Browse
···
Log in / Register

Compliance Officer - Vice President

Negotiable Salary

Arena Investors I Quaestor Advisors

Jacksonville, FL, USA

Favourites
Share

Description

Arena Investors, LP (“Arena”) is a global institutional asset manager that provides creative solutions for those seeking capital in special situations. With more than 180 people across eight global offices and operating in 20 countries, we often provide capital where others won’t. Arena is looking to expand the team through the addition of a senior Compliance Officer. In this role, this individual will work closely with the compliance team and have regular interface with staff throughout the organization. Reporting to the CCO, this position will be a broad generalist compliance role with full exposure across the business. Responsibilities: ·         Support front, middle and back-office personnel on a wide variety of regulatory compliance issues primarily in compliance with the Investment Advisers Act of 1940; ·         Support the CCO with FINRA broker-dealer requirements; ·         Monitoring of Client guidelines and restrictions; ·         Review of marketing materials; ·         Review of compliance policies and procedures; ·         Administration of firm (Investment Adviser and Broker-Dealer) annual compliance review (testing and monitoring); ·         Conflicts of interest review; ·         Code of Ethics administration (e.g. PA dealing, Gifts & Entertainment, Outside Business Activity, Political Contribution, etc.) via the StarCompliance platform; ·         Maintenance of restricted trading list and watchlist; ·         AML/KYC risk-assessment and due-diligence; ·         Service provider due-diligence; ·         Portfolio management review and monitoring (e.g. trade blotter, trade errors, best execution, allocation, principal/cross trades, etc.); ·         Regulatory filings oversight/co-ordination (e.g. Form ADV, Form PF, Form 13F, Form 13D/G, UK FCA filings, Singapore MAS filings, significant shareholder, etc.) ·         Keeping abreast regulatory developments; and ·         Ad-hoc projects. Requirements The individual will have demonstrated an ability to work in a fast-paced, performance-driven environment with an ability to think broadly about the business, incorporating continual improvement of processes and procedures with a goal of excellence while focusing on accuracy and efficiency.   ·         7 – 10 years of regulatory compliance experience at a SEC-registered investment adviser (primarily private credit exposure); ·         Experience with broker-dealer compliance (ideally Series 7 or Series 14 licensed); ·         Solid understanding of registered investment adviser and broker-dealer rules and regulations; ·         Familiarity with UK FCA and Singapore MAS rules and regulations; ·         Experienced reviewing marketing materials in line with SEC and FINRA rules; ·         Experienced conducting annual compliance reviews; ·         Experienced managing insurance clients; ·         Experienced administering regulatory filings with the SEC, FINRA, FCA, MAS and others; ·         Experienced handling MNPI processes (e.g. expert networks, Board seats, committee participation, NDA, etc.); ·         Ability to work independently, and balance multiple priorities; ·         Excellent organizational, oral and written communication skills; ·         Flexible and capable of prioritizing based on changing internal or external demands; and ·         Bachelor's degree required. Benefits Health Care Plan (Medical, Dental & Vision) Retirement Plan (401k, IRA) Life Insurance (Basic, Voluntary & AD&D) Paid Time Off (Vacation, Sick & Public Holidays) Family Leave (Maternity, Paternity) Short Term & Long Term Disability Training & Development Hybrid Schedule Free Food & Snacks Wellness Resources

Source:  workable View original post

Location
Jacksonville, FL, USA
Show map

workable

You may also like

Workable
Sr. BSA/AML Compliance Analyst - To 72K - Edison, NJ - Job 3482
Sr. BSA/AML Compliance Analyst – To $72K – Edison, NJ – Job # 3482 Who We Are The Symicor Group is a boutique talent acquisition firm based in Lincolnshire, IL & Rockport, TX. Our nationally unique value proposition centers around providing the very best available banking and accounting talent. In fact, most of our recruiters are former bankers or accountants themselves! We know how to evaluate the very best banking and accounting talent available in the market. Whether you are a candidate seeking a new opportunity or a bank or company president trying to fill an essential position, The Symicor Group stands ready to deliver premium results for you. The Position Our bank client is seeking to fill a Sr. BSA.AML Compliance Analyst role in the Edison, NJ  area. The position is responsible for performing BSA/AML activity monitoring, analytics, and reporting. (This is not a remote position). This position offers a competitive salary of up to $72K and a full benefits package. (This is not a remote position) Sr. BSA/AML Compliance Analyst responsibilities include: Handle the more complex, higher risk customers and alert types. Perform and document sufficient KYC/CDD Information to effectively support alert resolution. Conduct a detailed review of alerted transactions to identify if activity is commensurate with customer relationship based on KYC/CDD information available. Apply technical knowledge to accurately assess the transactional activity by identifying risks, patterns and trends that could be related to money laundering and terrorist financing. Utilize internal systems, databases available, and internet research to gather information needed to support analysis and draw conclusions related to transactional activity. Prepare a write-up that adequately supports conclusions as to “why” the activity is reasonable for the customer or provide recommendations to escalate potential suspicious activity (as needed). Adhere to confidential policies, code of ethics, and follow policies and procedures relative to BSA/AML laws and regulations and best practices. Address feedback received from QC functions and incorporate into future work products. Other duties as assigned by the Chief BSA/AML/OFAC Officer. Who Are You? You’re someone who wants to influence your own development. You’re looking for an opportunity where you can pursue your interests and your passion. Where a job title is not considered the final definition of who you are, but merely the starting point for your future. You also bring the following skills and experience: CAMS or CRCM certification is preferred. 5+ years of related experience with emphasis on BSA transaction monitoring; Knowledgeable of the laws applicable to money laundering, including the Bank Secrecy Act, the US Patriot Act, OFAC, and Suspicious Activity Reporting; Strong analytical skills are required to organize and analyze multiple, complete data sets as well as strong interpersonal and organizational skills; Excellent attention to detail and “follow through” skills; Strong technical and research skills and Excel skills; Excellent writing, analytical, and communication skills; Ability to understand and draw conclusions from research conducted; Must have an ongoing sense of urgency and a high level of flexibility; Maintains current on BSA/AML/OFAC news and events as well as regulatory updates. PC proficiency with Microsoft Office products including Word and Excel and knowledge of Database and Internet software. The next step is yours. Email us your current resume along with the position you are considering to: resumes@symicorgroup.com
Edison, NJ, USA
$72,000/year
Workable
Compliance and Audit Officer/Specialist
Stanbridge University is seeking a highly analytical and detail-oriented Compliance and Audit Officer/Specialist to join our growing team in Irvine. This individual will play a crucial role in ensuring accuracy, efficiency, and compliance across multiple departments. The ideal candidate is experienced in accounting, thrives in a dynamic environment, and is committed to continuous improvement. This position offers room for professional growth. Essential Functions: Review and analyze departmental productivity and efficiency Identify discrepancies or variances in processes Provide detailed findings and reports Recommend and support implementation of improvement plans Monitor, review, and analyze accounts receivable Perform A/R and student account reconciliations Ensure accurate and timely processing of funds Review accounts payable for accuracy, including subaccounts and invoices Ensure completeness of supporting documentation Assist in preparing payroll tax returns and other statutory filings Support the preparation of financial statements and internal reports Contribute to budgeting and forecasting processes as needed Bachelor’s degree in Accounting Minimum of 2 years of professional accounting experience Solid understanding of GAAP and accounting principles Proficiency in QuickBooks and Microsoft Excel is required Meticulous attention to detail and strong analytical skills Excellent communication and interpersonal abilities Strong time management and organizational skills in a fast-paced environment High degree of confidentiality and professionalism Annual Salary: $75,000 – $86,000 (with potential for performance-based increases) Conditions of Employment This is an on-campus position; physical presence is required at the Irvine campus. To successfully perform the essential duties, individuals must meet physical and performance requirements. Reasonable accommodations will be made for individuals with disabilities to perform essential functions. Employment verification will be conducted to validate minimum experience requirements in accordance with accreditor guidelines. All employment offers are contingent upon the successful completion of a background check. Work Environment Standard office, classroom, lab, or clinical setting Duties are typically performed at a desk or computer workstation May include working in a skills lab or clinical/bedside environment based on program needs Exposure to moderate noise levels, frequent interruptions, and fast-paced timelines Physical Demands Extended periods of sitting Must be able to lift and carry items weighing 10–25 pounds as needed Proficient use of office equipment and electronic keyboards Clear verbal communication in person and by phone Visual and auditory ability to use a computer and respond effectively to communication Employee Benefits Comprehensive Health Care Plan (Medical, Dental & Vision) Retirement Plan Options (401k, IRA) Life Insurance (Basic, Voluntary & AD&D) Paid Time Off (Vacation, Sick Leave & Public Holidays) Family Leave (Maternity, Paternity)
Irvine, CA, USA
$75,000-86,000/year
Craigslist
Experienced Bookkeeper/Accountant (Part-Time, Remote-Friendly)
𝐀𝐛𝐨𝐮𝐭 𝐔𝐬 We are a modern bookkeeping & advisory firm using tech-enabled processes to support small businesses. Our lean, growth-focused practice helps entrepreneurs keep clean books, strengthen cash flow, and stay tax-ready. We’re looking for a U.S.-based professional to help build the foundation and grow with us. 𝐑𝐨𝐥𝐞 (𝐏𝐚𝐫𝐭-𝐓𝐢𝐦𝐞 𝐂𝐨𝐧𝐭𝐫𝐚𝐜𝐭𝐨𝐫 𝐭𝐨 𝐒𝐭𝐚𝐫𝐭) You’ll handle early client work (bookkeeping, payroll, tax prep support) and help design workflows for scale. You’ll be the credible voice on client calls and collaborate with offshore support as we expand. 𝐖𝐡𝐚𝐭 𝐘𝐨𝐮’𝐥𝐥 𝐃𝐨 Monthly bookkeeping: QBO/Xero, reconciliations, AR/AP, month-end close Clean-ups & catch-ups; COA design and process fixes Payroll coordination (Gusto/QBO/ADP) and sales-tax filings Assist with business & individual tax prep (Schedule C/1120-S/1065) alongside CPA/EA partners Prep year-end packages; maintain compliance readiness Document SOPs; supervise offshore bookkeepers as team expands Join client onboarding calls; set expectations & reporting cadence 𝐑𝐞𝐪𝐮𝐢𝐫𝐞𝐦𝐞𝐧𝐭𝐬 U.S.-based applicants only (client-facing work) 3+ years bookkeeping/accounting (SMB focus) QuickBooks Online Certification required Clear, professional communication skills Payroll & sales tax knowledge; tax exposure preferred Bonus: experience with Dext/Hubdoc, Gusto, or multi-entity accounting 𝐂𝐨𝐦𝐩𝐞𝐧𝐬𝐚𝐭𝐢𝐨𝐧 1099 contractor: $28–$38/hr DOE (CPA/EA track up to $55/hr) Hours: start at 10–20 hrs/week, grow with client load Incentives: $150 per new recurring client onboarded; bonuses for large clean-ups Path: expand hours or convert to W-2 Client Manager role as MRR grows 𝐏𝐞𝐫𝐤𝐬 Remote flexibility – Remote-Friendly Bookkeeper / Accountant (Part-Time, Flexible) Modern systems, no chaos Chance to help build a firm from the ground up Growth into advisory & tax support work Advancement potential as we expand 𝐓𝐨 𝐀𝐩𝐩𝐥𝐲 Send: 𝟏. Resume/LinkedIn 𝟐. A short intro 𝟑. Brief answers: (a) 𝐘𝐨𝐮𝐫 𝐐𝐁𝐎 𝐬𝐭𝐚𝐜𝐤 (𝐚𝐩𝐩𝐬/𝐭𝐨𝐨𝐥𝐬 𝐮𝐬𝐞𝐝)? (b) 𝐓𝐨𝐮𝐠𝐡𝐞𝐬𝐭 𝐜𝐥𝐞𝐚𝐧-𝐮𝐩 𝐲𝐨𝐮 𝐬𝐨𝐥𝐯𝐞𝐝? (c) 𝐘𝐨𝐮𝐫 𝐦𝐨𝐧𝐭𝐡-𝐞𝐧𝐝 𝐜𝐡𝐞𝐜𝐤𝐥𝐢𝐬𝐭 𝐬𝐭𝐞𝐩𝐬?
1627 N Comanche Dr, Chandler, AZ 85224, USA
$28-38/hour
Workable
Bank Compliance Officer - To 95K - Kingstown, MD - Job 3333
Bank Compliance Officer – To $95K – Kingstown, MD – Job # 3333 Who We Are The Symicor Group is a boutique talent acquisition firm based in Lincolnshire, IL & Rockport, TX. Our nationally unique value proposition centers around providing the very best available banking and accounting talent. In fact, most of our recruiters are former bankers or accountants themselves! We know how to evaluate the very best banking and accounting talent available in the market. Whether you are a candidate seeking a new opportunity or a bank or company president trying to fill an essential position, The Symicor Group stands ready to deliver premium results for you. The Position Our bank client is seeking to fill a Bank Compliance Officer role in the greater Kingstown, MD market. This role will be responsible for performing quality control reviews, including analyzing and reporting on all Bank regulations across all business lines to identify regulatory compliance weaknesses. They will also ensure that the Bank’s products and operations meet all applicable state, federal, and other regulatory requirements. The position includes a generous salary of up to $95K and an excellent benefits package. (This is not a remote position) Bank Compliance Officer responsibilities include: Implementing and maintaining all compliance policies and procedures for the bank. Administering the Bank Secrecy Act/Anti-Money Laundering Program and related procedures in accordance with Bank’s policies, procedures, and applicable federal regulations. CRCM and/or CAMS designation preferred. Working with bank personnel to ensure regulatory requirements are met for existing and proposed bank products and services. Assisting in the development of disclosures and procedures that meet regulatory requirements for new products and services. Developing, maintaining, and delivering training modules and working with business units to ensure appropriate regulatory training is conducted for all bank personnel. Serving as the point person for any customer complaints/inquiries that relate to compliance. Coordinating internal audit and regulatory exams, and serving as the liaison between examiners and bank personnel. Ensuring internal audit exams, and preparing bank to pass regulatory exams. Acting as a resource to bank personnel for compliance issues that relate to the bank’s activity including lending, deposits, marketing, and other matters. Chairing the bank’s compliance committee and maintaining records of the meetings. Maintaining and updating knowledge regarding bank regulatory matters. Able to take on other duties as needed. Who Are You? You’re someone who wants to influence your own development. You’re looking for an opportunity where you can pursue your interests and your passion. Where a job title is not considered the final definition of who you are, but merely the starting point for your future. You also bring the following skills and experience: College Degree or equivalent work experience. Four or more years experience in legal/regulatory compliance of banking laws and regulations or related experience. Ability to identify and define problems; research and analyze information and various situations relating to data management issues. Ability to recommend alternatives or solutions. Demonstrated good verbal and written communications skills. Ability to discuss and offer alternatives or solutions to deposit compliance issues with any level of staff. General knowledge of accounting principles. This position requires the use of a personal computer and other standard office equipment. Working knowledge of complex database systems required. The next step is yours. Email us your current resume along with the position you are considering to: resumes@symicorgroup.com
Kingstown, MD 21620, USA
$95,000/year
Craigslist
Payroll Administrator (4350 Auburn Blvd)
📌 Payroll Administrator – $28–$38/hr Full-Time On-Site Sacramento, CA Organization: UCP of Sacramento and Northern California Location: Sacramento, CA Pay: $28–$38 per hour Schedule: Full-time, On-site Benefits: Full benefits package included Join a mission-driven team supporting over 1000 employees across three organizations. UCP of Sacramento and Northern California is hiring a detail-oriented Payroll Administrator to ensure accurate and timely payroll operations. 🧾 Key Responsibilities: - Process semi-monthly payroll for 900+ employees across UCP, Foundation, and MRSI - Maintain payroll systems and ensure compliance with regulations - Manage payroll updates: new hires, terminations, pay changes - Prepare payroll wires, taxes, and retirement contributions (403b/457b) - Generate payroll reports (semi-monthly, quarterly, year-end) - Collaborate with HR to maintain accurate employee records - Support audits and assist with system upgrades - Provide technical support and staff training - Assist CFO with financial statements and month-end reports 🎓 Qualifications: - High school diploma required; associate’s degree in finance/accounting preferred - 3 to 5 years of payroll experience preferred - Proficient in Microsoft Office; SAGE / Paycom experience a plus - Strong communication, attention to detail, and confidentiality - Ability to multitask and work collaboratively - 10-key by touch 🎁 Benefits: - Medical, dental, and vision insurance - 403b retirement plan with employer match - Paid vacation, sick leave, and holidays - Life and AD&D insurance - Professional development support - Inclusive and supportive workplace culture Work Environment: Office-based role requiring sitting, talking, hearing, and computer use. Occasional lifting/moving of up to 15 lbs. Equal Opportunity Employer: UCP is committed to diversity and inclusion. We welcome applicants of all backgrounds and identities. 📨 Ready to apply? Submit your resume and cover letter today to join a team that makes a difference
5226 Hemlock St, Sacramento, CA 95841, USA
$28-38/hour
Cookie
Cookie Settings
Our Apps
Download
Download on the
APP Store
Download
Get it on
Google Play
© 2025 Servanan International Pte. Ltd.