TBG | The Bachrach Group
TBG | The Bachrach Group provided pay range
This range is provided by TBG | The Bachrach Group. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more. Base pay range
$225,000.00/yr - $275,000.00/yr Additional compensation types
Annual Bonus Our client is a top tier global asset management firm seeking to add a dynamic Chief Compliance Officer to manage their first in class Compliance program overseeing their registered investment adviser, private equity, private credit and commodity pool operator. The role will manage a small team of Compliance professionals and support the broker dealer with compliance initiatives. Key responsibilities will include: Manage all policies and procedures based upon regulatory requirements and internal controls. Manage regulatory examinations and inquiries Conduct internal testing, surveillance and supervision Ensure all regulatory filings are submitted and maintained Provide oversight of branches and business units Review and approve marketing materials Monitor employee compliance and develop and lead Compliance training programs Experience: 10+ years of asset management and broker dealer compliance experience at a registered investment adviser and broker dealer. BA required, JD or MBA preferred FINRA Series 7 & 24 required Strong knowledge of asset management and broker dealer compliance issues. Particular knowledge of FINRA, SEC CFTC, & NFA regulatory rules. Experience with retail broker dealer compliance issues is a plus. AML experience /ACAMS certification is a plus. Seniority level
Seniority level Executive Employment type
Employment type Full-time Job function
Job function Finance Industries Investment Management, Venture Capital and Private Equity Principals, and Investment Banking Referrals increase your chances of interviewing at TBG | The Bachrach Group by 2x Get notified about new Compliance Officer jobs in
New York City Metropolitan Area . New York, NY $120,000.00-$160,000.00 3 weeks ago Compliance Officer - Compliance Risk Assessment - VP
New York, NY $140,000.00-$180,000.00 2 weeks ago New York, NY $100,000.00-$140,000.00 1 day ago Vice President, ESG Advisory Compliance Officer
New York City Metropolitan Area $120,000.00-$150,000.00 2 weeks ago New York City Metropolitan Area $100,000.00-$150,000.00 2 weeks ago New York, NY $200,000.00-$250,000.00 1 month ago Senior Manager of Compliance Communications
New York, NY $130,000.00-$150,000.00 3 months ago New York, NY $250,000.00-$350,000.00 1 week ago Sr. Compliance Manager (AML/BSA Compliance Officer)
Legal, Compliance & Controls Manager, Vice President
Head of Investment and Corporate Banking Regulatory Compliance (“ICBRC”) Americas – Director
New York, NY $250,000.00-$300,000.00 2 weeks ago New York City Metropolitan Area 1 week ago Corporate / Board Secretary - Assistant Vice President / Vice President
New York, NY $170,000.00-$254,500.00 2 weeks ago New York City Metropolitan Area $175,000.00-$225,000.00 2 weeks ago Manager – Compliance - Global Commercial Services Marketing
New York, NY $90,000.00-$165,000.00 1 week ago VP - Legal & Compliance (Financial Services)
New York City Metropolitan Area $175,000.00-$225,000.00 3 weeks ago Team Lead, AML Compliance Investigations
Director of Government Contracts & Quality Assurance
New York, NY $90,000.00-$100,000.00 2 months ago New York City Metropolitan Area $150,000.00-$175,000.00 1 week ago Senior Manager, Strategy & Operations - Legal & Compliance
New York, NY $176,000.00-$213,000.00 2 weeks ago Parsippany, NJ $66,330.00-$159,120.00 1 week ago Director, Employee Relations & Compliance
Senior Manager - Compliance Programs Governance
New York, NY $110,760.00-$178,880.00 1 day ago Legal and Compliance Manager (Legal Hospitality Experience required)
New York, NY $120,000.00-$160,000.00 2 days ago New York, NY $150,000.00-$175,000.00 1 week ago Investments Compliance Officer – Portfolio Monitoring
Jersey City, NJ $94,800.00-$125,000.00 1 day ago Insurance Compliance Manager - Agency & Partnership
White Plains, NY $110,000.00-$140,000.00 2 weeks ago We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.
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This range is provided by TBG | The Bachrach Group. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more. Base pay range
$225,000.00/yr - $275,000.00/yr Additional compensation types
Annual Bonus Our client is a top tier global asset management firm seeking to add a dynamic Chief Compliance Officer to manage their first in class Compliance program overseeing their registered investment adviser, private equity, private credit and commodity pool operator. The role will manage a small team of Compliance professionals and support the broker dealer with compliance initiatives. Key responsibilities will include: Manage all policies and procedures based upon regulatory requirements and internal controls. Manage regulatory examinations and inquiries Conduct internal testing, surveillance and supervision Ensure all regulatory filings are submitted and maintained Provide oversight of branches and business units Review and approve marketing materials Monitor employee compliance and develop and lead Compliance training programs Experience: 10+ years of asset management and broker dealer compliance experience at a registered investment adviser and broker dealer. BA required, JD or MBA preferred FINRA Series 7 & 24 required Strong knowledge of asset management and broker dealer compliance issues. Particular knowledge of FINRA, SEC CFTC, & NFA regulatory rules. Experience with retail broker dealer compliance issues is a plus. AML experience /ACAMS certification is a plus. Seniority level
Seniority level Executive Employment type
Employment type Full-time Job function
Job function Finance Industries Investment Management, Venture Capital and Private Equity Principals, and Investment Banking Referrals increase your chances of interviewing at TBG | The Bachrach Group by 2x Get notified about new Compliance Officer jobs in
New York City Metropolitan Area . New York, NY $120,000.00-$160,000.00 3 weeks ago Compliance Officer - Compliance Risk Assessment - VP
New York, NY $140,000.00-$180,000.00 2 weeks ago New York, NY $100,000.00-$140,000.00 1 day ago Vice President, ESG Advisory Compliance Officer
New York City Metropolitan Area $120,000.00-$150,000.00 2 weeks ago New York City Metropolitan Area $100,000.00-$150,000.00 2 weeks ago New York, NY $200,000.00-$250,000.00 1 month ago Senior Manager of Compliance Communications
New York, NY $130,000.00-$150,000.00 3 months ago New York, NY $250,000.00-$350,000.00 1 week ago Sr. Compliance Manager (AML/BSA Compliance Officer)
Legal, Compliance & Controls Manager, Vice President
Head of Investment and Corporate Banking Regulatory Compliance (“ICBRC”) Americas – Director
New York, NY $250,000.00-$300,000.00 2 weeks ago New York City Metropolitan Area 1 week ago Corporate / Board Secretary - Assistant Vice President / Vice President
New York, NY $170,000.00-$254,500.00 2 weeks ago New York City Metropolitan Area $175,000.00-$225,000.00 2 weeks ago Manager – Compliance - Global Commercial Services Marketing
New York, NY $90,000.00-$165,000.00 1 week ago VP - Legal & Compliance (Financial Services)
New York City Metropolitan Area $175,000.00-$225,000.00 3 weeks ago Team Lead, AML Compliance Investigations
Director of Government Contracts & Quality Assurance
New York, NY $90,000.00-$100,000.00 2 months ago New York City Metropolitan Area $150,000.00-$175,000.00 1 week ago Senior Manager, Strategy & Operations - Legal & Compliance
New York, NY $176,000.00-$213,000.00 2 weeks ago Parsippany, NJ $66,330.00-$159,120.00 1 week ago Director, Employee Relations & Compliance
Senior Manager - Compliance Programs Governance
New York, NY $110,760.00-$178,880.00 1 day ago Legal and Compliance Manager (Legal Hospitality Experience required)
New York, NY $120,000.00-$160,000.00 2 days ago New York, NY $150,000.00-$175,000.00 1 week ago Investments Compliance Officer – Portfolio Monitoring
Jersey City, NJ $94,800.00-$125,000.00 1 day ago Insurance Compliance Manager - Agency & Partnership
White Plains, NY $110,000.00-$140,000.00 2 weeks ago We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.
#J-18808-Ljbffr