Are you a business? Hire investment compliance candidates in North Bergen, NJ
... 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 ...
... Investment practice while enhancing the customer service level and experience. This role may ... Maintain an organized filing system following compliance guidelines. * Conduct proactive outreach ...
: 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 ...
Provide legal support, due diligence, and advice regarding acquisitions and strategic investments ... compliance and regulatory work. * Experience with small commercial insurance and package policies ...
Octagon's investment philosophy and methodology encourage and rely upon dynamic internal ... We are looking for an experienced compliance professional who will take on an integral role in ...
The ideal candidate will have: * 4-7 years of experience with regulatory and compliance matters regarding federal securities laws at a law firm * Investment Company Act of 1940 and the Securities Act ...
RESPONSIBILITIES The Senior Analyst will support investment teams, to ensure that investment transactions and holdings are compliant with client guidelines and regulatory requirements
... compliance with OIM's investment and policy guidelines. • Conducts portfolio reviews periodically and presents at Portfolio Review Meetings. • Balances long-term strategies to achieve results ...
Drive transaction execution, deal compliance, resolutions, and executive approvals. * Support Investment/Deal Team; working with Finance, Tax, and Legal to close deals. * Analyze transaction equity ...
Top-Tier Investment Management Firm in Downtown, Manhattan is seeking a Paralegal for a permanent ... Review and draft routine legal/compliance documents * Assist with preparing and filing various ...
Ensure compliance with U.S. GAAP and other relevant accounting standards. * Prepare and work with MD on regular reporting for stakeholders such as IP owners and investors. Compliance & Legal ...
Treasury Clearing, working side-by-side with colleagues in Compliance, Operations, Front Office and other functions of a bank/broker-dealer. • The regulatory areas covered by the project require ...
The firm is an affiliate of Basis Investment Group, a commercial real estate investment manager ... Work with JV partners in order to ensure compliance with financial reporting requirements * Develop ...
Our client, an investment advisor in Midtown, is seeking an Investor Relations Associate. Job ... and compliance of materials * Liaising with investors and internal teams to ensure smooth ...
... investment banking, wealth management - Strong analytical skills and ability to problem solve in a dynamic, highly regulated environment - Detail oriented and ability to manage and multi-task ...
Together, Brookfield and Oaktree share a long-term, value-driven, contrarian investment style ... Marketing Compliance Consultant The Firm is seeking to add a Compliance resource to the BOWS Legal ...
Advise investment team on regulatory compliance matters, including conflicts of interest, investment allocation, information sharing (public and private), and fund governance * Prepare and supervise ...
Research Compliance Officer Location: New York, NY Firm Overview: Cantor Fitzgerald L.P., with over ... Cantor Fitzgerald & Co. is a preeminent investment bank serving more than 5,000 institutional ...
The Guidelines and Restrictions team is tasked with ensuring compliance with investment guidelines across various accounts, including institutional separate accounts (both ERISA and non-ERISA ...
The Company The Spaventa Group ("TSG") is a leading investment company located in New York. We ... Ensure compliance with all FINRA regulations and state Blue Sky laws * Maintain meticulous records ...
Key Duties and Responsibilities: Assist with annual compliance review, preparation of annual ... an investment management firm, financial institution, orconsultancy supporting hedge, private ...
Our client a well known Investment Bank is seeking a Compliance Surveillance Analyst in their New York, New York Location! Job Description * Compliance Surveillance Analyst Essential Duties ...
... to join the Compliance team. Primary Responsibilities * Preparation and coordination on ... Experience with Investment Management Regulation, including SEC, CFTC and NFA rules, regulations ...
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 ...
