Senior Compliance Officer - New York

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 ...

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... · ...

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 ...

We are seeking two experienced Compliance Officers to support and strengthen our federal contract compliance program. · Earns full compliance with applicable federal contract requirements. · ...

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. · ...

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 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 ...

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 ...

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

The Compliance Officer will work to conduct multi-faceted KYC AML reviews and investigations assigned from multiple sources and teams, client outreach applicable to AML Onboarding. · Perform Politically Exposed Person (PEP), Adverse Media, and Sanction List screening on Limited P ...

Citizens is seeking a highly motivated Compliance Officer to join the Swap Dealer Compliance team. · ...

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. · ...

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 ...

The Regulatory & Reporting Oversight Officer will serve as a pivotal compliance leader partnering with Finance, Operations and Risk teams to ensure regulatory adherence, · Provide compliance advice on regulations governing financial and operational stability, · Oversee compliance ...

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 ...

Flow Traders is seeking a Compliance Officer in New York to support our multi-asset fast-paced trading environment reporting to the Chief Compliance Officer you will partner with trading risk and technology to strengthen the firm's compliance program across products and markets. ...

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 ...

Compliance officer role at Initio Capital in New York. Full-time position with estimated total annual compensation $145, · 000 - $185,000. · ...

This role is well suited for someone who wants broad regulatory exposure, hands-on responsibility, · and the opportunity to grow alongside a scaling platform. · ...

The candidate will contribute to the compliance team of a leading investment management firm, focusing on U.S. Registered Funds and ensuring adherence to regulatory standards.Support the Chief Compliance Officer in managing compliance programs, governance matters, and regulatory ...

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 ...