Compliance Officer - Brooklyn

TradeZero America is seeking an experienced Compliance Officer for its New York office. The primary focus will be on marketing/social media and communications with the public regarding equity trading. · ...

An opportunity as Compliance Officer with a global proprietary trading firm in New York. · ...

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

We are seeking a Compliance Officer to join our small team at our Global Hedge Fund office. The successful candidate will be responsible for conducting regulatory analysis and providing advice on business queries. · ...

A Leading Hedge Fund based in New York seeks a compliance professional to join their team. · Assist in drafting legal and compliance policies and procedures. · Support various compliance initiatives including Code of Ethics and regulatory filings. · ...

+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 institut ...

We help you be your best through professional development opportunities, · interesting work, · and supportive leaders.We foster a vibrant and inclusive culture · ...

This document outlines the job description for a Compliance Officer at Jefferies LLC. · ...

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 ...

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. · ...

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's Legal and Compliance team is looking for an experienced, self-driven Compliance Officer to join the team. · Develop and implement policies and procedures across a variety of business units. · Coordinate with our global legal and compliance team to work on global initia ...

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 on regulations g ...

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 ...

Compliance Officer - Quant Trading and Analytics · Location: New York, NY · About the Role · We're looking for a highly analytical Compliance Officer - Quant Trading and Analytics to support day‑to‑day compliance operations with a strong focus on data analysis, trade review, and ...

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 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 ...

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. · ...

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 ...

This role offers the opportunity to work at the forefront of compliance within a dynamic asset management environment, · advising on complex regulatory matters and supporting innovative investment strategies. · You'll gain exposure to a wide range of products and transactions, · ...