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Confidential
Jersey City, NJ, United States
Vice President, Employee Compliance Officer About the Company Globally-recognized banking group Industry Banking Type Subsidiary of a Public Company Founded 1996 Employees 10,001+ Categories Financial Services Consulting & Professional Services Banking & Mortgages Banking Finance Specialties Advisory Capital Markets & Investment Banking Corporate
Job Source: ConfidentialAtlantic Group
New York, NY, United States
Location: Midtown Manhattan Compensation: $200k-$250k base + bonus Our client, a $7 billion+ AUM real estate private equity firm is seeking a Vice President, Compliance to join their Legal and Compliance team. Responsibilities will include: Review marketing materials for compliance purposes Review client communications and sales materials Draftin
Job Source: Atlantic GroupConfidential
Elmwood Park, NJ, United States
Chief Medical Officer & Senior Vice President About the Company Respected clinical laboratory Industry Hospital & Health Care Type Privately Held About the Role The Chief Medical Officer & Senior Vice President will be responsible for ensuring the successful operation and administration of the organization's clinical laboratory, as well as promot
Job Source: ConfidentialFast Lab Tech : Fast, Simple COVID Testing & More In NYC
, NY, United States
Fast Lab Technologies is a leading medical laboratory dedicated to providing high-quality diagnostic testing services. We are committed to upholding the highest standards of compliance, ethics, and patient care. We are seeking an experienced and highly motivated Chief Compliance Officer to join our team and ensure our operations adhere to all regul
Job Source: Fast Lab Tech : Fast, Simple COVID Testing & More In NYCCross River
Fort Lee, NJ, United States
Who We Are At Cross River, we're building the best banking and technology products for FinTechs, all through APIs. As venture-backed pioneers of the platform-based financial services model known as the sponsor, or partner, bank, we work closely with our partners to offer products such as payments rails and loan origination services to the latest i
Job Source: Cross RiverConfidential
Newark, NJ, United States
Chief Academic Officer (CAO) & Vice President of Academic Affairs About the Company Public community college Industry Higher Education Type Educational Institution Founded 1968 Employees 501-1000 Categories Education Colleges and Universities Services Training About the Role The Company is seeking a Chief Academic Officer (CAO) & Vice President o
Job Source: ConfidentialJPMorgan Chase & Co.
Jersey City, NJ, United States
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 an
Job Source: JPMorgan Chase & Co.Jobs via eFinancialCareers
New York, NY, United States
Chief Compliance Officer - Mortgage Larson Maddox Manhattan, United States Posted 12 days ago In-Office Job Permanent USD200000 - USD250000 per annum Our client, a global FinTech who specialize in Mortgage Securitization and Servicing is seeking to hire a Chief Compliance Officer to provide Compliance leadership and direction to
Job Source: Jobs via eFinancialCareersNew York, NY, United States
Chief Compliance Officer & Vice President
About the Company
Thriving financial marketplace providing liquidity solutions for private market investors & institutions
Industry
Financial Services
Type
Privately Held, VC-backed
Founded
2014
Employees
201-500
Funding
$200+ million
Categories
Internet
Banking
CEOs and Executives
Finance Technology
Financial Services
Investing
Marketplaces
Venture Capital
Finance
FinTech
Marketplace
Trading Platform
Information Technology & Services
Technology
Specialties
secondary shares trading platform
private markets
fintech
and invest in pre-ipo companies
Business Classifications
B2B
Marketplace
About the Role
The Company is seeking a VP, CCO to join their team. The successful candidate will be responsible for maintaining and enhancing the company's BD and RIA compliance program, ensuring compliance with regulatory requirements, and managing a staff of experienced compliance personnel. This role is pivotal in managing internal and external regulatory examinations, audits, and inquiries, and acting as the main point of contact with the SEC, FINRA, and state regulatory bodies. The VP, CCO will also be involved in developing and operationalizing compliance policies and procedures, providing support and training on FINRA and SEC rules and regulations, and assessing the compliance implications of new business products and services.Applicants must have a minimum of 10 years' of compliance experience in a registered broker-dealer, with a strong knowledge of SEC and FINRA rules. The role requires excellent communication and interpersonal skills, attention to detail, and the ability to multitask and adapt to changing priorities. Key qualifications include a Series 7, 24, and a Bachelor's degree. The VP, CCO will be expected to work out of the company's SoHo, NY office for a few days a week and should be able to sit and/or stand for long periods in an office setting while working. The ideal candidate will be adept at identifying and mitigating regulatory risks, developing risk mitigation plans, and providing reports to senior management.
Hiring Manager Title
Head of Compliance
Travel Percent
Less than 10%
Functions
General Management
Operations
Strategy
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Email Alert for Chief Compliance Officer & Vice President jobs in New York, NY, United States
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