3 Securities Act of 1933 jobs

San Francisco, California, US (Hybrid)

$180–210K / year

This role sits within ICONIQ’s Legal and Compliance team and supports investment, advisory, and client service teams across a broad range of…

Princeton, New Jersey, US (Hybrid)

1435 Capital Management is seeking a highly capable, business oriented Chief Compliance Officer ("CCO") to lead the firm's compliance, regulatory,…

Louisville, Kentucky, US (On-site)

The Compliance Associate will play a key role in supporting the Firm’s compliance program across its affiliated entities to help ensure compliance…