Co-Founder & CEO - AI RIA Compliance - New York

A Japanese Asset Management company seeks a Chief Compliance Officer- RIA( VP or SVP)- NYC. · 10+ years of compliance experience at an SEC registered RIA (CCO experience preferred) · ...

A Japanese Asset Management company seeks a Chief Compliance Officer- RIA( VP or SVP)- NYC. Reporting directly to the President and working within a nimble team in a hybrid NYC environment, this role owns Compliance end‐to‐end across equities, fixed income, and futures—and plays ...

We're committed to bringing talented and motivated people together to help our customers plan for a financially secure future. · Mutual of America's Compliance Department is seeking a Senior Compliance Analyst, · with experience in Registered Investment Adviser (RIA) and Register ...

+We're working with a growing RIA business as they look to add a Compliance Manager to their team. · +SUporting the GC/CCO on all manner of core compliance activities, · Draft, update, and implement firm policies and procedures in line with evolving regulatory requirements and bu ...

We take a people-first approach by investing in talent, empowering local leaders, and building a culture of exceptional execution, trust, and integrity. · Due Diligence, Gap Analysis & Remediation: Conduct seller compliance program due diligence (post LOI); work with ACA Global o ...

We're committed to bringing talented and motivated people together to help our customers plan for a financially secure future. · ...

Mutual of America's Compliance Department is seeking a Senior Compliance Analyst to assist the Chief Compliance Officer in managing compliance programs. The role will contribute to multiple compliance programs and work closely with RIA and RIC management. · Assist with updating R ...

We're working with a growing RIA business as they look to add a Compliance Manager to their team. · This role will support the GC/CCO on all manner of core compliance activities including marketing compliance support, · lead build-out of compliance program, · conduct due diligenc ...

The firm is seeking an experienced Finance Director with a background in wealth management or financial services and a broad understanding of the RIA business model and regulatory environment. · ...

Job summary · Comply is the leading provider of compliance SaaS and consulting services for the global financial services sector. As an Account Executive, you will play a crucial role in helping registered investment adviser (RIA), hedge funds, private equity, and other financial ...

Bondflow is expanding its US capital formation efforts and is seeking a senior distribution professional to drive AUM growth across private wealth and intermediary channels. · This is an execution-focused role within a defined platform structure. Success will be measured by pipel ...

We are seeking a Director of Finance – RIA / Wealth Management to join a rapidly growing independent RIA firm managing over $2B in AUM. · The successful candidate will serve as a strategic financial leader, overseeing firm-wide financial operations while partnering closely with e ...

High-impact individual contributor role overseeing financial operations and partnering with firm leadership to drive growth. · ...

We are seeking a Senior Compliance Officer to support the regulatory oversight of complex fixed income products and registered investment adviser (RIA) programs. · - Develop and maintain deep expertise in product structures, · - Partner with product and transaction teams to ident ...

The firm is seeking an experienced Controller with a background in wealth management and financial services to oversee financial operations and partner closely with firm leadership to drive long-term growth. · ...

We are looking for a high energy and self-motivated Account Executive-Core to join our team.You will play a crucial role and act as a trusted resource in helping registered investment adviser (RIA), hedge funds, private equity, and other financial firms solve their regulatory com ...

We work at the intersection of finance and law, · providing counsel and advice that support activities acrss the firm.We handle litigation and arbitration, · perform research and due diligence, · aide in financing legal filings deal with contracts · and intellectual property rig ...

The Legal Division is looking for an attorney with 6+ years' experience to join the Global Banking and Markets Legal team in New York, NY or Dallas, TX. · We work at the intersection of finance and law, providing counsel and advice that support activities across the firm. We hand ...

The firm is seeking an experienced Controller with a background in wealth management and financial services to oversee financial operations and partner closely with firm leadership to drive long-term growth. · ...

We are looking for an AML Compliance Officer to join our team. · A ideal candidate will have prior financial crime compliance experience at another broker-dealer, investment bank, or RIA. · Develop and implement policies and procedures across a variety of business units. · Assist ...