Are you a business? Hire investment compliance candidates in Astoria, NY
Develop compliance policies and procedures to ensure compliance with federal securities laws, including the Investment Advisers Act of 1940, Investment Company Act of 1940 and Commodity Exchange Act
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 ...
Primary responsibilities will include advising investment professionals and directing outside counsel in connection with fundraising and marketing activities, as well as compliance requirements ...
Partner with internal teams to optimize tax compliance for executed deals. Oversee external legal ... or Investment Firm Highly Preferential: CPA or JD Fluency U.S. tax regulations, M&A tax ...
Compliance Culture and Conduct: * Takes full responsibility for personal actions and demonstrates ... investment banking • Knowledge of the Industrials and Transportation sector Preferred ...
... investment. * Leasing and Tenant Relations: Oversee leasing activity and tenant relations for the East Region. Negotiate new and renewal leases while ensuring lease compliance for existing tenants
... Compliance, Legal, and Sales, to ensure high-quality and timely responses to investor inquiries ... With a disciplined investment approach and deep market expertise, the firm provides liquidity ...
... Compliance, Finance & Operations and the Investment Teams * Partner with prospective investors to manage all aspects of the due diligence process * Develop and manage required due diligence ...
The Senior Compliance Officer will support the Alternative business. This includes investments in ... Create policies and procedures that adhere to federal securities laws, including the Investment ...
... investment teams * Adhere to firms' guidelines, handbook, and compliance standards * Collaborate with senior management to develop and execute investor relations strategies supporting business ...
S. broker -dealer (BD) and registered investment adviser (RIA) compliance programs. What you'll be doing: * Assist CCO with compliance reviews, testing, and management reporting. * Assist CCO with ...
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 ...
A large investment management firm located in NYC looking to bring on a new "Compliance - Fixed Income Trade Surveillance Associate" to join their team. This role is full time in office. - You will ...
Monitor the investment/research's team use of expert networks * Partner with compliance consultants to conduct mock audits and heed advice on regulatory updates Qualifications: * 8-12+ years of ...
We are working with a large and prestigious Private Investment firm that manages > 25B in AUM on a new Compliance opening. This position will allow someone exposure to all the strategies of the firm ...
Advise investment team on regulatory compliance matters, including conflicts of interest, investment allocation, information sharing (public and private), and fund governance * Prepare and supervise ...
As a CIB Bank Compliance Officer, you will play a critical role in identifying, assessing, and mitigating regulatory risks within BBVA Corporate and Investment Banking (CIB) in the US. You will ...
In this role, the Attorney will be responsible for managing ethics and compliance due diligence and integration processes for M&A transactions, including acquisitions, investments, and divestitures
... Investment Banking Group (IBG), Relationship Management Group (RMG) and Structured Finance Group ... Ability and confidence to successfully interact with the compliance teams. * Ability to perform ...
Monitor the performance of each asset to ensure compliance with the terms of the legal documents (e ... Stay current on local market dynamics; thoroughly understand each investment and how it is ...
Their investment philosophy is rooted in rigorous research, disciplined risk management, and ... teams, compliance, operations, and legal professionals. The successful candidate will be ...
CanAm Enterprises, LP ("CanAm") is a leading sponsor of EB-5 immigration-linked investment funds in ... compliance with all financial regulations and standards as required. Finance Operations: o Oversee ...
Alcova Capital is an investment manager specializing in mid-market commercial real estate bridge ... Collaborate with the CFO, external fund administrator and compliance consultants to ensure accuracy ...
... investment planReferral bonusesFree liability insurance coverageWeekly pay GHR pays for additional medical compliance required by facility OT paid after 36 hoursFlexible scheduling ...
Our client is a $7bn Alternative investment firm, with investments across equity and credit ... Utilize trading systems and tools to execute trades, ensuring compliance with regulatory ...
Our client, a $10B credit-focused alternative investment manager, is seeking a highly organized and detail-oriented Paralegal to join their legal and compliance team. The ideal candidate has a strong ...
Metis Search is partnering with a leading Independent Investment Bank to expand their FIG M&A team ... Oversee due diligence activities, examining financial statements, regulatory compliance, and ...
Founded in 2002, Silvercrest provides a range of tailored investment strategies and wealth ... Coordinate with marketing and compliance teams to ensure regulatory requirements are met for client ...
Our client, a global investment company, is looking for a detail-oriented Payroll & Benefits ... Manage multi-state payroll administration, ensuring accuracy and compliance with regulations ...
Investment Analyses - Assist the Revantage Valuations team in their preparation of quarterly ... compliance, seek and learn new technology that makes work more effective and efficient, assume ...
Our Investment Banking client is a leading investment bank specializing in structured finance ... regulations compliance. For more information on this role, or if you're looking for your next ...
... compliance with BNP Paribas' internal rules and templates o Perform financial analysis, including detailed economic assessment of past performance - margins & profitability analysis, investment ...
As one of the most visited platforms in Shariah-compliant capital markets, we're building a cutting-edge Shariah-compliant trading platform to provide seamless, ethical, and transparent investment ...
... investment analysts with research and ad-hoc projects, including updating financial models ... compliance requirements -Schedule and coordinate meetings -Answer phone calls, emails, and ...
... better investment tools for U.S. and Hong Kong stocks. Outside of the US, the firm conducts ... Compliance and Regulatory Oversight: * Ensure adherence to all relevant margin regulations and ...
... compliance with company and investor/buyer guidelines is being met. Responsibilities will include: • Handling loan files from submission to funding. • Coordinating the closing and interacting ...
... HMO's investment policy and internal capital levels * Lead the data analysis efforts to identify ... Ensure compliance with regulatory reporting requirements, including researching existing and new ...
Compliance and legal * Vendor and partner relationships * Fielding incoming investor relations ... requests * Human resources * Support executive team in preparation for Board of Directors meetings ...
Champion compliance and dissemination of policy, including HIPAA, Patient Identification, and ... Paid vacation, sick time, and investment/retirement 401K match options * Health insurance, vision ...
Partners with the Financial Advisor / Private Wealth Advisor on investment recommendations and ... Strong understanding of applicable compliance rules, regulations and firm policies * Ability to ...
Serve as the primary point of contact for clients, addressing their concerns and inquiries while overseeing tax planning and compliance for individuals, trusts, family investment partnerships, and ...
... investment and reach addressable audiences across ad formats and devices. Since 2006, our ... Track contract expirations, renewals, and other key terms to ensure timely actions and compliance ...
... investment firm? As the Paralegal, you'll support legal compliance functions, including document review, negotiation, entity maintenance, and liaising on regulatory matters across corporate ...
... investment accounting, tax, risk management, internal audit, and treasury. Mellon Facilities ... Confidentiality & Compliance: Handle sensitive financial information with the utmost discretion and ...
Tracking and Compliance * Manage compliance with all required inspections, reports and filings ... Work with accounting and finance teams to prepare financial projections, budgets and investor ...
... of investors/lenders to provide requested financial information and distribute financial reports on a regular basis. Compliance/Compliance Reporting · Provide required financial information to ...
WSN is hiring a Senior Project Manager to join a global investment bank in New York on a contract ... compliance with material regulatory driven change • Partner with the Business, Legal, Risk and ...
Partnering with a Fortune 200 Investment Banking & Financial Company Category: Data Governance ... Conduct data analysis and data forensics to support regulatory reporting and compliance. * Work ...
