Phipps Neighborhoods is seeking a Compliance Coordinator to join their team. The role involves helping children, youth, and families in low-income communities rise above poverty through education and career programs, and access to community resources. The Compliance Coordinator will work in South Bronx neighborhoods, supporting individuals and families as they establish self-sufficiency.

Compliance Coordinator

The Compliance Officer at eFinancialCareers will play a strategic role in running the day-to-day compliance program for a hedge fund. This key hire will be responsible for a variety of compliance tasks including testing & monitoring, policies & procedures, code of ethics, licensing & registrations, cross-border compliance, marketing review, trade/portfolio compliance, and regulatory inquiries/affairs. The role is ideal for a highly motivated and entrepreneurial individual looking to work at a firm renowned for innovation and integrity.

Compliance Officer (Hedge Fund)

Compliance Officer

The Compliance Associate at Robert Half - US will be responsible for preparing regulatory filings primarily in the US, UK, and HK, developing and implementing policies and procedures in compliance with various regulatory acts and rules, collaborating with the CCO, and ensuring adherence to compliance policies. This role requires a strong understanding of the regulatory environment, including the latest changes and trends, and involves managing electronic communications, reviewing marketing materials, and conducting training on compliance policies.

Compliance Associate - Investment Firm

Compliance Associate

One Ten Associates is seeking a Compliance Associate to join a high-performing hedge fund's compliance team in New York. This role involves overseeing the Code of Ethics process, providing regulatory advice, reviewing marketing materials, conducting regulatory horizon scanning, assisting with regulatory reporting, and conducting surveillance, monitoring, and testing. The position offers a broad generalized compliance role with full exposure across the business.

Compliance Associate - Hedge Fund - New York

Beacon Hill Legal is seeking a Compliance Associate for a financial trading firm in Downtown Manhattan. This role involves working with regulatory agencies, '40 Act compliance, and derivative markets. The position offers a salary range of $140,000 to $170,000 and requires at least 4 years of experience in a regulated trading company.

The Compliance Manager at Zara USA ensures the company adheres to legal standards and internal policies, managing compliance-related projects and fostering a culture of integrity and accountability. This role involves researching regulatory developments, leading compliance projects, overseeing the ethics line, conducting investigations, developing training programs, and drafting policies and procedures.

Compliance Manager

The Compliance Consultancy Director role involves acting as the primary compliance resource for retained client relationships, focusing on SEC and NFA regulatory requirements for investment advisers to private funds and separately managed account clients. This position requires at least 8 years’ US Compliance experience, including experience in the private fund space, and a working knowledge of the Investment Advisers Act of 1940, NFA rules, and CFTC regulations relevant to investment managers. The role is based in New York City and offers a salary range of $200K - $220K plus bonus and benefits.

Compliance Consultancy Director – Previous Compliance Funds Experience and 1940 Act/NFA/CFTC Knowledge Required

Compliance Consultancy Director

The Manager-Compliance at American Express will primarily be responsible for conducting Quality Assurance (QA) reviews of Management responses to regulatory findings, including the associated remediation project plans, prior to submission to the regulators. This role involves becoming a Subject Matter Expert on RELM's response and remediation process, ensuring procedures are followed, and promoting consistency across regulatory findings. The Manager will also identify interdependencies across findings and escalate any concerns identified through the QA reviews.

Manager-Compliance

A boutique investment management firm is seeking a Compliance Officer to join their team in New York City. This role offers a unique opportunity for compliance professionals to work closely with the Chief Compliance Officer, focusing on ensuring compliance with all relevant regulations, including SEC and FINRA rules. Candidates must have their Series 7 and 24 licenses.

Compliance Officer (Series 7 & 24 required)

Our client, a Hedge Fund with over $2B in AUM, is seeking a Compliance Officer to join their legal and compliance team in New York. This role involves taking ownership of the trade testing and monitoring process, conducting post-trade compliance monitoring, managing compliance testing across various areas, and preparing compliance reports. The position offers the opportunity for career growth and encourages a collaborative, high-energy work environment.

The Compliance Analyst at Cardea Group will be responsible for designing and implementing systems to ensure the accuracy, transparency, and regulatory compliance of fund allocations. This role is crucial for maintaining the integrity of the firm's investment activities and adhering to internal policies and industry regulations. The position offers a significant amount of discretion over system structure and design, making it ideal for process-oriented or project-oriented candidates.

Compliance Analyst

Enfusion is seeking a Compliance Product Manager to join its Product Management team. The role involves being the subject matter expert for Regulatory and Compliance related concerns in the OMS, overseeing all Compliance, Limits, and Controls deliverables. The successful candidate will own the overall plan for all Compliance deliverables and dependencies, manage and mitigate risks for successful delivery, and work collaboratively with other Product Managers to ensure a smooth integration across functions.

COMPLIANCE PRODUCT MANAGER

Compliance Product Manager

As a Compliance Manager at Piermont Bank, you will be a key member of the Compliance/Risk team, led by the Chief Risk Officer. Your role involves ensuring the bank's compliance with all consumer protection laws and regulations, conducting risk reviews of customers and Fintech partners, and performing compliance quality assurance testing. This position requires collaboration across business functions to maintain the Bank's annual Compliance Monitoring and Risk Assessment Plan/Schedule.

The Compliance Intern at the City of New York's NYCHA is a part-time position focused on ensuring the organization's compliance with laws and regulations. The role involves assisting with the development and maintenance of standard operating procedures, managing Excel spreadsheet reports, and ensuring the integrity of inspection processes. This position is ideal for students matriculating at an accredited college or graduate school, with specific requirements depending on the assignment level.

Compliance Intern

The Compliance and Data Privacy Officer for US entities will work closely with the Global Compliance Team to ensure compliance across all US entities and adapt and implement data privacy policies in accordance with local rules and laws. This role involves implementing compliance processes, mitigating risks, raising awareness of compliance issues, and developing and adapting data privacy policies and procedures.

Compliance and Data Privacy Officer, US

Compliance and Data Privacy Officer

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Compliance Jobs in Edgewater, NJ Hiring Now

Compliance Coordinator

Compliance Officer (Hedge Fund)

Compliance Associate - Investment Firm

Compliance Associate - Hedge Fund - New York

Compliance Associate

Compliance Manager

Compliance Consultancy Director – Previous Compliance Funds Experience and 1940 Act/NFA/CFTC Knowledge Required

Manager-Compliance

Compliance Officer (Series 7 & 24 required)

Compliance Officer

Compliance Analyst

COMPLIANCE PRODUCT MANAGER

Compliance Manager

Compliance Intern

Compliance and Data Privacy Officer, US