Vice President – Volcker Rule Compliance - New York

The Compliance Officer for the TDS US Compliance Regulatory Initiatives Team and U.S. Wholesale Compliance Group is responsible for building, maintaining and enhancing TD's Firm-wide Volcker Rule Compliance program. · ...

This Compliance Officer is responsible for managing TD's Firm-wide Volcker Rule Compliance program. · ...

A NYC based asset manager is seeking a Senior Marketing Compliance Associate to support the firm's marketing compliance program. · Review and approve marketing materials including pitch books fact sheets RFPs/DDQs website content social media advertisements investor communication ...

This role is broad and highly visible, partnering closely with trading, risk, finance, technology, audit, and legal teams.The position will focus on maintaining and enhancing the Volcker compliance framework, · advising the business on regulatory interpretation and new activities ...

The firm's Volcker Rule compliance framework is being shaped and maintained by the Volcker Program Manager. They advise business partners, enhance controls, and support regulatory interactions across multiple business lines. · ...

++A leading global private equity firm is seeking a Compliance Analyst or Associate to support its Private Equity Compliance program.+ · +This is a highly visible and impactful role focused on identifying, managing, and mitigating compliance risk while fostering a business-orient ...

Support the compliance team in overseeing governance and implementation of companies policies and procedures. · ...

The Fixed Income Compliance Officer serves as key function/business/product compliance advisor within the Fixed Income Compliance Advisory Group with primary coverage of U.S. Rates. · Providing regulatory and compliance advice to business partners about complex sales and trading ...

We are seeking a Compliance Officer to assist in running the compliance programs of our CFTC-registered Swap Dealer (SD) and SEC-registered Security-Based Swap Dealer (SBSD). · Maintain and enhance the compliance program consistent with Commodity Exchange Act and CFTC Part 23 req ...

A growing private equity firm is looking for a Vice President of Legal and Compliance to join the team. · ...

We are seeking a Chief Compliance Officer to run the compliance programs of our CFTC-registered Swap Dealer (SD) and SEC-registered Security-Based Swap Dealer (SBSD). · The ideal candidate will bring at least 10 years of relevant experience and a deep understanding of swap dealer ...

+We're working with a growing RIA business as they look to add a Compliance Manager to their team. · +SUporting the GC/CCO on all manner of core compliance activities, · Draft, update, and implement firm policies and procedures in line with evolving regulatory requirements and bu ...

A senior-level opportunity with a rapidly growing blockchain-based prediction market platform that allows users to trade on real-world events using crypto. · ...

Our client is seeking an experienced Regulatory Reporting Consultant to support reporting remediation and strengthen controls across key broker-dealer regulatory areas. · ...

Alma Bank seeks a Compliance Analyst to join Alma Compliance. The successful candidate will report to the Compliance Officer and be responsible for assisting in the execution of all facets of the Bank's Compliance Program. · ...

Responsible for processing and reconciling all DTC equity and fixed income settlement activity ensuring trades settle accurately and on time in compliance with DTCC and SEC rules. · ...

iCapital is looking to hire an Exchange-Traded Funds (ETF) Chief Compliance Officer to own and oversee the relevant investment advisers supporting the ETF business. · ...

A leading global financial services firm is seeking a Compliance Regulatory Change Lead to support its U.S. Wholesale business. · ...

Our client seeks a Compliance professional with strong broker-dealer experience supporting Sales & Trading activities. · ...

We are seeking a Compliance professional with strong broker-dealer experience supporting Sales & Trading activities. · ...