Compliance Associate/VP - New York, NY

The Compliance Associate/VP will be responsible for day-to-day compliance functions relating to our investment advisory business.The individual must have knowledge of the Investment Advisers Acts and experience with compliance responsibilities of SEC-registered investment adviser ...

A rapidly growing Private Equity firm is seeking a Compliance Associate/ VP to manage their fund's compliance program. · ...

We are looking for individuals who thrive in a culture of builders and overachievers and embrace high performance, transparent feedback, and a mission-first approach. · ...

· The Compliance Associate/VP is responsible for administering and further developing the firm's investor and transactional Anti-Money Laundering (AML) and Know Your Customer (KYC) diligence and monitoring program. · ...

A newly launched and rapidly growing Private Equity firm is seeking a Compliance Associate/VP to join their team. · ...

A leading global investment platform with $100B+ AUM is seeking an Investment Compliance VP to join its growing New York office. · Serve as part of the firm's Control Room: conflicts clearance, wall-crossing, · restricted list oversight, and MNPI management. · Review and negotiat ...

Our elite global Alternative Investment Management client is seeking to recruit an experienced VP Compliance with demonstrated investment adviser compliance program development and implementation experience in the alternative investment industry. · ...

We are seeking to recruit an experienced VP Compliance with demonstrated investment adviser compliance program development and implementation experience in the alternative investment industry. · ...

Our elite global Alternative Investment Management client is seeking to recruit an experienced VP Compliance with broad alternative investment advisory compliance experience and deep knowledge of the Investment Advisers Act and Investment Company Act. · ...

A leading global investment platform with $100B+ AUM is seeking an Investment Compliance VP to join its growing New York office. · ...

We are always in search of talented individuals to join our team and embark on an exciting career path. · ...

An investment bank located in Midtown Manhattan looking to bring on board a Compliance Officer to join their team. · ...

The TD Securities US Compliance team is looking for Vice President to join the Trade Surveillance team focused on Communications. · The VP Compliance TDS oversees/leads a team(s) of specialists/professionals providing advice, guidance and expertise on regulatory requirements and ...

+ oversee/lead a team(s) of specialists/professionals providing advice, guidance and expertise on regulatory requirements + manage regulatory reviews including inquiries, audits, and exams + monitor regulatory developments to ensure firm's conflict management program remains best ...

We are seeking an experienced Conflicts Officer to join our Compliance Control Room at TD Securities.This role is critical in reviewing, managing and mitigating conflicts of interest across the firm’s global business lines. · The ideal candidate will bring between 5-7 years of sp ...

The TD Securities US Compliance team is looking for Vice President to join the Trade Surveillance team focused on Communications. · The VP Compliance TDS oversees/leads a team(s) of specialists/professionals providing advice, guidance and expertise on regulatory requirements and ...

+Job summary · The TD Securities US Compliance team is looking for Vice President to join the Trade Surveillance team focused on Communications. · +ResponsibilitiesConsistently exercise discretion in managing correspondence, information and all matters of confidentiality; escalat ...

We are seeking an experienced Conflicts Officer to join our Compliance Control Room at TD Securities. · Identify, assess, and resolve potential and actual conflicts of interest across TDS Securities. · Work closely with the Conflicts Director on the design, implementation, and co ...

This role is designed for a dynamic individual who has extensive experience in audit and compliance response. · Act as a project management advisor to NYCT's modal departments; · Evaluate vulnerabilities and risks to identify potential issues; · ...

We are seeking an experienced Conflicts Officer to join our Compliance Control Room at TD Securities. · Identify, assess, and resolve potential and actual conflicts of interest across TDS Securities with a primary focus on Corporate and Investment Banking, Capital Markets, Commer ...