Senior Associate/VP, Compliance - New York

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. · ...

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. We value excellence, being selective to be effective, · being highly aligned loosely coupled disagreeing transpar ...

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

Job summary · A VP, Compliance & Registration Oversight is needed to join a $275 billion asset management firm. · Coordinate with Compliance and Human Resources teams to manage regulatory pre-hire, · onboarding, and offboarding processes for broker-dealer personnel. · Assist with ...

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 ...

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 broad alternative investment advisory compliance experience and deep knowledge of the Investment Advisers Act and Investment Company Act. · ...

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 demonstrated investment adviser compliance program development and implementation experience in the alternative investment industry. · ...

We are always in search of talented individuals to join our team and embark on an exciting career path. · ...

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. · Work closely with the Conflicts Director on the design, implementation, and 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 ...

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 ...

+ 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 ...

The VP Compliance TDS oversees/leads a team(s) of specialists/professionals providing advice, guidance and expertise on regulatory requirements and assisting business units to manage their regulatory risk. · Assist in drafting and maintaining comprehensive suite of regulatory Com ...