Senior Associate/VP, Compliance - New York - Aquarian LLC

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

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 ...

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. · ...

· Who We Are: · Galaxy is a global leader in digital assets and data center infrastructure, delivering solutions that accelerate progress in finance and artificial intelligence. We believe that blockchain and digital asset innovation will transform how value moves through the wo ...

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

· 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. · ...

About Aquarian · Aquarian Holdings ("Aquarian") is a diversified global holding company with a strategic portfolio of insurance and asset management solutions. · Aquarian Insurance Holdings acquires and operates insurance companies with a focus on life and annuity underwriting, d ...

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

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 ...

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. · ...

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

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. · ...

VP Trading Surveillance (Compliance) · Trading Platform · $140,000 - $180,000+ 30% Bonus · New York / Jersey City · Seeking a senior · Trading Surveillance leader · to oversee market abuse monitoring across equities, options, and digital assets. This role sits at the center of Co ...

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 ...

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 with a primary focus on Corporate and Investment Banking, Capital Markets, Commer ...

+ 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. · ...