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Broker Dealer Compliance
2 weeks ago
icapitalnetwork New York, United StatesiCapital is powering the world's alternative investment marketplace. Our financial technology platform has transformed how advisors, wealth management firms, asset managers, and banks evaluate and recommend bespoke public and private market strategies for their high-net-worth cli ...
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Broker Dealer Compliance
1 hour ago
iCapital New York, United StatesiCapital is powering the world's alternative investment marketplace. Our financial technology platform has transformed how advisors, wealth management firms, asset managers, and banks evaluate and recommend bespoke public and private market strategies for their high-net-worth cli ...
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Broker Dealer Compliance
4 hours ago
iCapital New York, United StatesJob Description · Job DescriptioniCapital is powering the world's alternative investment marketplace. Our financial technology platform has transformed how advisors, wealth management firms, asset managers, and banks evaluate and recommend bespoke public and private market strate ...
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Director, Swap Dealer Compliance
5 days ago
Greenwood Martin New York, United StatesOur client, a well-respected boutique bank, is seeking to add a Director to their Swap Dealer Compliance Team. This is an amazing opportunity to join a top firm with an excellent corporate culture, benefits, and compensation package. · Qualifications · Bachelor's degree in Financ ...
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Broker Dealer Compliance
2 weeks ago
iCapital New York, United StatesiCapital is powering the world's alternative investment marketplace. Our financial technology platform has transformed how advisors, wealth management firms, asset managers, and banks evaluate and recommend bespoke public and private market strategies for their high-net-worth cli ...
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VP Compliance Testing Swap Dealer
1 week ago
Experis New York, United StatesOur top banking client is seeking a Vice President of Compliance Monitoring & Testing (Swaps) to join their office in New York City. This position will · play an integral role in the development of the Monitoring and Testing program, and will have coverage over the banks Swap Dea ...
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Broker Dealer Compliance
3 days ago
The Ladders New York, United StatesiCapital is powering the world's alternative investment marketplace. Our financial technology platform has transformed how advisors, wealth management firms, asset managers, and banks evaluate and recommend bespoke public and private market strategies for their high-net-worth cli ...
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Broker Dealer Compliance
2 weeks ago
iCapital New York, United StatesJob Description · Job DescriptioniCapital is powering the world's alternative investment marketplace. Our financial technology platform has transformed how advisors, wealth management firms, asset managers, and banks evaluate and recommend bespoke public and private market strate ...
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Broker Dealer Compliance Associate Director
1 week ago
Trevose Partners Limited New York, United StatesOur client, a certified public accounting firm, have been partnering with financial service businesses looking to outsource specific functions. · Our client, a certified public accounting firm, have been partnering with financial service businesses looking to outsource specific f ...
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Swap Dealer Compliance Associate
4 weeks ago
Phaxis New York, United StatesCurrently partnered with an established growing broker dealer that is seeking a strong Swap Dealer Compliance Associate to join their team in NYC. The ideal candidate will have a strong compliance background from a Broker-Dealer and a deep understanding of NFA, CFTC, and Dodd Fra ...
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Swap Dealer Compliance Associate
2 weeks ago
Phaxis LLC New York, United StatesEstablished broker dealer is seeking a compliance candidate with swap dealer experience to join their growing team. · Responsibilities: · Lead compliance efforts for all Swaps executed through the Firm's Swap Execution Facility (SEF), serving as the primary point of contact for ...
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Swap Dealer Compliance Officer
4 weeks ago
Societe Generale SA New York, United States**Welcome to the Societe Generale Careers website.** · Swap Dealer Compliance Officer · Permanent contract| New York| Compliance **Swap Dealer Compliance Officer** · New York, United States Permanent contract Compliance ** Responsibilities** · Recommend and implement changes ...
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Goldman Sachs New York, United StatesGLOBAL COMPLIANCE · Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through the firm's enterprise-wide compliance risk management pro ...
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Swap Dealer Compliance VP
1 day ago
State Street New York, United States OTHERSwap Dealer Compliance, Vice President · Who we are looking for · Swap Dealer Compliance seeks a Compliance Officer to advise internal stakeholders on implementation and development of Securities & Exchange Commission ("SEC), Commodity Futures Trading Commission ("CFTC") and Nati ...
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Capital One Financial Corp New York, United StatesNYC 299 Park Avenue , United States of America, New York, New York. Commercial Broker Dealer Chief Compliance Officer - Sr. Director. The Sr. Director will be the Commercial Broker Dealer Chief Compliance Officer (BD CCO) for three instituti Dealer, Compliance Officer, Director, ...
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Natixis Corporate & Investment Banking New York, United StatesNatixis seeks vp-level Compliance Officer to join and grow with the CIB Americas Compliance Department. As a member of the Compliance Advisory Team, the Compliance Officer will provide day to day coverage of SEC Security-Based Swap Dealer (SBSD) regulation, CFTC Swap Dealer (SD) ...
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Groupe BPCE New York, United StatesPoste et missions · Natixis seeks vp-level Compliance Officer to join and grow with the CIB Americas Compliance Department. As a member of the Compliance Advisory Team, the Compliance Officer will provide day to day coverage of SEC Security-Based Swap Dealer (SBSD) regulation, C ...
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Natixis Corporate & Investment Banking New York, United StatesNatixis seeks vp-level Compliance Officer to join and grow with the CIB Americas Compliance Department. As a member of the Compliance Advisory Team, the Compliance Officer will provide day to day coverage of SEC Security-Based Swap Dealer (SBSD) regulation, CFTC Swap Dealer (SD) ...
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Broker-dealer Compliance Associate
1 week ago
Fifth Avenue Financial New York, United States**Position Summary & Overall Purpose** · The Compliance Associate is responsible for completing a wide variety of compliance and assigned supervisory tasks with respect to the agency's securities business through MML Investors Services, LLC. ("MMLISI") and its insurance business ...
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Natixis Corporate & Investment Banking New York, United StatesNatixis seeks vp-level Compliance Officer to join and grow with the CIB Americas Compliance Department. As a member of the Compliance Advisory Team, the Compliance Officer will provide day to day coverage of SEC Security-Based Swap Dealer (SBSD) regulation, CFTC Swap Dealer (SD) ...
Broker Dealer Compliance - New York, United States - The PeterSan Group and PeterSan Legal Staffing
Description
We represent alternative investment financial technology platform looking to hire an Assistant Vice President or Vice President candidate to join its Regulatory and Compliance team and focus on Marketing. Responsibilities will include leading a team in reviewing all marketing materials and client communications generated by their registered broker dealer subsidiary and SEC registered investment advisors. This individual will be responsible for ensuring compliance with all communications and advertising rules, working with the Distribution and Marketing teams and generally assisting the Legal and Compliance team with various compliance focused tasks, including updates to policies and procedures and monitoring and testing.
Qualifications
5-8 years of experience, preferably with both broker dealer and registered investment advisor experience
Strong knowledge of the Investment Company Act of 1940, the Investment Advisers Act of 1940, including SEC , and FINRA regulations
Experience with alternative investments and structured investments, as well as an understanding of compliance restrictions around private placements and registered products
JD is a plus
Series 24 must be obtained upon hire or shortly thereafter
#24-21
