The successful candidate will report to the Chief Compliance Officer of 50 South and also the Alpha Strategies Fund, a registered closed-end fund managed by 50 South. This position is part of Northern Trust's Asset Management ("NTAM") Compliance team, led by the Head of Compliance for Asse...
In addition, the Compliance Officer will also be expected to work with the Chief Compliance Officer ("CCO"), Deputy CCO, and other senior leaders on strategic initiatives and essential workstreams. Directly working with and supporting our Deputy-Chief Compliance Officer and Senior Complian...
Compliance officer that will be responsible for supporting the local compliance program and related regulatory obligation. Assist with the development of specific aspects of a compliance program related to the operation of an SEC Registered U. Support the local compliance monitoring and testing prog...
Oversee and manage the firm’s compliance program. Perform risk assessments, monitoring and surveillance activities, and engage in project management to support the compliance program and ensure best practices. Act as the primary AML Officer. Lead and manage all regulatory exams, inquiries, and new c...
The CCO is responsible for all compliance and supervisory functions while being a liaison for the firm leaders and may designate other individuals for compliance assistance, such as maintaining logs, compliance research, etc. MONECO Advisors, LLC (Fairfield, CT) Seeking Chief Compliance Officer. Con...
Interactive Brokers | Compliance Officer – Electronic Trading. ...
Collaborate with compliance consultants on compliance monitoring schedule, annual enterprise-wide compliance risk assessment, monitoring reviews and other risk assessments. Ensure compliance with all lending and deposit Federal and State consumer compliance banking laws and regulations and adherence...
Global Regulatory Compliance, Mutual Funds is a five-person team responsible for overseeing the compliance programs of the US domiciled registered investment companies for the Chief Compliance Officers. Support the Chief Compliance Officers (CCOs) in the preparation, assembly, and dissemination of t...
Compliance officer that will be responsible for supporting the local compliance program and related regulatory obligations. Assist with the development of specific aspects of a compliance program related to the operation of an SEC Registered Investment Advisor, including integration work. Support th...
The successful candidate will report to the Chief Compliance Officer of 50 South and also the Alpha Strategies Fund, a registered closed-end fund managed by 50 South. This position is part of Northern Trust’s Asset Management (“NTAM”) Compliance team, led by the Head of Compliance for Asset Manageme...
The primary responsibilities of the Compliance Testing Officer include:. Managing the firm’s annual compliance testing program. Assist in the development of the firm’s compliance testing program, including testing procedures, methodologies, risk assessments and frequency schedules to comply with rel...
Support the Code of Ethics Program, including oversight of all personal securities trading, periodic attestations and certifications and related staff regulatory reporting obligations.Administer and manage a regional Code of Ethics programs, across multiple branch offices and investment platforms.In...
The President and Chief Compliance Officer, for BDO Capital Advisors, LLC will serve dual roles in leading the organization’s investment banking subsidiary and managing its operational and compliance functions. The President and Chief Compliance Officer will work on building, implementing, and overs...
Position Overview of the Associate General Counsel:. As the Associate General Counsel at BLT, you will play a critical role in managing legal matters related to our real estate business. You will work closely with the General Counsel and other key stakeholders to provide legal guidance and ensure co...
Interactive Brokers is looking for a motivated and talented litigation attorney with experience in securities and commodities issues in the broker-dealer and futures commission merchant space, who is interested in joining the firm's General Counsel office in Greenwich, CT, Chicago, IL or Washing...
The Senior Data Analyst - Compliance will be responsible for researching and documenting data lineage from a regulatory compliance perspective to support global broker-dealer reporting requirements. This is a compliance role that will work closely with the data governance team and other functions as...
This position supports the Ankura Risk, Forensics & Compliance practice - one of six practices focused on client delivery services across the Firm. The position will focus particularly on engagements with Ankura's National Security, Trade & Technology team in the International Trade Complian...
This role will serve as the head of all compliance-focused due diligence activities involving supervision of sub-advisers and other third-party managers. In this role, this person will work closely with the CCOs within NTAM, NTAM's Operational Due Diligence Team, and NTAM's Multi-Manager Research Te...
In addition to investment-related responsibilities, the Counsel will oversee all general corporate, employment, IP, and governance matters for Palm, and play a similar role supporting portfolio companies with general legal matters including employment, leasing, partnership agreements, contracts, wit...
Capital is looking to hire a Tax Compliance Associate or Assistant Vice President to join to Fund Finance Central Services team. Coordinate and oversee the fund federal and state tax compliance, as well as Schedule K-1 and tax estimate reporting. ...
LAW FIRM SEEKING AN EXPERIENCED COO.We are looking for a Legal COO who plays all in.Who deeply understands employee engagement, is metrics-driven and KPI-obsessed, and gets fired up at finding a better way to improve and grow us and with us.Who is a virtuoso implementer who loves leading people and ...
EisnerAmper is looking to hire a Senior Manager to join its Risk and Compliance Services practice as a dedicated member of the National Security Advisory services team. The Risk and Compliance Services National Security team drives value by delivering a range of risk advisory and compliance solution...
Job Title: Associate General Legal Counsel. With a commitment to driving positive change in the renewable energy sector, we are seeking a dynamic and experienced Associate General Legal Counsel to join our team in Stamford, Connecticut. As an Associate General Legal Counsel, you will play a pivotal ...
The Privacy and Compliance Analyst is responsible for supporting a variety of firm-wide projects and initiatives for the team. Serving as a privacy and compliance resource to teams and workgroups to continuously improve processes designed to mitigate risk of non-compliance;. Candidates should have a...
At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection.Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day.One of the keys to driving Responsible Gr...