Senior Compliance Officer - New York

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. · ...

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

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. · ...

Virtu is seeking an experienced Compliance Officer to join their team.The role involves shaping Virtu's Compliance function through innovation, analytical thinking and improving existing processes. · ...

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 ...

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

This role is well suited for someone who wants broad regulatory exposure, · hands-on responsibility, and the opportunity to grow alongside a scaling platform.Broad exposure to both compliance and legal-adjacent work · Lean team environment offering a wide range of responsibilitie ...

A leading trading firm is seeking a Compliance Officer to join its advisory team. You'll work closely with the CCO on code of ethics. · This role offers the chance to serve as a trusted advisor. · ...

We are looking for a Compliance Officer to work in a small team. The position offers broad exposure across the business and an excellent opportunity to take on meaningful responsibility and develop quickly over time. · The job involves conducting regulatory analysis on new regula ...

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 are looking for a qualified and enthusiastic candidate to join the firm's global Legal and Compliance team in a Senior Compliance Officer role. This is a full-time position based out of Capstone's New York City headquarters. · Manage the trade compliance practice area; · Provi ...

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 ...

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 ...

+Job summary · 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, · ensuring adherence to regulatory standards. · Manage key projects, · filings, · and training initiatives. · +$130 ...

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 ...

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 ...

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. · ...

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 ...

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, · ...

A global technology driven financial firm is seeking a Compliance Officer to support its legal and compliance program across multiple trading and operational teams. · ...