Job DescriptionCompliance Officer – Trade Compliance
Location: San Diego, CA preferred
About us
Taoglas is a leading provider of advanced technology for a smarter World. Our solutions include advanced components and technologies that help OEMs, enterprises, and communities to resolve the complexities of bringing digital transformation solutions to market quickly and cost effectively. Focused on...
Compliance Associate Open
Compliance Associate Open
Job DescriptionCompliance Associate
Position Summary
We are seeking a detail-oriented and collaborative Compliance Associate to support a broad range of investment and employee compliance activities within a dynamic financial services environment. This role will partner with Compliance, Legal, Operations, Human Resources, Risk, and business teams to help maintain effective compliance programs, moni...
Compliance Associate Open
Compliance Associate Open
Job DescriptionCompliance Analyst/Associate (Connecticut): Our client, an established global asset manager is seeking a Compliance Analyst/Associate to join its Connecticut office. This individual will work as part of a lean Compliance team and gain broad exposure across investment compliance, trading, regulatory reporting, Code of Ethics administration and firmwide compliance matters. The position...
Compliance Analyst Open
Compliance Analyst Open
Job Description
Description
Office of Compliance Services
Support a comprehensive compliance program that helps protect organizational integrity, regulatory alignment, and patient trust. The Compliance Analyst plays a key role in investigations, compliance reviews, auditing, monitoring, training, and risk mitigation efforts. This position serves as a trusted resource to internal stakeholders...
Compliance Officer Open
Compliance Officer Open
Job DescriptionReporting directly to the SVP, Deputy Chief Compliance Officer, the VP, Compliance Manager will lead the design and daily responsibilities of the compliance program for Capital Partners, managing a range of legal, regulatory and compliance risks associated with third-party capital management in a SOX environment. The successful candidate will work closely with leaders within Capital ...
Compliance Associate Open
Compliance Associate Open
Job DescriptionCompliance Associate – Code of Ethics
Location: New York, NY
Industry: Alternative Investment Management
Function: Legal & Compliance
Level: Associate
The Opportunity
A leading global investment firm is looking to add a Compliance Associate to its New York Legal & Compliance team.
This is a broad-based compliance position with a particular focus on the firm’s Code of Ethics and...
Compliance Officer Open
Compliance Officer Open
Job Description
Compliance Officer
Location: Miami, FL
Employment Type: Full-Time
Reports To: Chief Compliance Officer (CCO)
Zinvest Financial Service, LLC, an SEC-registered and FINRA-member introducing broker-dealer, is seeking a Compliance Officer to support its regulatory compliance program, daily brokerage operations, and supervisory activities.
The ideal candidate will have hands-on broke...
Compliance Officer Open
Compliance Officer Open
Job DescriptionCompany Statement
Sterling Capital Management LLC (SCM), founded in 1970, is an indirect, wholly-owned subsidiary of Guardian Capital Group Limited. Headquartered in Charlotte, SCM provides investment advisory services through mutual funds, separately managed accounts, model portfolios, and other commingled vehicles offered through a variety of intermediary and managed account platfo...
Compliance Associate Open
Compliance Associate Open
Job DescriptionAn Investment Management Firm is seeking an experienced professional to join their team as a Compliance Associate.
Responsibilities:
Support the administration and ongoing development of the firm’s compliance program
Maintain compliance policies, procedures, documentation, and internal monitoring processes
Assist with regulatory reporting, periodic reviews, and compliance test...
Compliance Associate Open
Compliance Associate Open
Job DescriptionA financial services firm is looking for a Compliance Associate to join its regulatory compliance team. This is a broad-based role covering securities compliance, employee conduct, regulatory registrations, monitoring, examinations, and compliance program administration.
The position is well suited for someone with broker-dealer compliance experience who enjoys a varied workload and...
Compliance Associate Open
Compliance Associate Open
Job DescriptionA growing Chicago-based investment management firm is seeking a Compliance Associate to join and work closely with Senior Compliance and Legal leadership across a broad range of regulatory, governance and compliance matters supporting the firm's registered investment adviser and public and private investment funds.
This is a broad-based compliance position offering exposure across t...
Compliance Manager Open
Compliance Manager Open
Job Description*THIS IS NOT A REMOTE POSITION*
Position Summary:
The Compliance Manager will be responsible for developing, implementing, and managing a comprehensive compliance program to ensure adherence to federal and state healthcare laws and regulations, including HIPAA, Stark Law, Anti-Kickback Statute, OSHA/TOSHA, and other applicable standards. This role will partner closely with executive ...
Compliance Principal Open
Compliance Principal Open
Job DescriptionAbout the Role
Our client, a highly regarded, global alternative asset management firm, is seeking an experienced and strategic Compliance Principal to join its growing compliance team. In this high-visibility role, you will oversee and manage compliance functions across private credit, direct lending, and specialized fund structures. You will partner closely with investment teams, l...
Compliance Analyst Open
Compliance Analyst Open
Job DescriptionTitle: Compliance Analyst - Code of Ethics
Location: Midtown Manhattan (onsite 3 days/week)
Compensation: $90K-$110K base + bonus
This role supports the Code of Ethics program of a $12B+ hedge fund in Midtown Manhattan.
Responsibilities:
Coordinate ethics-related onboarding activities, including new-hire training and validation of employee brokerage and investment disclosures thr...
Compliance Officer Open
Compliance Officer Open
Job DescriptionThe Opportunity
Our client, an established alternative investment firm, is seeking an Associate Director to join its Compliance team in New York. This individual will take ownership of several key areas of the firm’s compliance program and serve as a trusted partner to stakeholders across the business.
The role offers meaningful visibility and the opportunity to help modernize the ...
Compliance Manager Open
Compliance Manager Open
Job DescriptionJCW Group is partnering with a regional bank on a search for a Compliance Manager to lead their Compliance Department and help manage regulatory risk across federal/state banking regulations.
Job Responsibilities:
Own and evolve the bank's comprehensive compliance program
Track regulatory changes and translate them into policy updates
Serve as the compliance voice to senior mana...
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