Vice President, Compliance, Investments - New York

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

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 ...

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 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 compli ...

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. · ...

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 ...

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

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 ...

We are seeking an experienced Investment Adviser Compliance professional to join our rapidly growing company. The candidate should have a solid foundation in providing compliance support to investment advisors managing separately managed accounts and private investment vehicles. ...

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. · ...

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 ...

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

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. · ...

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 ...

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. · ...

+Job summary · We will do this together — with customers, partners and colleagues. · +QualificationsBachelor's Degree or equivalent · 10+ years relevant experience in investment advisory compliance or related/relevant industry experience · , +ResponsibilitiesSupport the Head of I ...

This is a great opportunity for someone looking to join a very lean team at Diversified Global Alternative Asset Manager. · Manage the clearance of Batch, Pre-Trade and Post-Execution Alerts. · Ensure trades are compliant with regulatory requirements, · ...

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 ...