906 compliance jobs found in New York, NY

Blackstone is the world's largest alternative asset manager. We seek to create positive economic impact and long-term value for our investors, the companies we invest in, and the communities in which we work. We do this by using extraordinary people and flexible capital to help companies solve problems. Our $1.1 trillion in assets under management include investment vehicles focused on private equity, real estate, public debt and equity, infrastructure, life sciences, growth equity, opportunistic, non-investment grade credit, real assets and secondary funds, all on a global basis. Further information is available at www.blackstone.com. Follow @blackstone on LinkedIn, X, and Instagram. Blackstone is seeking an experienced and strategic SVP of Data Compliance and Risk to design, implement, and enhance oversight programs across Privacy, Cybersecurity, Artificial Intelligence and Records. Sitting within Blackstone's Legal & Compliance group, this is a management-level role with...

Our purpose - Opening up a world of opportunity - explains why we exist. Here at HSBC we use our unique expertise, capabilities, breadth and perspectives to open up new kinds of opportunity for our more than 40 million customers. We're bringing together the people, ideas and capital that nurture progress and growth, helping to create a better world - for our customers, our people, our investors, our communities and the planet we all share. As Risk Stewards, Regulatory Compliance (RC) Advisors provide advice, guidance, opinions, direction, and training related to the regulatory landscape to the First Line of Defence/business. They support the business in complying with the letter and spirit of relevant regulations, thereby delivering fair outcomes for customers and embedding a robust risk management culture in HSBC's business processes. The remit may range from a small geographic area/country to global for a Function or Global Business Line. A key risk management role that has a...

Job Description Bring your expertise to JPMorgan. As part of Compliance, Conduct and Operational Risk (CCOR), you are at the center of keeping J.P. Morgan Chase strong and resilient. You help the firm manage its data in a responsible way by anticipating new and emerging risks and using your expert judgment to solve real-world challenges that impact our company and customers. Our culture in CCOR is all about thinking outside of the box, challenging the status quo, and striving to be best in class. The Data & Artificial Intelligence (AI) CCOR team provides on-going independent second line of defense (2LOD) oversight and credible challenge to first line of defense (1LOD) business and functional activities. As a Privacy Vice President in the Data & AI CCOR team, you will be part of an innovative and talented team providing second line oversight and challenge of the Firmwide Privacy Office. This position requires expertise and experience in privacy governance, compliance,...

Blackstone is the world's largest alternative asset manager. We seek to create positive economic impact and long-term value for our investors, the companies we invest in, and the communities in which we work. We do this by using extraordinary people and flexible capital to help companies solve problems. Our $1.1 trillion in assets under management include investment vehicles focused on private equity, real estate, public debt and equity, infrastructure, life sciences, growth equity, opportunistic, non-investment grade credit, real assets and secondary funds, all on a global basis. Further information is available at www.blackstone.com. Follow @blackstone on LinkedIn, Twitter, and Instagram. We are seeking an experienced Transactions Attorney to provide legal transactional support across Blackstone Private Equity Strategies. In this role you will be responsible for leading and managing complex transactions, including mergers and acquisitions (M&A), structured and minority equity...

Serves as a function/business/product compliance risk officer as a Senior VP for Equities Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a risk management framework that maintains risk levels within the firm's risk appetite and protect the franchise. In addition, engages with the ICRM product and function coverage teams, in order to partner to develop and apply CRM program solutions that meet the function/business/product and customer needs in a manner consistent with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors, providing day-to-day Compliance advice relating to operations, financial requirements, and guidance on the supported function/business/product and the associated regulatory rules/laws and interpretation on internal policies and procedures....

Work Location : New York, New York, United States of America Hours: 40 Line of Business: Compliance Pay Detail: $120,000 - $190,000 USD TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs. As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role. Job Description: The TDS US Compliance team is looking for Vice President candidates to join the trade surveillance team....

SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. The Group has more than 130 offices and 80,000 employees worldwide in nearly 40 countries. Sumitomo Mitsui Financial Group, Inc. (SMFG) is the holding company of SMBC Group, which is one of the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges. In the Americas, SMBC Group has a presence in the US, Canada, Mexico, Brazil, Chile, Colombia, and Peru. Backed by the capital strength of SMBC Group and the value of its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It connects a diverse client base to local markets and the organization's extensive global network. The Group's operating...

Job Description Job Title: Fixed Income Compliance Officer Level: SeniorVice President Reporting to: US Head of Fixed Income Compliance Job Description : The Fixed Income Compliance Officer serves as key function/business/product compliance advisor within the Fixed Income Compliance Advisory Group with primary coverage of Credit products and US Rates. Responsibilities: This position is based in New York City in the Fixed Income Compliance Advisory Group and will be primarily responsible for the following: Offer regulatory and compliance guidance to business partners on intricate sales and trading matters, particularly those related to credit products such as Investment Grade, High Yield, and Emerging Markets. Serve as a subject matter expert on products, regulatory reporting, and broker-dealer operations by maintaining proficient knowledge of applicable functions, securities laws, and regulatory rules. Working with business partners (i.e., Surveillance,...

Job Description SVP, Fixed Income Compliance Advisory Level: SeniorVice President Reporting to: US Head of Fixed Income Compliance Job Description : The Fixed Income Compliance Officer serves as key function/business/product compliance advisor within the Fixed Income Compliance Advisory Group with E-Trading and Credit products. Responsibilities: The desired candidate has senior level experience providing compliance advisory support for Sales and Trading across all Fixed Income products with a special focus on Electronic Trading: Providing regulatory and compliance advice to business partners about complex sales and trading issues, with a focus on Credit E-Trading, Investment Grade, High Yield and Emerging Markets Deep knowledge of the fixed income market structure, along with insights into how evolving dynamics have influenced business operations and heightened regulatory oversight. Familiarity with various E-Trading platforms and contribution to the...

Job Title VP, Global Ethics & Compliance Program Job Description Summary Job Description Key Responsibilities Collaborate with the Chief Ethics & Compliance Officer to develop the Global Ethics & Compliance Program priorities related to compliance with ABAC, AML, and trade sanctions regulations. Provide legal advice, counseling and guidance related to ABAC, AML, and trade sanctions and conflicts of interest matters. Develop and execute global ethics & compliance training and communications plans. Develop and launch training materials using LMS tools. Facilitate implementation of the Global E&C Program in each of the regions by collaborating with, and providing guidance to, the Regional E&C Teams. Collaborate with Regional Compliance Teams to tailor the global ethics & compliance trainings and communications for their regions. Develop an ethics & compliance risk assessment and monitoring program. Review and revise global ethics &...

Serves as a senior compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a risk management framework that maintains risk levels within the firm's risk appetite and protect the franchise. In addition, engages with the ICRM product and function coverage teams, in order to partner to develop and apply CRM program solutions that meet business and customer needs in a manner consistent with the Citi program framework. Responsibilities: Writing regulatory closure documentation to demonstrate the risk reduction of work completed as part of the Regulations Management consent order. Complete quality reviews of consent order documentation. Designing, developing, delivering and maintaining best-in-class Compliance, programs, policies and practices for ICRM, specifically for Regulations Management...

Founded in 1992, Cerberus is a global leader in alternative investing with approximately $65 billion in assets across complementary credit, private equity, and real estate strategies. We invest across the capital structure where our integrated investment platforms and proprietary operating capabilities create an edge to improve performance and drive long-term value. Our tenured teams have experience working collaboratively across asset classes, sectors, and geographies to seek strong risk-adjusted returns for our investors. For more information about our people and platforms, visit us at www.cerberus.com . Job Purpose: Cerberus is seeking an analytical and collaborative attorney who is interested in serving as a compliance officer and associate general counsel. This individual will play a pivotal and diverse role in safeguarding our organization and its investments against financial crimes and ensuring adherence to ethical standards. The role will involve participation in all...

Job Purpose: BTIG seeks a Compliance professional in the New York office, who will handle multiple tasks concentrated within BTIG's FICC Compliance group with a primary focus on the firm's institutional Fixed Income business. Title and responsibilities will depend on candidate's background, work history and Compliance experience. This individual must be well-organized, production-oriented and detail driven. Candidate will possess qualities such as personability, professionalism, enthusiasm, and self-motivation. Candidate will have the ability to work in a fast-paced environment, will take a solution-based approach to daily tasks and will collaborate well with her/his team members. Candidates should have a broad understanding of Fixed Income (Securitized Products, Corporates, Convertibles, Preferreds and Treasuries. A general background in Futures and FX products would be a plus. Duties & Responsibilities: Trade reporting oversight for Fixed Income including data analysis...

CAIS is the pioneer in democratizing access to and education about alternative investments and structured products for independent financial advisors, empowering them to engage and transact with leading asset managers and bank issuers on a massive scale through a wide variety of alternative investment products and technology solutions. CAIS provides financial advisors with a broad selection of alternative investment strategies, including hedge funds, private equity, private credit, real estate, digital assets, and capital market solutions including structured notes, market-linked CDs, and hedging strategies for concentrated stock positions. CAIS also delivers industry-leading technology, operational efficiency, and world-class client service throughout the pre-trade, trade, and post-trade experience. CAIS supports over 50,000 advisors who oversee more than $6 trillion in network assets. We are seeking a highly motivated Structured Notes Compliance Professional to join our growing...

Jordan Park provides investment management and financial advice to a distinct community of individuals, families, and institutions. Our clients have made extraordinary contributions to business, philanthropy, government, and society. Our team is composed of empathetic problem solvers with depth and diversity of experience. We embrace complexity and navigate challenges to empower clients to achieve their optimal outcomes. Our mission is to enhance lives and legacies. Vice President, Compliance New York, New York We are looking for an exceptional compliance professional to support the growth of our multi-family office and investment advisory firm based in San Francisco, New York and Portsmouth, New Hampshire. This position will be based in New York. This is an opportunity to work within the Compliance team led by the Chief Compliance Officer who is based on San Francisco. The Compliance team works closely with our partners across the advisory and investment businesses, within a...

Job Description Job Title: Fixed Income Compliance Officer Level: Vice President Reporting to: US Head of Fixed Income Compliance Job Description : The Fixed Income Compliance Officer serves as key function/business/product compliance advisor within the Fixed Income Compliance Advisory Group with primary coverage of U.S. Rates. Responsibilities: This position is based in New York City in the Fixed Income Compliance Advisory Group and will be primarily responsible for the following: Providing regulatory and compliance advice to business partners about complex sales and trading issues, with a focus on U.S. Rates activities, including Primary Dealer / Treasuries, Repo, GSE/Agencies, and fixed income futures. Serve as a subject matter expert on products, regulatory reporting, and broker-dealer operations by maintaining proficient knowledge of applicable functions. Working with business partners (i.e., Surveillance, IT, Operations etc.) to develop and enhance...

Vacancy details General information Entity About Crédit Agricole Corporate and Investment Bank (Crédit Agricole CIB) Crédit Agricole CIB is the corporate and investment banking arm of Crédit Agricole Group, the 10th largest banking group worldwide in terms of balance sheet size (The Banker, July 2022). 8,600 employees in more than 30 countries across Europe, the Americas, Asia-Pacific, the Middle-East and North Africa, support the Bank's clients, meeting their financial needs throughout the world. Crédit Agricole CIB offers its large corporate and institutional clients a range of products and services in capital market activities, investment banking, structured finance, commercial banking and international trade. The Bank is a pioneer in the area of climate finance, and is currently a market leader in this segment with a complete offer for all its clients. For more information, please visit www.ca-cib.com Twitter: https://twitter.com/ca_cib LinkedIn:...

About this role Summary: We are seeking a highly motivated professional to serve as a member of BlackRock's 1940 Act Registered Fund Compliance team, focusing on multiple product lines including mutual funds, closed-end funds and ETFs. The role will support both index and actively managed products. This individual will be able to effectively manage compliance risk and help ensure compliance with regulatory requirements and applicable BlackRock policies and procedures relating to 1940 Act products. The individual will provide compliance support to key partners including product development, business operations and portfolio management. The successful candidate will also participate in special projects and strategic initiatives. Candidates should be able to work effectively within a team environment, but also be self-directed and able to work autonomously. Responsibilities would include, but not be limited to: Assist in development of compliance program for 1940 Act funds,...

PIMCO is a global leader in active fixed income with deep expertise across public and private markets. We invest our clients' capital across a range of fixed income and credit opportunities, leveraging our decades of experience navigating complex debt markets. Our flexible capital base and deep relationships with issuers have helped us become one of the world's largest providers of traditional and nontraditional solutions for companies that need financing and investors who seek strong risk-adjusted returns. Since 1971, our people have shaped our organization through a high-performance inclusive culture, in which we celebrate diverse thinking. We invest in our people and strive to imprint our CORE values of Collaboration, Openness, Responsibility and Excellence. We believe each of us is here to help others succeed and this has led to PIMCO being recognized as an innovator, industry thought leader and trusted advisor to our clients. Role Overview PIMCO is seeking a dynamic...

Work Location : New York, New York, United States of America Hours: 40 Line of Business: Compliance Pay Detail: $140,000 - $185,000 USD TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs. As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role. Job Description: Preferred Qualifications: TD Securities' Regulatory Compliance Management Framework (RCM) is implementing...