Senior Vice President Compliance Jobs in New York, NY

Serves as a senior function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies,... Read More

Join a leading fintech company that's democratizing finance for all. Robinhood was founded on a simple idea: that our financial markets should be accessible to all. With... Read More

Chief Compliance Officer (CCO) of Broker-Dealer at GCM Grosvenor New York, New York, United States SUMMARY The Compliance team is looking for a Chief Compliance Officer... Read More

Chief Compliance Officer, Broker Dealer New York City / Legal Legal / Full Time About Yieldstreet Yieldstreet is building the largest global digital wealth management... Read More

About the Role: Grade Level (for internal use): 12 The Role: Compliance Officer The Compliance Officer role is based in Englewood or New York and the successful candidate... Read More

Compliance Officer (New York, NY): The chance to join a thriving private equity fund in a #2 capacity is here. If you are an ambitious, intelligent, and curious compliance... Read More

Deputy Chief Compliance Officer (New York, NY): Our client, a hybrid fund with over $7 billion in AUM and several international offices, is looking to hire a Deputy Chief... Read More

COMPANY OVERVIEW KKR Co. Inc., together with its subsidiaries, is a leading global investment firm that offers alternative asset management and capital markets and... Read More

Conduct reviews under the Group s annual review program pursuant to Rule 206(4)-7 of the Advisers Act which includes conducting reviews of the Group s policies and... Read More

Seeking a candidate who will help conduct reviews of marketing materials to ensure conformance with US regulatory requirements as well as firm policies and procedures. The... Read More

Serves as a function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for assisting with internal strategies,... Read More

COMPANY OVERVIEW KKR Co. Inc., together with its subsidiaries, is a leading global investment firm that offers alternative asset management and capital markets and... Read More

As the founding entity of RAINBOW PARTNERS, Quanteam is a consulting firm specializing in the fields of Banking, Finance, and Financial Services. Guided by our core values... Read More

The Chief Compliance Officer of Park Avenue Securities (PAS) will be responsible for representing the firm to regulatory bodies and other key constituents as well as... Read More

Employer: DWS Group Title: Senior AFC and Compliance Officer Location: New York, New York About DWS: Today, markets face a whole new set of pressures but also a whole lot... Read More

Senior Compliance Officer - MNPI This role will provide senior Compliance coverage in relation to handling of material non-public information as it pertains to firm... Read More

Founded in 1992, Cerberus is a global leader in alternative investing with approximately $67 billion in assets across complementary credit, private equity, and real estate... Read More

Vacancy details General information Entity About Crdit Agricole Corporate and Investment Bank (Crdit Agricole CIB) Crdit Agricole CIB is the corporate and investment... Read More

COMPANY OVERVIEW KKR Co. Inc., together with its subsidiaries, is a leading global investment firm that offers alternative asset management and capital markets and... Read More