Senior Compliance Officer - Greenwich, United States - Larson Maddox

Compliance Officer

3 weeks ago

Compliance Officer / Regulatory Counsel Regulated Funds (1940 Act) · A prestigious Asset Manager focused on income-oriented credit investments is hiring a Compliance Officer / Regulatory Counsel. This firm is an investment adviser registered with the Securities and Exchange Comm ...

Compliance Officer

4 weeks ago

Compliance Officer / Regulatory Counsel – Regulated Funds (1940 Act) · A prestigious Asset Manager focused on income-oriented credit investments is hiring a Compliance Officer / Regulatory Counsel. This firm is an investment adviser registered with the Securities and Exchange Com ...

Compliance Officer

3 weeks ago

Compliance Officer / Regulatory Counsel Regulated Funds (1940 Act) · A prestigious Asset Manager focused on income-oriented credit investments is hiring a Compliance Officer / Regulatory Counsel. This firm is an investment adviser registered with the Securities and Exchange Comm ...

Compliance Testing Officer

3 weeks ago

Job Description · Interactive Brokers LLC is looking for a motivated and talented Compliance Testing Officer who is knowledgeable of U.S. securities and/or commodities regulations, and has appropriate experience at a broker / dealer, regulatory agency, exchange, accounting firm o ...

Compliance Testing Officer

2 weeks ago

Job Description · Job DescriptionJob DescriptionInteractive Brokers LLC is looking for a motivated and talented Compliance Testing Officer who is knowledgeable of U.S. securities and/or commodities regulations, and has appropriate experience at a broker / dealer, regulatory agenc ...

Compliance Testing Officer

3 weeks ago

Responsibilities · Performing broker dealer compliance testing reviews aimed at assessing the organization's ability to comply with applicable regulatory requirements · The testing will focus on key regulatory requirements, controls and processes related to securities, banking ...

Compliance Officer

4 weeks ago

Compliance Officer / Regulatory Counsel – Regulated Funds (1940 Act) · A prestigious Asset Manager focused on income-oriented credit investments is hiring a Compliance Officer / Regulatory Counsel. This firm is an investment adviser registered with the Securities and Exchange Com ...

Compliance Officer

3 weeks ago

Compliance Officer / Regulatory Counsel Regulated Funds (1940 Act)A prestigious Asset Manager focused on income-oriented credit investments is hiring a Compliance Officer / Regulatory Counsel. This firm is an investment adviser registered with the Securities and Exchange Commissi ...

Studio Compliance Officer

4 days ago

The Compliance Officer will be responsible for overseeing operational and studio compliance for the Fairfield, CT live studios. · Essential Job Function & Responsibilities · Adaptable and agile, can work in a fast-paced environment and respond and re-prioritize quickly when inte ...

Compliance Testing Officer

3 weeks ago

Responsibilities · Performing broker dealer compliance testing reviews aimed at assessing the organization's ability to comply with applicable regulatory requirements · The testing will focus on key regulatory requirements, controls and processes related to securities, banking pr ...

Studio Compliance Officer

3 days ago

The Compliance Officer will be responsible for overseeing operational and studio compliance for the Fairfield, CT live studios. · Essential Job Function & Responsibilities · Adaptable and agile, can work in a fast-paced environment and respond and re-prioritize quickly when int ...

Studio Compliance Officer

1 day ago

Job Description · Job DescriptionCompany Description · America's 1st online casino is hiring talent At Evolution, our talent is live, the players are virtual. Join the evolution: · Evo is a developer and supplier of virtual casino games, since 2006. We evolve the gaming industry ...

Senior Compliance Officer

2 weeks ago

This range is provided by Larson Maddox. Your actual pay will be based on your skills and experience talk with your recruiter to learn more.Base pay range $200,000.00/yr - $240,000.00/yrA leading securitization and asset management firm with a focus on residential mortgage loans ...

Compliance Testing Officer

4 weeks ago

Responsibilities · Performing broker dealer compliance testing reviews aimed at assessing the organization's ability to comply with applicable regulatory requirements · The testing will focus on key regulatory requirements, controls and processes related to securities, banking ...

Compliance Testing Officer

3 weeks ago

Job Description · Interactive Brokers LLC is looking for a motivated and talented Compliance Testing Officer who is knowledgeable of U.S. securities and/or commodities regulations, and has appropriate experience at a broker / dealer, regulatory agency, exchange, accounting firm o ...

Compliance Officer

3 weeks ago

Global multi-strategy hedge fund is looking to hire a Compliance Officer in New York City or Jersey City. · This strategic hire will play a key role in running the day-to-day compliance program as they continue to build a best-in-class compliance team. · The ideal candidate will ...

Compliance Officer

2 weeks ago

Description · Job 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 followi ...

Compliance Officer

2 weeks ago

The Office of the New York City Comptroller's Bureau of Asset Management (BAM) supports the Comptroller in his role as investment advisor, custodian, and trustee for each of the five New York City public pension systems. BAM oversees more than $250 billion dollars in assets under ...

Compliance Officer

2 weeks ago

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 disciplined i ...

Compliance Officer

2 weeks ago

Will include conducting beneficial owner and control person due diligence on participants in transactions as well as assisting with GPIM client and collective investment vehicle investor AML/ KYC on-boarding. The Compliance Officer is located in our Compliance Officer, Officer, C ...