Our client is a top asset management firm with an excellent reputation, particularly in Real Estate. The role will report directly into the CCO and cover Central Compliance function for the firm including Marketing and Advertising Compliance, Code of Ethics, Personal Trading, Regulatory Filings, Policies and Procedures, Assisting with Regulatory Exams and Inquiries. The ideal candidate will have 4 years of experience at an SEC regulated asset man...
A leading global proprietary trading firm is seeking an experienced. Senior Compliance Officer. to join its Americas Compliance team in New York City. This is a high-impact role supporting all aspects of the firm’s U.S.-listed options and futures businesses. Reporting directly to the Americas Chief Compliance Officer, you will serve as a trusted advisor to trading, technology, and business leadership. About the Role. The successful candidate will...
Belvedere Trading is a leading proprietary trading firm proudly headquartered in downtown Chicago. Our traders work hard to provide liquidity to the market through their market-making activities and are the masters of a diverse set of commodities, interest rates, exchange-traded funds (ETF), and equity index options. From the beginning, we began iteratively investing in our proprietary technology and committing to building our systems from the gr...
Description. Job Title. Senior Compliance Officer. Reports to. Managing Director / Chief Compliance Officer of tru Independence. Department. Compliance. Location. Portland, OR or Indianapolis, IN. Please do not apply if you are unable to reliably commute to Portland OR or Indianapolis, IN at the time of submitting your application. About tru. Founded in 2014, tru Independence, LLC ('tru') partners with breakaway advisor teams and established RIAs...
Marsh McLennan Agency (MMA) is seeking a Senior Compliance Officer - EH&B to serve as a trusted advisor to business colleagues on regulatory, risk, compliance and ethics issues relating to MMA's regulated insurance brokerage businesses. The Senior Compliance Officer - EH&B will cover an array of issues and will support the execution of all elements of the Company's compliance program, with a primary focus on MMA's EH&B business. Please note that ...
Job Title. Senior Compliance Officer/ Assistant General Counsel. Location. Wheaton, IL (Onsite). Compensation. $120K-150K Bonus DOE. Skills. Private Fund Offerings, Alternative Investments, Reg BI, REITs, DSTs, tender/interval funds, co-investment vehicles, PPMs, SEC and FINRA rules and regulations. We are a registered broker-dealer that needs an experienced Senior Compliance Officer or Assistant General Counsel to join our team. If you have 5 ye...
Department/Unit: Compliance Office Work Shift: Day (United States of America) Salary Range: $133,724.95 - $213,959.93 The Senior Compliance Officer will be responsible for developing and implementing an effective Compliance program which promotes the attainment of Albany Medical Center’s goals and objectives while adhering to applicable laws, rules and regulations for Albany Medical Center. The Senior Compliance Officer will work closely with the...
Job Title. Senior Compliance Officer. Location. CityScape. What You'll Do. As a Senior Compliance Officer you'll review and analyze information, reports or data to determine if the applicable process is in compliance with internal policy or regulations. You'll assist management with development, maintenance, and support of the Compliance Management System (CMS). In this role you'll provide subject matter advice, oversight, and guidance on applica...
Position Details. Provide ongoing compliance support to WorldQuant Millennium Advisors (“WMA”). Conduct ongoing WMA compliance reviews. Address compliance-related items for the launches of new WMA funds and separately managed accounts (“SMAs”). Assist with regulatory examinations, inquiries, investigations and projects, as necessary. Monitor global regulatory changes, updates and industry-wide compliance initiatives. Assist with drafting and amen...
. CORPORATE PROFILE. Ziegler is a specialty investment bank with unique expertise in complex credit structures and advisory services. Headquartered in Chicago with regional and branch offices throughout the U.S., Ziegler creates tailored financial solutions for our clientele. Ziegler is ranked nationally as one of the leading investment banking firms in our specialty sectors of healthcare, senior living, religion and education finance as well as ...
. CORPORATE PROFILE. Ziegler is a specialty investment bank with unique expertise in complex credit structures and advisory services. Headquartered in Chicago with regional and branch offices throughout the U.S., Ziegler creates tailored financial solutions for our clientele. Ziegler is ranked nationally as one of the leading investment banking firms in our specialty sectors of healthcare, senior living, religion and education finance as well as ...
