Senior Compliance Officer - New York

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. · ...

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 ...

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 ...

The Firm is looking for someone to oversee compliance for their investment banking division. The ideal candidate must have experience in Private Side Compliance and be licensed with at least a Series 24 and 79. · Candidates must also have thorough knowledge of FINRA and SEC rules ...

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 hedge fund specializing in special situations and private debt investments is seeking a Compliance Officer to lead its compliance function in New York. · The firm focuses on senior-secured investments and utilizes highly structured vehicles to drive targeted returns for its inv ...

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 ...

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

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 ...

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 ...

An opportunity with a global proprietary trading firm in New York that is looking to add a Compliance Officer to its growing compliance team. · ...

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. · ...

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. · ...

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 ...

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

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 ...

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 ...

Contribute to the compliance team of a leading investment management firm, focusing on U.S. Registered Funds and ensuring adherence to regulatory standards. · ...

A leading investment and operating platform is seeking a Senior Compliance Officer to support legal and treasury teams across KYC, AML, and broader due diligence obligations. · Manage and respond to KYC/AML and due diligence requests from banks, partners, and financial institutio ...

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... · ...