Senior Compliance Officer - Capital Markets PJT PartnersSenior Compliance Officer - Capital MarketsNew York, NY$175,000–$200,000 / yearOur team of senior professionals delivers a wide array of strategic advisory, shareholder advisory, restructuring and special situations and private fund advisory and placement services to corporations, financial sponsors, institutional investors and governments around the world. We also provide, through PJT Park Hill, private fund advisory and fundraising services for alternative investment managers, including private equity funds, real estate funds and hedge funds.
Compliance Officer ISS ESG CORPORATE RATINGCompliance OfficerNew York, NY$110,000–$140,000 / yearExperience (ideally 5 - 8 years) in senior compliance, risk management, legal, or regulatory roles within the financial services sector, with a significant portion in an SEC-registered investment adviser and/or a highly regulated environment. The Compliance Officer will be instrumentally involved in overseeing, administrating and enhancing the Compliance Program of Institutional Shareholder Services Inc. ("ISS"), a U.S.-registered investment adviser under the Investment Advisers Act of 1940, covering also its foreign affiliates.
Lead Compliance Officer | Equities Trading Compliance Wells Fargo & CoLead Compliance Officer | Equities Trading ComplianceNew York, NY$143,000–$224,000 / yearThey are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification.
Compliance Officer Flow Traders LtdCompliance OfficerNew York, NY$95,000–$130,000 / yearSupport the broader employee compliance program, including in the areas of employee onboardings/terminations, personal trading, outside business activities, gifts and entertainment, political contributions, exchange registrations, social media, electronic communications, and continuing education. All resumes, and any other information identifying potential candidates, submitted to any employee at Flow Traders via-email, the Internet or directly without a valid and signed search agreement will be deemed free to contact by Flow Traders without any restrictions and no placement fee of any kind will be paid in the event the candidate is hired by Flow Traders.
Compliance Officer, Trading Compliance Point72, L.P.Compliance Officer, Trading ComplianceStamford, CTThe Point72 Compliance department is an industry-leading team of compliance professionals who support global investment and trading activities by establishing and enforcing the firm's compliance policies, providing real-time advice, and conducting pre- and post-trade surveillance. Investigate trading exceptions and potential breaches, prepare concise findings and remediation plans, and present results to senior compliance leaders.
Compliance Officer CAIS GroupCompliance OfficerNew York, NY$100,000–$145,000 / yearCAIS is the pioneer in democratizing access to and education about alternative investments for independent financial advisors, empowering them to engage and transact with leading asset managers on a massive scale through a wide variety of alternative investment products and technology solutions. CAIS provides financial advisors with a broad selection of alternative investment strategies, including hedge funds, private equity, private credit, real estate, digital assets, and structured notes.
Compliance Officer CAISCompliance OfficerNew York, New York$100,000–$145,000 / year2-5 years + experience in a compliance role at a financial services firm with substantial knowledge of FINRA rules Understanding of FINRA & SEC marketing/advertising rules, and the day-to-day compliance affairs of public and private funds a plus Bachelor’s degree (required) FINRA Series 7 and Series 24 licenses (required) Exemplary oral, written, and interpersonal communication skills; ability to comfortably multi-task and meet deadlines Strong technical skills, excellent organizational skills, and strong follow-through mind-set Ability to work with colleagues to devise pragmatic and creative solutions, and to prioritize and focus on critical tasks that add value A natural ability to develop relationships, internally and externally CAIS is consistently recognized as a Best Place to Work, and our culture is at the heart of our success. CAIS is the pioneer in democratizing access to and education about alternative investments for independent financial advisors, empowering them to engage and transact with leading asset managers on a massive scale through a wide variety of alternative investment products and technology solutions.
Compliance Officer Capital Integration Systems LLCCompliance OfficerNew York, NY$100,000–$145,000 / yearCAIS is the pioneer in democratizing access to and education about alternative investments for independent financial advisors, empowering them to engage and transact with leading asset managers on a massive scale through a wide variety of alternative investment products and technology solutions. CAIS provides financial advisors with a broad selection of alternative investment strategies, including hedge funds, private equity, private credit, real estate, digital assets, and structured notes.
Junior Compliance Officer/Auditor SGI Global, LLCJunior Compliance Officer/AuditorNewark, NJFull timeAssist Auditors and Criminal Investigators with evaluation of Employment Eligibility Verification Form I-9.Assist with drafting audit reports and associated administrative fine paperwork to support the issuance of Notices of Intent to Fine, Final Orders, Warning Notices and other related documentation for HSI audits related to the employment eligibility verification process. Education is preferred to be in Business, Accounting, Finance, Information Systems or a similar field.1-3 years experience preferred Junior Compliance Officer TasksAt a minimum, the Junior Compliance Officer shall perform the following tasks:Responsible for inputting and evaluating data.
Chief Compliance Officer Grayscale Investments LLCChief Compliance OfficerStamford, CTDemonstrated expertise across B/D, RIA, and 40 Act compliance programs with hands-on working knowledge of the Investment Advisers Act of 1940, Investment Company Act of 1940, Securities Act of 1933, Securities Exchange Act of 1934, and applicable SEC, FINRA, NFA, and CFTC regulations. Assess compliance risk for all new products, funds, vehicles, and business lines prior to launch, delivering clear risk assessments and recommended controls to the CLO and relevant business leads.
Compliance Officer FLOW TRADERSCompliance OfficerNew York, NY$95,000–$130,000 / yearSupport the broader employee compliance program, including in the areas of employee onboardings/terminations, personal trading, outside business activities, gifts and entertainment, political contributions, exchange registrations, social media, electronic communications, and continuing education. All resumes, and any other information identifying potential candidates, submitted to any employee at Flow Traders via-email, the Internet or directly without a valid and signed search agreement will be deemed free to contact by Flow Traders without any restrictions and no placement fee of any kind will be paid in the event the candidate is hired by Flow Traders.
Lead Compliance Officer | Futures Commission Merchant Wells Fargo BankLead Compliance Officer | Futures Commission MerchantNew York, New York$143,000–$224,000 / yearThey are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. The successful candidate will help ensure compliance with evolving regulatory requirements, provide independent oversight of trading and clearing activities, and serve as a trusted advisor to business leadership on key compliance and regulatory matters.
Compliance Officer Flow TradersCompliance OfficerNew York, NY$95,000–$130,000 / yearSupport the broader employee compliance program, including in the areas of employee onboardings/terminations, personal trading, outside business activities, gifts and entertainment, political contributions, exchange registrations, social media, electronic communications, and continuing education. All resumes, and any other information identifying potential candidates, submitted to any employee at Flow Traders via-email, the Internet or directly without a valid and signed search agreement will be deemed free to contact by Flow Traders without any restrictions and no placement fee of any kind will be paid in the event the candidate is hired by Flow Traders.
Compliance Officer, Trading Compliance Point72Compliance Officer, Trading ComplianceStamford, CT or New YorkThe Point72 Compliance department is an industry-leading team of compliance professionals who support global investment and trading activities by establishing and enforcing the firm’s compliance policies, providing real-time advice, and conducting pre- and post-trade surveillance. Actual compensation offered to the successful candidate may vary from posted hiring range based upon geographic location, work experience, education, and/or skill level, among other things.
Assistant General Counsel/Compliance Officer BestEx Research Group LLCAssistant General Counsel/Compliance OfficerStamford, CTIts cloud-based platform, Algo Management System (AMS), is the first end-to-end algorithmic trading solution for equities and futures that delivers an entire ecosystem around execution algorithms, including transaction cost analysis (TCA), an algo customization tool called Strategy Studio, a trading dashboard, and pre-trade analytics in a single platform. BestEx Research uses leading-edge technology to support its low-latency, highly scalable research, and trading systems with its back end in C++, research libraries in C++/Python and R, and web-based technologies for delivering its front-end platforms.
ED, Regional Compliance Officer (Northeast) Morgan StanleyED, Regional Compliance Officer (Northeast)Purchase, New Yorkgifts, non-cash compensation, outside business activities, trading, etc.); > Ability to challenge the Business where there is a potential for regulatory or reputational risk; > The ideal candidate will be proactive, have strong verbal and written communications skills, and the ability to prioritize and handle multiple tasks in a fast-paced environment; > Ability to analyze data and identify and escalate key trends, patterns, and root causes; > Evidence strong leadership capabilities or previous supervisory experience; > Ability to work within a team and act independently; > Relevant Wealth Management Business experience; > Proven ability to interact with Financial Advisors and Branch staff in a professional and productive manner; > Excellent judgment and the ability to be discreet in all matters; > Bachelor's Degree required; > Preference for FINRA SIE, Series 7, 9/10, 24, and/or 65/66. > Provide Compliance guidance and advice to Regional Management and Market management on Firm and regulatory policies and procedures; > Participate in senior Compliance management meetings as well as meetings and coordination with senior business leaders in Wealth Management; > Collaborate with Regional Management on high-risk matters identified within the Region (e.g., sales practice issues, conduct matters, outside business activities, and recruits); > Engage with senior stakeholders in Field Management on various issues, including conduct-related matters, policy enhancements, and supervisory functions.
Compliance Officer Sixth Street Specialty Lending IncCompliance OfficerNew York, NY$175,000–$200,000 / yearOur firm is designed for cross-platform collaboration at scale: we build businesses, invest for growth, acquire assets, provide direct financing, identify value in public markets, purchase royalty streams, and regularly develop first-of-their-kind structures to meet the strategic objectives of management teams. The Compliance Officer will also drive key compliance-related projects and initiatives, including those pertaining to Sixth Street's Global Capital Markets platform, compliance testing, training, regulatory filings, and designing, implementing and advising on policies and procedures.
NewSenior Compliance Officer, Trade Surveillance (VN2849) MarexSenior Compliance Officer, Trade Surveillance (VN2849)New York, NY$125,000–$195,000 / yearProvide Trade Surveillance, E-communications, and Voice review services to US Broker Dealer (BD) and FCM (Futures) business lines Review alerts with due consideration in a timely fashion, maintaining queues within guidelines Use technical expertise and Surveillance toolset to make determinations on whether or not an alert is a true positive or false positive, closing false positives with proper documentation including explanatory reasoning. The role will primarily focus on Trade Surveillance (Trade Activity and Communications) across a range of asset classes (Cash Equity, Fixed Income, Commodities, Derivatives (Futures, Options, Swaps)) on multiple exchanges, trading platforms and venues with an opportunity to gain exposure to a wider range of compliance activities at a market-leading firm.
Deputy Chief Global Compliance Officer New York UniversityDeputy Chief Global Compliance OfficerNew York, NY$275,000–$325,000 / yearWorking under the strategic direction of the Chief Global Compliance Officer (CGCO), the Deputy CGCO operationalizes the program''s vision, provides day-to-day administrative oversight to the University's compliance efforts, and ensures adherence with international, federal, state, and local laws, as well as University policies and procedures. Collaborate with the University's Office of Internal Audit and Enterprise Risk Management (IA & ERM) in executing the day-to-day workflows of the Annual Institutional Risk Assessment process, specifically managing collaborative multi-SME panel reviews and assessments across priority compliance risk areas.
Monitoring & Surveillance Compliance Officer (Vice President) Credit Agricole SAMonitoring & Surveillance Compliance Officer (Vice President)NEW YORK, NY$135,000–$165,000 / yearKey Responsibilities:Review and handle communications alerts and pertinent data to assess potential violations of laws, rules, regulations and the Firm's policiesDirect the Monitoring & Surveillance review team, ensuring effective risk identification, escalation, and resolution. Key Internal contacts:All business units;IT Department;Legal department;Audit department;Risk departments; andOperations departments.