Broker Dealer Compliance Officer - New York

We are seeking two experienced Compliance Officers to support and strengthen our federal contract compliance program. · Earns full compliance with applicable federal contract requirements. · ...

The Regulatory & Reporting Oversight Officer will serve as a pivotal compliance leader partnering with Finance, Operations and Risk teams to ensure regulatory adherence, timely and accurate reporting and robust client asset protection. · Provide compliance advice on regulations g ...

The Firm's Legal and Compliance team is looking for an experienced, self-driven Compliance Officer to join the team. · Develop and implement policies and procedures across a variety of business units. · Coordinate with our global legal and compliance team to work on global initia ...

We see the world differently at Capstone Investment Advisors. You will too. · Capstone Investment Advisors LLC is a global asset manager dedicated to exploring alpha opportunities in derivatives and complementary strategies persisting across market cycles. · ...

The Regulatory & Reporting Oversight Officer will serve as a pivotal compliance leader partnering with Finance, Operations and Risk teams to ensure regulatory adherence, · Provide compliance advice on regulations governing financial and operational stability, · Oversee compliance ...

Step into a pivotal role with our client as a Compliance Officer in New York, NY. In this hybrid position, you will oversee the firm's compliance program. · ...

Citizens is seeking a highly motivated Compliance Officer to join the Swap Dealer Compliance team. · ...

A Compliance Officer opportunity with a leading financial firm and market maker providing liquidity across global markets. This role sits within the Legal and Compliance team and offers hands-on exposure to AML policy implementation and compliance monitoring in a dynamic trading ...

This position will work closely with the bank's US Head of Compliance to drive improvement with the bank's Compliance program.Contribute to the design, implementation and ongoing execution of the bank’s Compliance Program. · Serve as a compliance SME for consumer mortgage and com ...

Our client seeks Compliance Officer for enterprise-wide compliance program focusing on review of U.S. · Serve as central reviewer of marketing materials: presentations, pitchbooks... · ...

We help high- and ultra-high-net-worth individuals and families to enjoy a full life, while enabling them to preserve their wealth for future generations, and provide for the people, causes and communities they care about. · We are always looking for talented and motivated indivi ...

Step into a pivotal role with our client as a Compliance Officer in New York. In this hybrid position, you will oversee the firm's compliance program and collaborate with internal teams to maintain a robust compliance culture. · ...

Compliance officer role at Initio Capital in New York. Full-time position with estimated total annual compensation $145, · 000 - $185,000. · ...

A global investment management firm seeks a Compliance Officer in New York. The role reports to senior compliance leadership and works closely with both Compliance and Legal. · Assist with electronic communications reviews to help identify potential policy concerns. · Review and ...

The desired candidate has mid to senior level experience providing compliance advisory support for Operations and Regulatory Reporting Groups. The Regulatory & Reporting Oversight Officer will serve as a pivotal compliance leader partnering with Finance, Operations and Risk teams ...

The Compliance Officer is responsible for ensuring that the firm operates in accordance with internal policies and legal standards. The role involves monitoring trading and investment activities for compliance risks. · ...

We're looking for a highly analytical Compliance Officer - Quant Trading to support day‑to‑day compliance operations with a strong focus on data analysis, trade review, · and supporting quantitative and algorithmic trading workflows.Data & Trade Analysis Review daily trading data ...

G MASS Consulting are partnered with a leading Hedge Fund to appoint an experienced Compliance Officer who will take ownership of day-to-day regulatory governance and provide line-of-business coverage across its U.S. broker-dealer. · ...

This role offers the opportunity to work at the forefront of compliance within a dynamic asset management environment, · advising on complex regulatory matters and supporting innovative investment strategies. · You'll gain exposure to a wide range of products and transactions, · ...

The Regulatory & Reporting Oversight Officer will serve as a pivotal compliance leader partnering with Finance, Operations and Risk teams to ensure regulatory adherence, · timely and accurate reporting and robust client asset protection.Provide compliance advice, oversight on ope ...

We are seeking two experienced Compliance Officers to support and strengthen our federal contract compliance program. · ...