Senior Compliance Officer - New York, United States - Bloomberg L.P.

Compliance Officer

1 day ago

Compliance Officer (New York, NY): Our client, a successful investment manager with over $15B in AUM, is hiring a motivated individual to join their legal and compliance team. This new hire will be joining a team of high performing, bright individuals and gain exposure to the ent ...

Compliance Officer

1 week ago

As the founding entity of RAINBOW PARTNERS, Quanteam is a consulting firm specializing in the fields of Banking, Finance, and Financial Services. Guided by our core values of closeness, teamwork, diversity, and excellence, our team of 1,000 expert consultants, representing 35 dif ...

Compliance Officer

1 week ago

Company Background · FirstKey Mortgage, LLC ("FKM") is one of the world's leading private label securitization and asset management firms. We are a boutique financial services company with a primary focus on the buying and securitizing of residential mortgage loans. Since incepti ...

Compliance Officer

3 days ago

Sharegain began with one question: If the largest institutions solely exercise the right to lend their stocks, bonds, and ETFs, what would it take to unlock this revenue opportunity for every investor? · Our team of experts in the UK, US and Israel built the solution: a platform ...

Compliance Officer

1 week ago

Sharegain began with one question: If the largest institutions solely exercise the right to lend their stocks, bonds, and ETFs, what would it take to unlock this revenue opportunity for every investor? · Our team of experts in the UK, US and Israel built the solution: a platform ...

Compliance Officer

1 week ago

Job Description · Job DescriptionSharegain began with one question: If the largest institutions solely exercise the right to lend their stocks, bonds, and ETFs, what would it take to unlock this revenue opportunity for every investor? · Our team of experts in the UK, US and Isra ...

Compliance Officers

3 weeks ago

The Corporate Compliance Officer is responsible for overseeing and ensuring the company's adherence to regulatory requirements, particularly in areas such as Anti-Money Laundering (AML), Bank Secrecy Act (BSA), and Office of Foreign Assets Control (OFAC) compliance. Our client is ...

Compliance Officer

1 week ago

About the Role: · Grade Level (for internal use): · 12 · The Role: Compliance Officer · The Compliance Officer role is based in Englewood or New York and the successful candidate will be responsible for supporting the implementation and monitoring of the Compliance Program pr ...

Compliance Officer

1 week ago

Location: New York, NY, US · ** Compliance Officer - US Broker-Dealer** · **About Swiss Re** · Swiss Re is one of the worlds leading providers of reinsurance, insurance and other forms of insurance-based risk transfer, working to make the world more resilient. We anticipate an ...

Compliance Officer

1 week ago

Position Summary · Guggenheim Investments is seeking an exceptional Compliance Officer to join its team. Reporting to the Head of Anti-Money Laundering of Guggenheim Partners Investment Management, LLC (GPIM), an SEC-registered investment advisor. This person will join a highly c ...

Compliance Officer

1 week ago

About Us: · Piermont Bank is a tech-enabled digital commercial bank founded in 2019 with a mission of changing the face and pace of banking. It provides an unprecedented experience that blends the best of banking and agile Fintechs. At Piermont, we are purpose-driven, and focuse ...

Compliance Officer

1 week ago

Company Background · FirstKey Mortgage, LLC ("FKM") is one of the worlds leading private label securitization and asset management firms. We are a boutique financial services company with a primary focus on the buying and securitizing of residential mortgage loans. Since incepti ...

Compliance Officers

3 weeks ago

This short-term temporary position involves supporting AML and Sanctions Compliance Audit Teams in executing audit coverage, designing and conducting audit tests, and assisting in delivering comprehensive audit reports. The role requires expertise in BSA/AML, OFAC/Sanctions, regu ...

Compliance Officer

1 week ago

About dub · Founded in 2021 in NYC, dub is building the first social investing marketplace by providing a simple way to share, reward, and invest alongside the best portfolios and minds in asset management. dub's innovative copy-trading platform gives fund managers, financial ex ...

Compliance Officer

1 week ago

The position is described below. If you want to apply, click the Apply Now button at the top or bottom of this page. After you click Apply Now and complete your application, you'll be invited to create a profile, which will let you see your application status and any communicatio ...

Compliance Officer

3 weeks ago

As the founding entity of RAINBOW PARTNERS, Quanteam is a consulting firm specializing in the fields of Banking, Finance, and Financial Services. Guided by our core values of closeness, teamwork, diversity, and excellence, our team of 1,000 expert consultants, representing 35 dif ...

Compliance Officer

1 week ago

Compliance Officer - Wall Cross & Research · This role will provide senior Compliance coverage in relation to handling and preventing the use of material non-public information during the investment decision-making process, with a focus on the due diligence and ongoing surveilla ...

Compliance Officer

1 week ago

Job Description: · Job Title Compliance Officer - Head of Origination & Advisory - Director · Corporate Title Director · Location New York, NY · Overview · As the Compliance Officer - Head of Origination & Advisory Director, you will lead a team and focus on providing real-t ...

Compliance Officer

1 week ago

Seeking a candidate who will help conduct reviews of marketing materials to ensure conformance with US regulatory requirements as well as firm policies and procedures. The individual will work closely with members of the GSAM distribution, product, and marketing teams. He/she wil ...

Compliance Officers

2 weeks ago

Title: Regulatory Specialist (Japan + China) · Location: Remote · Duration: Multi-year contract (possibility of conversion) · Pay: Up to $50/hr · No C2C/C2H - W2 ONLY · This role is looking for someone with experience specifically with Japanese and Chinese regulations for medical ...