Compliance manager jobs in Richmond Hill, NYCreate job alerts

Our client, a New York City-based private fund that invests in real estate, debt and equity assets, is seeking a compliance manager. In this role, you will be responsible for assisting in activities ...

Perform daily management responsibilities in complying with the branch's Sanctions/ Watch lists and OFAC Program ("OFAC"). Direct a team of BSA/OFAC Compliance professionals who have responsibility ...

Manage the development, implementation and maintenance of the compliance program and ensure the company's compliance with all applicable federal and state regulations and company policies * Oversee ...

Experience using Trillium software for trade compliance management. * Experience developing and implementing public equities trading compliance policies and procedures. * Excellent written and verbal ...

Compliance Analyst Location: New York City, NY (hybrid) About the Firm: We are a boutique investment management firm based in New York City, specializing in personalized financial strategies for our ...

The Compliance Coordinator will assist the Director of Compliance in managing various compliance requirements mandated by city, state, and federal regulations across the entire Argo Real Estate ...

Conduct meetings with the Compliance and Legal Departments to review, maintain, and update the firm's written supervisory procedures; * Manage internal and external audits and lead implementation of ...

... management and staff so that they may conduct their business in conformance with regulatory ... Compliance program. • Escalates regulatory concerns and other significant matters to their ...

A client of ours in the Investment Management industry is seeking a Compliance Specialist to join their team. The ideal candidate has 3+ years of relevant experience. Please apply if this role ...

Compliance Associate/Officer Firm: $50B+ Alternative Asset Management Firm Location: Greenwich, CT and New York, NY Job Overview : Our client, a successful alternative asset management firm with $50B ...

Independently manage projects necessary to support initiatives both within Global Research ... Strong Compliance experience in an investment bank (preferably line of business advisory, ideally ...

This role involves enhancing compliance frameworks, managing licensing processes, and supporting regulatory requirements. Key Responsibilities Compliance Program Management * Contribute to the ...

Our client, a leading asset management firm with over $40B in AUM is seeking a Compliance Associate to join its rapidly growing credit platform. This role offers the chance to work within a well ...

Key Responsibilities · Manage process for employee personal trade reviews, employee certifications and employee gift/entertainment requests · Track and manage compliance areas including proxy ...

Looking for strong manager and leader to manage locations and grow with us. Why Choose Drivo Rent A ... Budget Compliance: Ensure all departments meet or exceed budgeted numbers d Qualifications

EXPERIENCED COMPLIANCE ANALYST New York, NY 5 Days onsite in Downtown Manhattan The Role Our client ... managing regulatory reporting, examinations and communications, training and inducting staff ...

Prepare and present reports to senior management on the status of compliance efforts. * Ensure all documentation aligns with regulatory expectations and ING's standards. Qualifications and ...

The ideal candidate will have a strong background in investment compliance and direct experience working with senior stakeholders such as traders and portfolio managers. Key Responsibilities: * Serve ...

The MWBE Compliance Manager in Orange County, NY, will ensure compliance with Minority-Owned Business Enterprise (MBE), Women-Owned Business Enterprise (WBE), and Service-Disabled Veteran-Owned ...

Maintaining Compliance: Ensuring that all ETF operations comply with regulatory requirements and internal policies, such as reporting obligations and trading restrictions. * Risk Management

Partners with community team to ensure community is in compliance with OSHA/British Columbia ... Risk Management programs and policies, and adhering to safety rules and regulations.Practices ...

This includes, but is not limited to, the management of clinical nursing practice, staff ... Maintains a nursing unit in compliance with the regulations of New York State Department of

Implement the standards for research protocols in compliance with regulatory, institutional, and ... manage supportive care medications. * Assures the primary nursing staff understands how to ...

GRANTS & COMPLIANCE MANAGEMENT: Advocate for financial needs through strategic planning. Develop grant budgets and manage funding allocation to ensure expense coverage and compliance. Ensure ...