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Confidential
New 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 Finan
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 GroupKetchum U.S.
New York, NY, United States
Overview: We are looking for a Vice President, Employee Engagement to join our team! Are you an employee engagement specialist that loves all things internal communications? Do you have a passion for understanding and building upon what matters most to employees? Care about the employee experience and enhancing employers’ brands and cultures? T
Job Source: Ketchum U.S.$6Bn Private Equity Firm
New York, NY, United States
Firm: $6Bn Global Private Equity Title: Vice President of Compliance, Generalist Compensation: $250k-300k total comp Location: NYC [Midtown] Hybrid Work: In office 4 days, WFH 1 day Position Overview: We are hiring a Vice President of Compliance for our private equity firm, we specialize in real estate investments and have a global presence.
Job Source: $6Bn Private Equity FirmConfidential
Jersey City, NJ, United States
Vice President Compliance Training 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 & Instit
Job Source: ConfidentialCoda Search│Staffing
New York, NY, United States
Job Description This Vice President – Compliance Monitoring and Testing The Monitoring and Testing Team sits in Core Compliance and covers the US businesses and certain global businesses, working with regional testing teams across the globe. Compliance Monitoring and Testing Execute the annual Compliance testing and monitoring plan Determine sc
Job Source: Coda Search│StaffingSumitomo Mitsui Financial Group, Inc.
Jersey City, NJ, United States
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
Job Source: Sumitomo Mitsui Financial Group, Inc.TD Bank
New York
**Work Location** : New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $160,000 - $187,000 USD TD is committed to providing fair and equitable compensation opportunities to all colleagues. The included salary range for this role takes into account multiple factors that are considered in makin
Job Source: TD BankJersey 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 & Institutional Client Banking
Derivatives
Equity Research
Sales & Trading
FX / Treasury Services
Global Trade Finance
Lease Finance
Leveraged Finance
Mergers & Acquisitions
Project Finance
and Real Estate Finance
Business Classifications
B2B
B2C
Enterprise
About the Role
The Company is seeking an Employee Compliance Officer at the Vice President level to join their team. The successful candidate will be responsible for implementing and managing the firm's policies on personal trading and investments, outside business activities, political contributions, and certifications and attestations. This role requires a lead position in ensuring that these policies are in conformance with written procedures, performing daily management activities, providing thought leadership for program improvements, and preparing updates for senior management and governance committees. The Officer will also be involved in responding to internal audit and regulatory requests, generating reporting for governance forums, investigating potential breaches, and mentoring junior staff.Applicants should have experience in designing, implementing, and managing compliance programs related to the mentioned areas. Experience with a Personal Account Dealing (PAD) vendor solution, including one that receives broker feeds, is essential. The role demands effective negotiation skills, strong leadership and management abilities, and experience with various FINRA rules. FINRA registration and experience in managing junior staff are considered advantageous. The ideal candidate will be an articulate and effective communicator, embodying a culture of compliance, and will be committed to fostering a diverse and inclusive work environment.
Hiring Manager Title
Head of Employee Compliance in the SMBC Americas Division
Travel Percent
Less than 10%
Functions
Human Resources
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Email Alert for Vice President, Employee Compliance Officer jobs in Jersey City, NJ, United States
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