Trabajos compliance officer en College Point, NYCrear alertas

Investment Compliance Officer (New York, NY): Our client, a hedge fund with over $3B in AUM is seeking an experienced Investment Compliance Officer to join their team a newly created position to lead ...

... Compliance Officer with the following: - Drafting and maintaining the firm's written supervisory procedures - Ensuring all risks and controls are appropriately embedded and continuously reviewed ...

Research Compliance Officer Location: New York, NY Firm Overview: Cantor Fitzgerald L.P., with over 12,000 employees, has been a leading global financial services firm at the forefront of financial ...

This hybrid Equities Compliance Officer will work as a member of the Americas Compliance team based in TP ICAP's New York offices and report into the Head of Equity and Equity Derivatives Compliance

: J ob Title Compliance Officer - Investment Bank Compliance - Fixed Income Sales & Trading - Rates and FX Corporate Title Vice President Location New York Overview You will focus on providing real ...

Compliance Officer Location : New York City (Hybrid) Overview : A boutique investment management firm is seeking a Compliance Officer to join their team in NYC. This role offers the unique ...

A global bank located in Midtown Manhattan looking to bring on board a "Director - Fixed Income Compliance Officer" to join their team. This role is currently in a hybrid schedule (2 days in office

We are seeking a highly skilled and experienced Investment Banking Compliance and Supervision Officer to join our team. This role requires 3-5 years of experience in investment banking, with a focus ...

Review and validation of High Risk KYC files to ensure completeness and compliance with Bank policies and Regulatory Requirements. * Review and issue regulatory guidance to Bank staff on proposed ...

Collaborates and engages with other members of the senior leadership team including the Chief Program Officer, Chief Compliance Officer, and Chief Human Resources Officer, to develop and advance ...

Midtown Manhattan Compensation: $225K-$300K total compensation Job Description The Legal and Compliance Department consists of the General Counsel, the Chief Compliance Officer, Associate General ...

We seek a strategic CFO to oversee financial operations, develop and implement financial strategies, and drive fiscal compliance. The CFO will collaborate with leadership to align financial ...

The COO will be responsible for overseeing the day-to-day operations, ensuring efficiency, compliance, and a commitment to client success. The ideal candidate will have a strong background in ...

The COO will be involved in all phases of administration, personnel, finances, facilities ... Train staff on policies and procedures, linking compliance with the same to Key Performance ...

Support Chief Compliance Officers in liaising with regulatory authorities, responding to inquiries and coordinating regulatory examinations * Help maintain and implement the firm's adviser, fund, AML ...

Maintain organized records of verification and compliance checks and report any irregularities to senior compliance officers. * Ideal Candidate We're looking for a candidate who is detail-oriented ...

Chief Executive Officer Direct Reports: Controller, Head of Grants Management; Head of Facilities ... Direct all aspects of financial management and reporting, administration, compliance, governance ...

Immediate need for a talented Privacy Compliance Officer/Data Protection . This is a 06+ Months Contract opportunity with long-term potential and is located in New York NY (Onsite) . Please review ...

Ensures compliance with patient care quality standards as it relates to the care provided to all ... Specific Duties And Responsibilities The Chief Nursing Officer is charged with and responsible for

The CEO provides leadership, strategic direction, and oversight in the provision of services ... Programmatic and Compliance: Strategic Blueprint: • Guide, implement and monitor the Strategic ...

Candidate ideally functioning currently as a compliance officer and be accustomed to working independently. * Candidate must be able to work well in a team structure involving both business and ...

Reporting directly to the Chief Compliance Officer, you'll be responsible for development and execution of CMS strategies, mitigation of compliance risks, strengthening regulatory controls, and ...

... CTO and Investors. You will work closely with the engineering teams on developing the product ... Build the Security & Compliance programs from the ground up, developing a function to satisfy NIST ...

The Advisory Compliance team serves as a regulatory advisory function and is responsible for overseeing the management of the broker dealer's compliance risk, and is represented by the Chief Compliance Officer as either a member or observer of various committees such as the New Product, Underwrit...