Vice President, Compliance, Investments - New York, NY, United States

We are working with a lean growing investment firm $4BN AUM specializing in credit & alternative investment strategies that is expanding its Investment Advisory Core Compliance team, · Support development execution of OCM compliance program accordance Investment Advisers Act 1940 ...

This role involves providing hands-on compliance coverage and supporting daily monitoring and regulatory requirements. · Performing daily compliance monitoring using Charles River · Reviewing trades, positions, and portfolios to ensure adherence to investment guidelines and regul ...

We're seeking a future team member for the role of Director, Compliance and Control to join our BNY Investments team. This role is located in New York, New York.  · This role will support multiple affiliated SEC Registered Investment Advisers (RIAs). You will support robust compl ...

An Asset Management Firm seeks an Investment Compliance Professional to manage Pre-Trade and Post-Trade Alerts in Charles River (CRD), ensure trades comply with regulatory requirements and internal procedures. · ...

A leading global investment platform seeks an Investment Compliance VP to join its growing New York office. · ...

We're seeking a future team member for the role of Director, Compliance and Control to join our BNY Investments team. · This role will support multiple affiliated SEC Registered Investment Advisers (RIAs). · You will support robust compliance program within BNY Investments. · You ...

Our client, a well-known Asset Management firm is looking to add a Compliance Consultant to their team on a 3–4 month contract, with the potential to extend or convert. · ...

We are seeking a future team member for the role of Director, Compliance and Control to join our BNY Investments team. · ...

We are working with a lean, growing investment firm ($4BN AUM) specializing in credit & alternative investment strategies that is expanding its Investment Advisory Core Compliance team. · This is a great opportunity to join a lean, high-visibility, growth-oriented team. 4–6 year ...

We are seeking a seasoned Compliance professional with deep expertise in Investment Banking, Capital Markets and Research regulatory frameworks. The ideal candidate will have extensive knowledge of Client and SEC rules. · Acts as primary compliance advisor to the Investment Banki ...

Atlantic Group is hiring an Investment Management Compliance Analyst in New York, NY for our client, supporting regulatory compliance within a registered investment adviser and asset management environment. · ...

This job description represents a sample Investment Compliance Analyst position commonly found through the Career Launch AI Talent Network. · Initio Capital · ...

A · Growing Out-Sourced Compliance Consulting Firm is currently seeking an experienced Investment Adviser compliance professional.This is a unique opportunity to join a rapidly growing company and work on cutting-edge projects. · ...

Growing Investment banking client is seeking a seasoned compliance professional with deep expertise in Investment Banking, Capital Markets and Research regulatory frameworks. · ...

Ares is seeking a Vice President, Investment Compliance Engineering Lead to join Corporate Technology in New York, · Lead engineering delivery and operational ownership for the Investment Compliance technology portfolio. · Partner with Compliance leadership and investment stakeho ...

+We are seeking an Investment Compliance Engineering Lead to join Corporate Technology in New York, reporting to the Head of Legal Risk and Compliance Technology. · +Lead engineering delivery and operational ownership for the Investment Compliance technology portfolio · Partner w ...

Seeking a compliance associate at a securities industry regulatory consulting firm to establish and/or maintain the compliance program for its investment advisor clients. · ...

The Chief Compliance Officer will oversee the development, implementation, and monitoring of the global insurance compliance programs with an emphasis on the Reinsurance and Investment Management business lines at Global Atlantic. · Partner with the Individual Markets and Regulat ...

Seeking a compliance associate at a securities industry regulatory consulting firm to establish and/or maintain the compliance program for its investment advisor clients. · Bachelor's degree (Finance or related discipline preferred) · 2-3 years compliance experience at an investm ...

We are seeking a compliance associate to establish and/or maintain the compliance program for our investment advisor clients at DFP Regulatory Services. · ...

This is a great opportunity for someone looking to join a very lean team that will allow this individual to gain broader exposure across most of the company's infrastructure as well as broad exposure across all asset classes. · ...