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Deputy Chief Compliance Officer, New York, NY

Cardea Group

New York,NY United States

Opportunities Deputy Chief Compliance Officer (New York, NY):Our client, a hedge fund with over $10 billion in AUM and several international offices,. . .

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Posted on:
03/07/2021
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03/28/2021
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At Chief

Chief

New York,NY United States

Membership Manager Team Lead, NYC About Us: Chief’s mission is to build the most powerful network focused on connecting and supporting female le. . .

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Posted on:
02/26/2021
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03/25/2021
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At Chief

Chief

New York,NY United States

FP&A Associate About Us: Chief’s mission is to build the most powerful network focused on connecting and supporting female leaders. With members. . .

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Posted on:
02/26/2021
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03/25/2021
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Chief Compliance Officer

Staffing Future

Uniondale,NY USA

Chief Compliance OfficerUniondale, New YorkApply NowA major broker-dealer in the NYC metro area is looking to add a new Chief Compliance Officer to th. . .

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Posted on:
02/26/2021
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03/25/2021
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Counsel & Chief Compliance Officer, New York, NY

Cardea Group

New York,NY United States

Opportunities Counsel & Chief Compliance Officer (New York, NY):Our client, a $500M hedge fund, is seeking a sharp, earnest, and diligent lawyer to j. . .

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Posted on:
02/26/2021
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03/25/2021
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Chief Compliance Officer (CCO) - Financial Services - New York

Twenty Recruitment

New York,NY United States

Our client, a leading profitable Fintech Marketplace Lender, is looking for a Chief Compliance Officer (CCO) in New York. Expertise in applicable regu. . .

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Posted on:
03/07/2021
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03/28/2021
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Chief Compliance Officer - Banking - New York

Twenty Recruitment

New York,NY United States

Our client, an international bank, is looking for a CCO to lead the compliance program in New York. The CCO will manage the compliance team in the US . . .

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Posted on:
03/07/2021
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03/28/2021
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Chief Compliance Officer (CCO) - Fintech - New York

Twenty Recruitment

New York,NY United States

Our client is seeking a Chief Compliance Officer (CCO) who will be responsible for overseeing the firms compliance program. The CCO will monitor tradi. . .

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Posted on:
03/07/2021
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03/28/2021
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Chief Compliance Officer (CCO) - Fintech - New York

Twenty Recruitment

New York,NY United States

Our client is seeking a Chief Compliance Officer (CCO) who will be responsible for overseeing the firms compliance program. The CCO will monitor tradi. . .

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Posted on:
03/07/2021
Apply Before:
03/28/2021
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Chief Compliance Officer - Banking - New York

Twenty Recruitment

New York,NY United States

Our client, an international bank, is looking for a CCO to lead the compliance program in New York. The CCO will manage the compliance team in the US . . .

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Posted on:
03/07/2021
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03/28/2021
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Chief Compliance Officer

Infinity Consulting Solutions

New York,NY United States

Chief Compliance Officer - MSB Fintech Startup - 100% Remote Location:New York, NY Job Type:Right to Hire Ref No:21-00969 . . .

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Posted on:
02/27/2021
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03/25/2021
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Compliance Officer, New York, NY

Cardea Group

New York,NY United States

Opportunities Compliance Officer or Senior Compliance Officer – title TBD and based on experience (New York, NY):Our client, an established hedge f. . .

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Posted on:
02/26/2021
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03/25/2021
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Chief Compliance Officer

Signature Healthcare.

Brockton,MA United States

The Chief Compliance Officer is responsible for the oversight of the SHC Corporate Compliance Program that includes Brockton Hospital, Inc., and Signa. . .

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Posted on:
03/08/2021
Apply Before:
03/29/2021
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Chief Compliance Officer

Affinity Search

Phoenix,AZ United States

Critical Duties 1. Manages the Compliance function in order to ensure that all Bank functions are in compliance with applicable federal, state, and l. . .

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Posted on:
02/26/2021
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03/25/2021
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Chief Compliance Officer

Affinity Search

Sioux Falls,SD United States

Critical Duties 1. Manages the Compliance function in order to ensure that all Bank functions are in compliance with applicable federal, state, and l. . .

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Posted on:
02/26/2021
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03/25/2021
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Deputy Chief Compliance Officer, New York, NY

Cardea Group

New York, NY, United States Estimated Salary : $ 154,127 per year

Job Type: Full Time

Category: Governance

Key Skills:

training Internship - <p>if You Make Hearts Beat Faster, Your Own Has To Be In The Right Place. Key Skills

  • Risk Assessment
  • Investment Management
  • Auditing
  • Time Management Skills
  • CRCM
  • Billing
  • Trading
  • Public Speaking
  • Fintech
  • Dissemination

Apply Now   
Apply Now   
Opportunities

Deputy Chief Compliance Officer (New York, NY):Our client, a hedge fund with over $10 billion in AUM and several international offices, is looking to hire a Deputy Chief Compliance Officer to join their Global Compliance Team based in New York. This position will report directly to the firm’s Global CCO focusing on the general management, implementation and maintenance of the firm’s compliance monitoring program.

Key Points:

Opportunity to join a thriving hedge fund in a senior capacity Position will manage 4 staff Firm prides itself on innovation and growing people both personally and professionally

Responsibilities:

Periodic and ongoing assessment of the firm’s compliance program; develop and implement the firm’s compliance policies and procedures and compliance monitoring program Mentor and manage a 4-person compliance team while working closely with the CCO to manage the compliance program; oversee and assist in the preparation of regulatory filings, MNPI management, marketing material review, portfolio compliance, Code of Ethics oversight, AML, information security and compliance testing Review investor communications, promotional materials and fund documentation; assist with preparation for internal and external audits, regulatory examinations and investigations Manage the firm’s training program, conducting training sessions and design, lead and complete multi-disciplinary projects; interact with and provide advisory compliance support to investor relations, business development and operational professionals Monitor ongoing legal and regulatory developments; implement new compliance initiatives as law, compliance and business circumstances evolve

Qualifications:

8-10 years of relevant investment advisory compliance experience; JD is preferred. Deep expertise and excellent judgement across compliance areas; thorough understanding of both the investment management industry and U.S. and international securities laws applicable to private funds, including the Investment Advisers Act of 1940, the Commodity Exchange Act, the Investment Company Act of 1940 and ERISA Must be a highly organized and proactive, able to work independently on several projects while maintaining an appropriate level of transparency with the CCO and escalating matters as necessary Experience managing members within compliance is a plus; team oriented attitude with demonstrated leadership skills including effective public speaking skills

Job Reference #1625

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