Chief Compliance Officer Salary at Etain Llc BETA

SpeedRoute LLC, Inc. (SPDR) is a regulated U.S. broker dealer that assists more than 100 U.S. broker dealers in the routing of their customer orders to various U.S. securities trading venues. To that end, SPDR connects to more than 40 discrete markets, utilizing sophisticated routing technology, and providing its broker-dealer clients customized routing solutions. The CCO-PT will oversee the compliance program of the principal trading activities to be conducted by SPDR. The CCO-PT will ensure the firm adheres to all applicable regulatory requirements, mitigate compliance risks, and promote a culture of integrity and accountability. This role requires extensive knowledge of SEC and FINRA regulations, as well as hands-on experience managing compliance in a trading environment. The CCO-PT reports to the President of SPDR and works closely with the entire SPDR team of technology developers, trading operators, and the two current members of the SPDR compliance team. This hybrid position is

A newly created role at full-service Broker Dealer in Emerging Markets due to team growth, this is an excellent chance to eventually succeed the Chief Compliance Officer, who plans to retire in the next ~5 years. Senior Compliance Officer Full-Service Broker Dealer & Investment Bank Specializing in Emerging Markets Location: Greenwich, CT (Train Accessible, Walking Distance) Compensation: $150K base + ~20% discretionary bonus Schedule: 4-5 days in office; full-time for first 6-12 months for training Why Join Us? Small Team, Big Impact: 30 employees locally, ~100 globally. Stability: Family-friendly, low turnover, employees often stay 20+ years. Growth Opportunity: Succession path to Chief Compliance Officer in ~5 years. Unique Perks: Bring kids or pets to work, monthly team events, extravagant holiday parties, and international travel (~2-3 trips/year to great locations like Spain, Brazil, and Singapore). Generous Benefits: 75% company-paid medical/dental, flexible PTO, better-than-ban

Indus Capital Partners, LLC is seeking a Compliance Associate to support all aspects of the firm’s compliance program. The Compliance Associate will report directly to the Chief Compliance Officer. The ideal candidate is detail-oriented, motivated, a team player, and eager to learn more about regulatory compliance. It is important for this individual to have high ethical standards and a positive attitude, with the ability to perform in a fast-paced environment. This is primarily an in-office role. Key Responsibilities: Assist the CCO with day-to-day compliance functions of the firm Assist with the Firm’s compliance software – including ComplianceAlpha, Global Relay, ComplyAdvantage, Liquidity Book Perform compliance testing and monitoring in all relevant areas, including Code of Ethics requirements, trade allocation, trade surveillance, electronic communications, expense allocation, political contributions, gifts and business entertainment, research practices and social media Maintain

Job Description Job Description Broker Dealer Compliance Officer Opportunity New York-based boutique broker-dealer and wealth management firm looking for a compliance professional to assist the Chief Compliance Officer with the day-to-day compliance duties of the firm. What we are looking for: 2-5 years of broker-dealer compliance experience Equity capital markets and/or investment banking experience FINRA Series 7 and 24 license required. Series 14, 53, and/or 79 is a plus Deep working knowledge of FINRA’s Gateway program Experience assisting with drafting and maintaining written supervisory procedures Experience assisting with regulatory inquiries and responses Deep knowledge and understanding of FINRA and SEC broker-dealer compliance rules and regulations Proficiency with Microsoft Office tools, particularly Excel, and compliance tools such as My Compliance Office, Quest CE, Global Relay, and others Well-organized with the ability to prioritize workload to complete tasks Strong comm

Our client, a prestigious investment management firm is seeking a Compliance Associate who is eager to learn and develop within their Legal and Compliance department. Job Details Client: Investment Management firm Location: Stamford, CT Position: Compliance Associate Hours: 8:30am-5:30pm, 4 day a week in the office (Friday WFH) Salary: $80k-$110k, plus Bonus eligible + Great benefits Degree: Required Responsibilities Work with and support the General Counsel and Chief Compliance Officer to ensure that the company and its affiliates (collectively, the “Firm”) remain in compliance with rules and regulations set forth by the jurisdictions in which the company, its investment funds and other client accounts, and its affiliates operate, including the SEC and the OCC in the U.S., state regulatory authorities, and FCA in the U.K. Assist the Firm and its UK subsidiary with adherence to internal policies and procedures. Assist with the Firm’s compliance monitoring program globally including per

Title: Compliance Associate Firm: $10B+ private equity firm Location: New York,NY Job Overview: Our client, a leading private equity firm with over $10B+ in AUM, is seeking a dedicated Compliance Associate to join their team. This hire will assist with all matters of regulation and compliance at the firm and directly reports to the Chief Compliance Officer. Highlights: Newly created opportunity to work as a compliance generalist due to high firm performance and company growth Firm is committed to responsible investing, which reflects its dedication to ethical business practices and positive societal impact Opportunity to be a part of formal learning programs, including a firm "university", which brings together a diverse community to cultivate growth, share best practices, and expand skill sets on an ongoing basis Hybrid work schedule, excellent benefits/perks, and competitive compensation Responsibilities Develop, review and update compliance policies required under Investment Advisor

Top-Tier Investment Management Company in Midtown, Manhattan is seeking a Director of Broker-Dealer Compliance! Responsibilities: Develop, maintain and implement compliance program for broker-dealer which serves as the distributor of registered funds and private/non-listed investment products Provide technical guidance and expertise, promote examination preparedness and remain up-to-date on regulatory developments and industry best practices Support Chief Compliance Officers in liaising with regulatory authorities, responding to inquiries and coordinating regulatory examinations Help maintain and implement the firm’s adviser, fund, AML/KYC and CPO/CTA compliance programs Address licensing, registration, reporting, continuing education, training, written supervisory procedures, evidence of supervisory delegation, non-branch and OSJ remote office inspection and other SEC/FINRA regulatory requirements Work with registered funds’ transfer agent in addressing and resolving exceptions (e.g.,

Location: Midtown Manhattan Compensation: $250K-$300K total compensation Job Description The Legal and Compliance Department consists of the General Counsel, the Chief Compliance Officer, Associate General Counsels, and several paralegals, legal assistants and compliance professionals. The Legal and Compliance Department coordinates, oversees, and handles all legal, regulatory and compliance issues globally. Key compliance responsibilities and tasks will include the following: Analyze legal and regulatory changes, designing new policies and procedures to mitigate risks and leading regulatory change management process in partnership with operations and investment teams. Execute, monitor and test policies and procedures Assist with administering Firm’s compliance policies, focusing on areas such a personal trading, insider trading, gifts and entertainment and political contributions Advise investment team on regulatory compliance matters, including conflicts of interest, investment alloc