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Coda 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│StaffingConfidential
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: ConfidentialTD 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 BankConfidential
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: ConfidentialSocial Capital Resources
New York, NY, United States
Top-Tier Bank in Midtown, Manhattan is seeking a Vice President of Compliance to support their Front Office! Responsibilities: Support the implementation and execution of compliance initiatives, processes, and controls that manage compliance risksMaintain business line and support function policies and procedures addressing compliance requirement
Job Source: Social Capital ResourcesConfidential
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: ConfidentialNew York City Economic Development Corporation
New York, NY, United States
Position Overview: The Vice President will be an integral part of the Opportunity M/W/DBE department in developing strategy and leading the compliance and reporting function of NYCEDC’s Minority and Women Business Enterprise department (“M/WBE”). Opportunity M/W/DBE delivers on its vision of maximizing opportunities for M/WBE busi
Job Source: New York City Economic Development CorporationTD Bank Group
New York, NY, United States
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 making compensati
Job Source: TD Bank GroupNew 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
Drafting and maintaining compliance policies and procedures, including, Code of Ethics and Compliance Manual
Performing reviews and testing of compliance policies and procedures, including the preparation of reports
Assist in the preparation and filing of all SEC reporting, including Forms ADV, PF and Schedules 13D, F, G and H, CFTC, as necessary
Review key fund documents related to investment vehicle formation
Review side letters to ensure investor requests are in alignment with firm controls and standards
Prepare placement agreements with distributors
Research and synthetize advice for sales professionals relating to cross border activities and when engaging with US (state, county and municipal) employees
Prepare memoranda related to significant issues, including the management of MNPI and trade/investment allocations
Assist in the review of Code of Ethics reporting, including personal securities transactions, political contributions, gifts and entertainment, etc. via the Compliance Alpha tool
Work with CCO and Director of IT on joint Compliance/IT initiatives.
Coordinate the Firm’s response to regulatory and/or mock examinations, including document production, response to inquiries and interviews
Assist with implementation of the Vendor Risk Management program
Review and update training plan and training materials & Provide initial and annual training to employees
Qualified candidate must have:
Experience reviewing marketing materials
Bachelors degree, JD is helpful but not required
7+years of prior compliance experience within asset management industry is required; PE Real Estate experience a plus
Excellent written and verbal communication skills
Ability to work effectively independently as well as in a team setting
Strong attention to detail
Ability to lead projects and initiatives
Email Alert for Vice President Compliance jobs in New York, NY, United States
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