Are you a business? Hire chief compliance officer candidates in Astoria, NY
The Artemis Group, an attorney search firm, has partnered with a major asset management firm headquartered in New York City to find a highly experienced Chief Compliance Officer. This role involves leading compliance efforts for a complex array of registered funds, including private equity, fixed...
The Chief Compliance Officer and Head of Regulatory will lead CLEAR's Compliance and Regulatory teams within Legal while working with teams across the company to build products and programs consistent with global laws and regulations. Oversee an effective compliance program per DOJ and SEC guidan...
The successful candidate will serve as the Chief Compliance Officer (CCO) and be responsible for leading all components of the compliance program for an investment advisory firm in Manhattan, which is currently registered with New York State and will register with the U. The CCO will foster a cul...
GCM Grosvenor New York, New York, United States SUMMARYThe Compliance team is looking for a Chief Compliance Officer for the firms limited purpose broker-dealer who can also support the investment advisers compliance program. Chief Compliance Officer (CCO) of Broker-Dealer**. As the bro...
Prior Head of Compliance or Chief Compliance Officer experience in finance, fintech, or crypto exchanges (prior experience scaling a global compliance program preferred). We are seeking an experienced Global Chief Compliance Officer to lead our distributed, global compliance team. Our department ...
You will provide guidance and technical expertise that supports the design, implementation and oversight of the compliance program established to support the broker-dealer and will monitor and act upon regulatory developments relating to Compliance Risks and associated regulatory obligations, inc...
Reporting to the Chief Compliance Officer, the Deputy Chief Compliance Officer is the independent compliance partner to multiple Business Divisions and is responsible for ensuring that the Compliance Programs appropriately addresses the regulatory risks relative to the Division/Unit's business ac...
Chief Compliance Officer, Broker Dealer**. Act as Chief Compliance Officer of the broker dealer. Develop and implement broker-dealer related compliance programs and policies. Advise on compliance, regulatory, and legal issues across Yieldstreet, including those relating to broker-dealers, investm...
Fun Chief Compliance Officer - HYBRID. This position will act in the capacity of Chief Compliance Officer for certain investment company clients. Primary responsibility will be to ensure fund and service providers’ compliance with Rule 38a-1 of the Investment Company Act of 1940. Oversee maintena...
The President and Chief Compliance Officer, for BDO Capital Advisors, LLC will serve dual roles in leading the organization’s investment banking subsidiary and managing its operational and compliance functions. The President and Chief Compliance Officer will work on building, implementing, and ov...
Chief Compliance Officer for over $55 billion complex of funds registered under the Investment Company Act of 1940, covering multiple asset classes and strategies (equity, fixed income, liquid alternatives and private equity) in mutual fund, exchange-traded funds and closed-end fund structures. A...
As part of RM&C CFO, the RM&C Finance & Business Management team supports the firm's Chief Risk Officer, RM&C Chief Financial Officer and the Risk Operating Committee through on-going governance and discipline on direct and allocated expenses, technology investment governance, real estate managem...
The Chief Compliance Officer & Head of Regulatory will lead CLEARs Compliance & Regulatory teams within Legal while working with teams across the company to build products & programs consistent with global laws & regulations. Oversee an effective compliance program per DOJ & SEC guidance, includi...
Our client, a global FinTech who specialize in Mortgage Securitization and Servicing is seeking to hire a Chiefpliance Officer to providepliance leadership and direction to firm. Chiefpliance Officer - Mortgages. Our client, a global Fin-Tech who specialize in Mortgage Securitization and Servicin...
Chief Compliance Officer, Registered Investment Advisor - Senior Compliance Advisor. Chief Compliance Officer, Registered Investment Advisor - Senior Compliance Advisor. Implement and/or maintain a comprehensive investment advisory compliance program for SEC Registered Investment Advisor (“RIA”) ...
Monitor compliance with cybersecurity policies and procedures within the IT environment and enforce consequences for non-compliance as necessary. Compliance: Ensure compliance with relevant regulatory requirements such as NIST (-53, -, CSF) HIPAA, PCI DSS, Directive 1, etc. Coordinate with legal ...
Fun Chief Compliance Officer - HYBRID. This position will act in the capacity of Chief Compliance Officer for certain investment company clients. Primary responsibility will be to ensure fund and service providers' compliance with Rule 38a-1 of the Investment Company Act of 1940. Oversee maintena...
Reporting to the Chief Financial Officer, with additional accountability to the First Deputy Commissioner on investigative matters related to fiscal oversight or of agency-wide significance, the Chief Compliance Officer duties and responsibilities will include but not be limited to:. NYC Aging se...
Temporary Executive Assistant to the General Counsel and Chief Compliance Officer-240171:N/A. Prior experience working with legal and compliance programs and professionals is strongly desired. Gathering, analyzing, interpreting, reporting and benchmarking legal and compliance data. ...
This temporary position supports the General Counsel and Chief Compliance Officer, its Managing Counsels and the Legal and Compliance Department through a variety of tasks that require careful balancing of multiple competing goals and the handling of sensitive matters pending within the Legal & C...
The Artemis Group, an attorney search firm, has partnered with a major asset management firm headquartered in New York City to find a highly experienced Chief Compliance Officer. This role involves ...
