446 vice president compliance jobs found in New York, NY

Description & Requirements VP, Compliance Officer New York, New York About Fortress Fortress Investment Group LLC is a leading global investment manager with approximately US$48 billion of assets under management as of June 30, 2024. Founded in 1998, Fortress manages assets on behalf of over 2,000 institutional clients and private investors worldwide across a range of credit and real estate, private equity, permanent capital, and multi-manager investment strategies. Investment performance is our cornerstone - we strive to generate strong risk adjusted returns for our investors over the long term. For additional information on Fortress, please visit www.fortress.com . About The Position Fortress seeks an experienced Compliance Officer to join the Fortress Legal and Compliance Department and will report directly to the firm's Chief Compliance Officer. Fortress is a SEC-registered investment adviser (operating in multiple foreign jurisdictions) with...

BNY Administrative Services LLC seeks a Vice President, Compliance & Control II for its New York, NY location. DUTIES: Contribute to the compliance efforts of multiple assigned business units. Responsible for assisting the business units to bring them into compliance with complex regulatory and policy requirements. Respond to and develop compliance reporting in partnership with business unit managers. Implement improvement including the completion of appropriate documentation when control changes are made, based on assessments of controls, works with business units. Design and conduct hardware or software tests. Communicate with staff or clients to understand specific system requirements. Research, test, and verify proper functioning of software patches and fixes. Provide technical guidance or support for the development or troubleshooting of systems. Analyze existing and proposed legislation, regulatory announcements and industry practices in order to help the assigned...

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...

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 Join our Compliance Consulting team as a Vice President! At Kroll you will provide support and guidance to a wide variety of asset management firms in managing their SEC compliance programs. You will work alongside accomplished senior staff, enhancing your own regulatory expertise, while mentoring junior team members and delivering excellent service. You will be part of an award-winning and respected team supporting a global network of clients and colleagues. Responsibilities: We are seeking an individual interested in working within a cooperative environment who has a strong grasp of the Investment Advisers Act and the rules and regulations thereunder and compliance with same. You must be capable of managing multiple clients and providing sound practical guidance, staying up to date on regulatory developments and best practices, and contributing to team learning and culture. Responsibilities of a Vice President include, but are not limited to:...

Job Description Join our Compliance Consulting team (USCC) as a Vice President! At Kroll you will provide support and guidance to a wide variety of asset management firms in managing their SEC compliance programs. You will work alongside accomplished senior staff, enhancing your own regulatory expertise, while mentoring junior team members and delivering excellent service. You will be part of an award-winning and respected team supporting a global network of clients and colleagues. Responsibilities: We are seeking an individual interested in working within a cooperative environment who has a strong grasp of the Investment Advisers Act and the rules and regulations thereunder and compliance with same. You must be capable of managing multiple clients and providing sound practical guidance, staying up to date on regulatory developments and best practices, and contributing to team learning and culture. Responsibilities of a Vice President include, but are not limited to:...

Job Description Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance (RM&C), you are at the center of keeping JPMorgan Chase strong and resilient. You help the firm grow its business in a responsible way by anticipating new and emerging risks, and using your expert judgement to solve real-world challenges that impact our company, customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging the status quo and striving to be best-in-class. As an Operational Risk Management Lead, Vice President within Risk Management and Compliance (RM&C) you will become a part of a global team of risk professionals with diverse backgrounds and experiences. Your role will be to ensure that the Firm's Operational Risk Management Framework is implemented effectively and functions optimally within the Corporate and Investment Banking Markets (CIB). Job Responsibilities Design and execution of the...

Job Description Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance, you are at the center of keeping JPMorgan Chase strong and resilient. You help the firm grow its business in a responsible way by anticipating new and emerging risks and using your expert judgement to solve real-world challenges that impact our company, customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging the status quo and striving to be best-in-class. As a Compliance Risk Management Lead Vice President covering the Futures and Options (F&O) and Futures Commission Merchant (FCM) lines of business (LOBs), you will provide regulatory compliance guidance and support to the FCM businesses, including F&O agency execution and Clearing along with adjacent functions such as operations, finance, control, technology, risk, on-boarding, product development, treasury and business management. You will also work...

Work Location : New York, New York, United States of America Hours: 40 Line of Business: Compliance Pay Detail: $115,000 - $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: We are looking for a Vice President, US Markets Compliance Advisory to join our...

Job Description: Job Title Compliance Officer - Investment Bank Compliance - Origination & Advisory Corporate Title Vice President Location New York, NY Overview You will focus on providing real-time support to the Origination & Advisory business which focuses on investment banking advisory engagements and capital markets products and services, including origination, structuring, execution and syndication of securities offerings. This will involve advising on issues (questions, problems or proposals) related to confidential information and information barriers, communications with the public-side of the Firm. External public-side investors, underwriting, marketing and selling securities offerings, internal controls, supervision and other issues that are typical for a large global investment bank. What We Offer You A diverse and inclusive environment that embraces change, innovation, and collaboration A hybrid working model, allowing for in-office /...

Job Description: Job Title Compliance Officer - Fixed Income Sales & Trading - Credit Corporate Title Vice President Location New York, NY Overview You will provide real-time support to the Fixed Income & Currencies (FIC) Sales & Trading business which focuses on credit, rates, securitized products, foreign exchange, and emerging markets debt. Your primary focus will be aligned to the credit business. This includes advising on issues (questions, problems, or proposals) related to Credit sales and trading activities, surveillance and monitoring of controls, supervision, and other issues that are typical for a large global investment bank. What We Offer You A diverse and inclusive environment that embraces change, innovation, and collaboration A hybrid working model, allowing for in-office / work from home flexibility, generous vacation, personal and volunteer days Employee Resource Groups support an inclusive workplace for everyone and promote...

Job Description: J ob Title Compliance Officer - Investment Bank Compliance - Fixed Income Sales & Trading - Rates and FX Corporate Title Vice President Location New York Overview You will focus on providing real-time support to the Fixed Income & Currencies (FIC) Sales & Trading business. The FIC Sales & Trading business focuses on credit, rates, securitized products, foreign exchange, and emerging markets debt. With primary focus on the Rates and Foreign Exchange (FX) business, you will advise on issues (questions, problems, or proposals) related to Rates sales and trading activities, surveillance and monitoring of controls, supervision, and other issues that are typical for a large global investment bank. What We Offer You A diverse and inclusive environment that embraces change, innovation, and collaboration A hybrid working model, allowing for in-office / work from home flexibility, generous vacation, personal and volunteer days...

Description & Requirements Compliance Officer, Associate or Vice President New York, NY About Fortress Fortress Investment Group LLC is a leading global investment manager with approximately US$48 billion of assets under management as of June 30, 2024. Founded in 1998, Fortress manages assets on behalf of over 2,000 institutional clients and private investors worldwide across a range of credit and real estate, private equity, permanent capital, and multi-manager investment strategies. Investment performance is our cornerstone - we strive to generate strong risk adjusted returns for our investors over the long term. For additional information on Fortress, please visit www.fortress.com . About the position Fortress is seeking an experienced Compliance Officer to join the Fortress Legal and Compliance Department. Fortress is a SEC-registered investment adviser (operating in multiple foreign jurisdictions) with approximately $48 billion in assets under...

COMPANY Volastra Therapeutics, Inc. is a clinical stage oncology biotechnology company based in New York City focused on developing therapeutics that exploit chromosomal instability (CIN) as a unique vulnerability in cancer. Since its founding in 2019, Volastra has grown to support ongoing discovery efforts and a growing clinical organization. Volastra's most advanced pipeline programs are two distinct inhibitors of KIF18A, a novel therapeutic target. The first medicine, VLS-1488 was internally discovered and entered the clinic in Q4 2023 for the treatment of advanced cancers. Sovilnesib, was in-licensed from Amgen in 2023 and re-entered the clinic Q2 2024. Volastra is financed by top US and European venture firms, including Arch, Polaris, Vida, Droia, Catalio, and B Capital as well as from strategic investor Eli Lilly. In addition to venture funding, Volastra has a multi-year drug discovery collaboration with Bristol Myers Squibb and multiple biomarker discovery...

Our client, an early stage, rapidly growing, industry leader in legal technology that is revolutionizing the delivery of legal services, has exclusively retained Solutus Legal Search to assist the Company in its search for a Vice President, Legal & Compliance to lead the Company's legal function. Reporting to our client's Chief Financial Officer, you will lead our client's legal strategy across various complexities as the company scales. You will use your extensive legal background to partner closely with executive leadership and provide strategic and creative solutions to fuel our client's disruptive business. You will lead an international team of lawyers and legal professionals that tackles state and federal regulations, business development, IP, corporate matters, data privacy and security, compliance, litigation, and more. This hire will be expected to be in the office 2 to 3 days per week and as needed What You Will Do Lead legal and compliance Become a trusted...

Central Compliance, Vice President- Corporate & Investment Banking Country: United States of America The Central Compliance VP Monitors activities to minimize the company's exposure to risk. Activities may include data analysis, risk identification and remediation. Represents or supports the reputation of the company to minimize compliance and regulatory risk by resolving issues and ensuring adherence to company and legal standards. Responsible for ensuring that company's activities adhere to the necessary rules and regulations, and that the company complies with legal/regulatory statutes and jurisdictions. More specifically, this role will provide Compliance advisory and operational support for Licensing and Registration and Employee Compliance (including but not limited to Code of Conduct, Personal Account Dealing, Outside Business Activities Gifts & Entertainment, Political Contributions, SEC Rule 15a-6 related certifications, Continuing Education Essential...

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 Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance, you are at the center of keeping JPMorgan Chase strong and resilient. You help the firm grow its business in a responsible way by anticipating new and emerging risks, and using your expert judgement to solve real-world challenges that impact our company, customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging the status quo and striving to be best-in-class. As a Compliance, Conduct and Operational Risk (CCOR) - Surveillance Lead (Fixed Income Trade Surveillance) - Vice President within the North America and Latin America Fixed Income Trade Surveillance team, you will be a key player in providing surveillance coverage for fixed income trade activity. Your role will involve reviewing surveillance alerts and escalating any activity that may appear to be potential market manipulation or other impermissible trading...

Job Description Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance, you are at the center of keeping JPMorgan Chase strong and resilient. You help the firm grow its business in a responsible way by anticipating new and emerging risks, and using your expert judgement to solve realworld challenges that impact our company, customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging the status quo and striving to be best-in class. As a Compliance Risk Management Lead - Vice President in the Global Financial Crimes Compliance (GFCC) team, you will be responsible for providing policy and regulatory advice/interpretation to the Asset and Wealth Management (AWM) line of business as well as other functional areas (e.g.,KYC Operations, Risk, Controls, etc.) with a focus on the AML/KYC program. You will play an important role on the execution and oversight of the firm wide AML/KYC program. Job...

Business Overview: The Americas Market Integrity (MI) Domain is a part of the Ethics and Compliance Department that provides transversal support to all the business functions performed in the US, Canada and Latin America.Market Integrity centers on the idea that markets, if corrupt and inefficient, are unattractive to investors. Regulators, law enforcement, exchanges, financial institutions, and investors all rely on the orderly operation of financial markets to provide a foundation of economic growth and efficient access to capital. The violation of these principles can cause severe disruptions in investor confidence and ultimately threaten the stability of the financial system.Trade Surveillance is one of the key pillars of the Market Integrity Domain. Candidate SuccessFactors: Candidates are measured on the following four performance drivers, which will dictate how individual impact is considered on the Americas platform: Results and Impact Able to influence peers and...