Chief Compliance Officer Jobs in New York

Lime Trading - New York, NY, United States

Chief Compliance Officer Lime Trading Corp is a registered execution-only, agency broker-dealer focusing on supporting low latency trading activity for institutional and retail clients trading

from: linkedin.com - 5 days ago

Cardea Group - New York, NY, United States

General Counsel & Chief Compliance Officer++ (New York, NY) : Our client, a $1B+ hedge fund with a strong reputation and track record, is looking to hire their first fully dedicated GC & CCO

from: linkedin.com - 7 days ago

Larson Maddox - New York, United States

A Business to Business (B2B) payments tool is hiring a Chief Compliance Officer in the New York City Office. Location: Hybrid in New York City The Chief Compliance Officer will be responsible USD200000 - USD350000 per annum

from: efinancialcareers.com - 2 days ago

BGC Group - New York, NY, United States

Job Title: Chief Compliance Officer Swap Execution Facility Location: 55 Water Street, or Iselin, NJ Branch Office (Currently hybrid: remote one day and in office four days per week) Firm Overview

from: linkedin.com - 7 days ago

Phaxis - New York, NY, United States (+1 location)

the preparation of the Annual Chief Compliance Officer (CCO) Report for the SEF, along with other mandated reports. Interface with technology support and risk management to ensure compliance with Firm policies

from: linkedin.com (+1 source) - 5 days ago

PensionBee - New York County, New York (+1 location)

on developments in SEC and DOL regulatory developments; ● assisting with training of members of the US and UK business on relevant legal, compliance and regulatory matters; and ● assisting the Chief Legal Officer

from: resume-library.com (+1 source) - Yesterday

DWS Group - New York, NY, United States

and Compliance Officer will assist the Chief Compliance Officer in developing and administering the policies and procedures of the Sales Coverage business (“Coverage”) in the sale and offer of mutual funds/ETFs

from: linkedin.com - 2 days ago

Rutherford - , NY, United States

compliance monitoring reports Trade surveillance, monitoring and testing Assist in regulatory reporting and filings, such as Form ADV, Form PF, and 13 Filings Support the Chief Compliance Officer

from: linkedin.com - 13 days ago

Phaxis LLC - Uniondale, New York

, and ensuring compliance with relevant laws, regulations, and internal policies. Key Responsibilities: Collaborate with the Chief Audit Officer (CAO) to manage and schedule detailed IT audit activities, including

from: resume-library.com - Yesterday

Cardea Group - New York, NY, United States

Exclusive and highly coveted opportunity to work directly under a General Counsel and Chief Compliance Officer who is regarded as one of the best in the hedge fund business. This new hire will sit

from: linkedin.com - 13 days ago