- Conduct reviews under the Groups annual review program pursuant to Rule 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 transaction reviews, investment restriction reviews; vendor management reviews, social media and political contributions testing
- Prepare regulatory filings (i.e. ADV, Form 13F, Form PF)
- Prepare Compliance Board Reports
- Complete compliance reports for clients as and when requested.
- Ad-hoc queries from business
- General administrative support: Review RFPs, information questionnaires and the like
- Handle special projects and/or other duties as assigned by CCO and Management
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Compliance Officer
6 days 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 ...
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Compliance Officer
4 days 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 ...
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Compliance Officer
1 week 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 ...
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Compliance Officer, Us
1 week ago
Raisin New York, United StatesYour 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 ...
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Compliance Business Officer
1 day ago
Sumitomo Mitsui Banking Corporation New York, United StatesSMBC 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 ...
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Research Compliance Officer
6 days 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 ...
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Insurance Compliance Officer
1 week 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 ...
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Investigations and Compliance Officer
4 days 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 ...
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Aml-kyc Compliance Officer
3 days 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 ...
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Trust Compliance and Risk Officer
2 weeks ago
Amalgamated Bank of NY New York, United StatesAmalgamated 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 ...
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Regulatory Change Compliance Officer
3 days 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 ...
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Employee Compliance Officer
2 weeks ago
Sumitomo Mitsui Banking Corporation Jersey City, United StatesSMBC 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 ...
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Homecare Compliance Officer
1 week 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 ...
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Homecare Compliance Officer
1 week ago
Anchor Health Home Care Brooklyn, United StatesAs 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 ...
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Fincrime Compliance Officer Legal Rules
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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 ...
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Corporate Banking Compliance Officer, Avp
4 days 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 ...
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Control Group Compliance Officer
1 week ago
DataAxxis Jersey City, United States**Position: Compliance Control Group Officer** · Contract Length: 4-months (military leave) · Pay Rate: 1099/C2C $650- $820 · Location: Hybrid/Manhattan or Jersey City Office · **Company Description**: · We are a global leading full-service investment banking and capital markets ...
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Barclays New York, United States**Financial Crime Compliance Officer Legal Rules and Regulations Vice President** · **New York, NY** · As a Barclays Financial Crime Compliance Officer Legal Rules and Regulations Vice President, you will be directly assisting the Americas Head of Financial Crimes. This is an opp ...
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Santander US New York, United StatesExecutive Director, Compliance-Control Room Officer · New York, United States of America · The Santander CIB (US) Control Room administers policies and procedures to prevent or detect insider trading and identify and manage potential transactional conflicts of interest. The ED, C ...
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NYC Careers New York, United States**Labor Compliance Officer, Labor Monitoring Unit**: · - Apply**Labor Compliance Officer, Labor Monitoring Unit**: · - Agency: HOUSING PRESERVATION & DVLPMNT · - Posted on: 04/18/2024- Job type: Full-time · Location · NYC-ALL BOROS · - Title Classification: No exam required · Dep ...