Contribute to annual compliance training requirements and regulatory change impact assessments as needed. Join a top global Canadian banking organization as they look to augment their compliance testi...

Support issues management development and tracking of Compliance-identified findings. Participate in special projects to enhance compliance functions. Work closely with other support functions and bus...

A Hedge fund is seeking a Compliance Officer to join its New York-based compliance team. This role provides significant exposure to senior management and the Chief Compliance Officer (CCO), offering a...

A Hedge fund is seeking a Compliance Officer to join its New York-based compliance team. This role provides significant exposure to senior management and the Chief Compliance Officer (CCO), offering a...

Quickly escalate matters to supervisors, compliance advisory should there be evidence of non-compliance. Registrations Compliance Officer. Work closely with Americas Compliance Training team to identi...

Quickly escalate matters to supervisors, compliance advisory should there be evidence of non-compliance. Registrations Compliance Officer. Work closely with Americas Compliance Training team to identi...

A Hedge fund is seeking a Compliance Officer to join its New York-based compliance team. This role provides significant exposure to senior management and the Chief Compliance Officer (CCO), offering a...

A Hedge fund is seeking a Compliance Officer to join its New York-based compliance team. This role provides significant exposure to senior management and the Chief Compliance Officer (CCO), offering a...

Coordinate with external vendors and the internal Americas Compliance Training team to manage the execution and compliance of Firm Element and ethics training requirements. Registrations Compliance Of...

I'm partnering with a leading investment management firm that's quietly searching for a Chief Compliance Officer — or a senior compliance officer who will step into the CCO role — to. Rare chance to l...

I'm partnering with a leading investment management firm that's quietly searching for a Chief Compliance Officer — or a senior compliance officer who will step into the CCO role — to. Rare chance to l...

I'm partnering with a leading investment management firm that's quietly searching for a Chief Compliance Officer — or a senior compliance officer who will step into the CCO role — to. Rare chance to l...

JD with 7+ years of post JD experience working in a regulatory or compliance capacity within a hedge fund (preferred), private equity fund, traditional asset manager, compliance consulting firm, or th...

Quickly escalate matters to supervisors, compliance advisory should there be evidence of non-compliance. Contractor, Registration Compliance Officer. Update and distribute list to senior management, s...

JD with 7+ years of post JD experience working in a regulatory or compliance capacity within a hedge fund (preferred), private equity fund, traditional asset manager, compliance consulting firm, or th...

The ICBA Compliance Officer reports directly to the Head of Global Markets Regulatory Compliance in the Americas and the Head of ICBRC in Head Office ultimately to the Regional Chief Compliance Office...

The role will be responsible for creating a culture of compliance for the payments team at the organization, while partnering with other compliance executives to identify key risks and regulatory chan...

A large, global company in the E-Commerce and Payments space is seeking a Chief Compliance Officer for their US Payments business to be based in the New York or San Francisco areas for a confidential ...

Lead compliance training for employees, manage employee compliance, and conduct an annual compliance review. As Chief Compliance Officer, you'll be the primary point of contact for leading all investm...

The ICBA Compliance Officer reports directly to the Head of Global Markets Regulatory Compliance in the Americas and the Head of ICBRC in Head Office ultimately to the Regional Chief Compliance Office...

Quickly escalate matters to supervisors, compliance advisory should there be evidence of non-compliance. Contractor, Registration Compliance Officer. Compliance Culture and Conduct:.

Provide advice and guidance on registration and licensing requirements, processes, and procedures.Process Form U4, U5, 8R, and 8T in a timely manner, ensuring new employees are adequately licensed.Pre...

Provide advice and guidance on registration and licensing requirements, processes, and procedures.Process Form U4, U5, 8R, and 8T in a timely manner, ensuring new employees are adequately licensed.Pre...

Get notified about new Chief Compliance Officer roles in. This individual will oversee enterprise-wide risk compliance programs to ensure that all applicable laws and regulations are identified, under...

The role will be responsible for creating a culture of compliance for the payments team at the organization, while partnering with other compliance executives to identify key risks and regulatory chan...

The role will be responsible for creating a culture of compliance for the payments team at the organization, while partnering with other compliance executives to identify key risks and regulatory chan...

JD with 7+ years of post JD experience working in a regulatory or compliance capacity within a hedge fund (preferred), private equity fund, traditional asset manager, compliance consulting firm, or th...

General Counsel & Chief Compliance Officer (New York, NY):. JD with 7+ years of post JD experience working in a regulatory or compliance capacity within a hedge fund (preferred), private equity fund, ...

Quickly escalate matters to supervisors, compliance advisory should there be evidence of non-compliance. Contractor, Registration Compliance Officer. Work closely with Americas Compliance Training tea...

Quickly escalate matters to supervisors, compliance advisory should there be evidence of non-compliance. Contractor, Registration Compliance Officer. Work closely with Americas Compliance Training tea...

LHH Recruitment Solutions is working with a client in Westchester County NY to fill a Compliance Officer position.

Quickly escalate matters to supervisors, compliance advisory should there be evidence of non-compliance. Registrations Compliance Officer. Work closely with Americas Compliance Training team to identi...

Quickly escalate matters to supervisors, compliance advisory should there be evidence of non-compliance. Registrations Compliance Officer. Work closely with Americas Compliance Training team to identi...

As Chief Compliance Officer, you'll be the primary point of contact for leading all investment advisory compliance and regulatory initiatives. Lead compliance training for employees, manage employee c...

As Chief Compliance Officer, you'll be the primary point of contact for leading all investment advisory compliance and regulatory initiatives. Lead compliance training for employees, manage employee c...

Compliance Officer - Markets Business Line Advisory Compliance. Legal, Risk, First Line Control teams) and build credibility for the Compliance function and enhance the Compliance brand more widely;. ...

Compliance Officer - Markets Business Line Advisory Compliance. The candidate for this role will implement a comprehensive and sustainable compliance framework to ensure the bank’s compliance with reg...

The ICBA Compliance Officer reports directly to the Head of Global Markets Regulatory Compliance in the Americas and the Head of ICBRC in Head Office ultimately to the Regional Chief Compliance Office...

The ICBA Compliance Officer reports directly to the Head of Global Markets Regulatory Compliance in the Americas and the Head of ICBRC in Head Office ultimately to the Regional Chief Compliance Office...

Prior Head of Compliance or Chief Compliance Officer experience in finance, fintech, or crypto exchanges (prior experience scaling a global compliance program preferred). We are seeking an experienced...