc., together with its subsidiaries, is a leading global investment firm that offers alternative asset management and capital markets and insurance solutions. KKR aims to generate attractive investment returns by following a patient and disciplin ...

  • Piermont Bank

    Compliance Officer

    1 week ago

    Piermont Bank New York, United States

    **About Us**: · **The Role**: · The Compliance Officer is responsible for all aspects of the consumer compliance program to ensure Piermont Bank adheres to applicable laws, regulations, and in-house policies and procedures while keeping abreast of all regulatory developments and ...

  • Catholic Charities Community Services

    Compliance Officer

    1 week ago

    Catholic Charities Community Services New York, United States

    **Description** · Summary: This position is responsible for the administration of Human Resources policies, procedures, and programs including Compliance, Training & Development, and Employee Relations. · Essential Functions and Responsibilities include the following. Other dutie ...

  • S&P Global

    Compliance Officer

    1 day ago

    S&P Global New York, United States

    **About the Role**: · **Grade Level (for internal use)**: 12 · **The Role**: Compliance Officer · **The Team**: Working with Compliance Officers both in North America and globally, the Compliance Officer will be the primary liaison point between any assigned Ratings Practice (and ...

  • New York State Psychiatry Institute

    Research Compliance Officer

    1 week ago

    New York State Psychiatry Institute New York, United States

    **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 R ...

  • Sonata Healthcare

    Insurance Compliance Officer

    2 weeks ago

    Sonata Healthcare New City, United States

    **Sonata Care is one of the top insurance brokerages in the nation**. We are looking for an experienced Insurance Compliance Officer to join our team · We have a 5-star office environment - our company is growing fast, and this is an opportunity for you to come onboard and grow w ...

  • Raisin

    Compliance Officer, Us

    2 weeks ago

    Raisin New York, United States

    Your Responsibilities · As our US Compliance officer, you'll be the lead for compliance in one of our fastest-growing and dynamic teams. You'll lead our independent function in the US and report into our Compliance team based in Head Office, but will work closely with the US exec ...

  • Sumitomo Mitsui Banking Corporation

    Compliance Business Officer

    1 week ago

    Sumitomo Mitsui Banking Corporation New York, United States

    SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. The Group has more than 130 offices and 80,000 ...

  • NYC Careers

    Investigations and Compliance Officer

    1 week ago

    NYC Careers New York, United States

    **Investigations and Compliance Officer**: · - Apply**Investigations and Compliance Officer**: · - Agency: DEPT OF CITYWIDE ADMIN SVCS · - Posted on: 05/16/2024- Job type: Full-time · Location · NYC-ALL BOROS · - Title Classification: No exam required · Department · Citywide Equi ...

  • Columbia University

    Compliance Officer

    1 week ago

    Columbia University Manhattanville, United States

    Job Type: Officer of Administration · - Regular/Temporary: Temporary · - End Date if Temporary: 12/31/2024 · - Hours Per Week: 35 · - Salary Range: $112,000 - $137,100 · - The salary of the finalist selected for this role will be set based on a variety of factors, including but n ...

  • Jefferies & Company, Inc.

    Vp, Compliance Officer

    4 days ago

    Jefferies & Company, Inc. New York, United States

    Compliance Officer - Operations & Regulatory Reporting Oversight · **Description**: · - Provide compliance advice, oversight on operational rules and regulations for securities and swaps to Front Office, Middle and Back office. (e.g. T+1, Turnaround Rule, Margin, Settlements, Int ...

  • Amalgamated Bank of NY

    Trust Compliance and Risk Officer

    3 weeks ago

    Amalgamated Bank of NY New York, United States

    Amalgamated Bank is seeking a Trust Compliance & Risk Officer to be responsible for the Compliance and Risk Management Program for the Bank's Investment Management Division/Trust Department and compliance with applicable federal/state laws and regulations, contractual obligations ...

  • Société Générale

    Regulatory Change Compliance Officer

    1 week ago

    Société Générale New York, United States

    **Responsibilities**: · Responsibilities include, but are not limited to: · - Monitoring, reviewing, tracking, and disseminating changes to applicable laws, rules, and regulations to determine applicability and impact to SG's U.S. business operations · - Communicating regulatory ...

  • EF Hutton

    Aml-kyc Compliance Officer

    1 week ago

    EF Hutton New York, United States

    **The Company** · EF Hutton is a fast-paced, high-growth, global investment bank founded by experienced investment professionals that have collectively financed over $250 billion for public and private companies alike. EF Hutton offers strategic advice and financing solutions to ...

  • Sumitomo Mitsui Banking Corporation

    Employee Compliance Officer

    3 weeks ago

    Sumitomo Mitsui Banking Corporation Jersey City, United States

    SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. The Group has more than 130 offices and 80,000 ...

  • Anchor Health Home Care

    Homecare Compliance Officer

    2 weeks ago

    Anchor Health Home Care Brooklyn, United States

    As a **Compliance Officer **you will be responsible to implement compliance policies and procedures throughout our nursing and HR departments to ensure that all processes are in compliance with the DOH regulations. · **Compliance Officer Responsibilities and Requirements**: · - I ...

  • Anchor Health Home Care

    Homecare Compliance Officer

    2 weeks ago

    Anchor Health Home Care Brooklyn, United States

    _At Anchor Health Home Care, we deeply appreciate the privilege of being welcomed into the family circle to provide care for our neighbors' beloved family members._ Our dedicated corporate office team at Anchor Health Home Care serves as the central hub for communication among cl ...

  • Barclays

    Fincrime Compliance Officer Legal Rules

    2 weeks ago

    Barclays New York, United States

    **FinCrime Compliance Officer Legal Rules, Regulations, and Trade Finance Vice President** · **New York, NY** · As a Barclays FinCrime Compliance Officer Legal Rules, Regulations, and Trade Finance Vice President (VP), you will be directly assisting the Americas Head of Financial ...

  • MUFG Bank, Ltd.

    Corporate Banking Compliance Officer, Avp

    1 week ago

    MUFG Bank, Ltd. New York, United States

    **Do you want your voice heard and your actions to count?** · Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 7th largest financial group in the world. Across the globe, we're 120,000 colleagues, striving to make a difference for every client, organizati ...