Supervise and mentor compliance staff, ensuring a high-performing compliance team. Align the compliance function with the firm’s strategic goals, fostering a culture of compliance across all levels of...

Supervise and mentor compliance staff, ensuring a high-performing compliance team. Align the compliance function with the firm’s strategic goals, fostering a culture of compliance across all levels of...

Proactively engages with Compliance, Legal and control function colleagues to enhance the overall Compliance program. A global bank located in Midtown Manhattan looking to bring on board a Director F...

To be considered for the VP - Tax Compliance Officer role, you must have experience in banking or finance industry with working knowledge of the tax aspects related to US branch of foreign corporation...

Bank located in NJ looking to hire a Consumer Compliance Officer. Experience with consumer compliance regulations including Reg Z, Reg B, Reg EE, HMDA, UDAAP, and RESPA. Help to define documentation a...

Bank located in NJ looking to hire a Consumer Compliance Officer. Help to define documentation and approve compliance requirements for projects and capability development and other related activities ...

To be considered for the VP - Tax Compliance Officer role, you must have experience in banking or finance industry with working knowledge of the tax aspects related to US branch of foreign corporation...

Bank located in NJ looking to hire a Consumer Compliance Officer. Experience with consumer compliance regulations including Reg Z, Reg B, Reg EE, HMDA, UDAAP, and RESPA. Help to define documentation a...

To be considered for the VP - Tax Compliance Officer role, you must have experience in banking or finance industry with working knowledge of the tax aspects related to US branch of foreign corporation...

To be considered for the VP - Tax Compliance Officer role, you must have experience in banking or finance industry with working knowledge of the tax aspects related to US branch of foreign corporation...

A global bank located in Midtown Manhattan looking to bring on board a “Director – Fixed Income Compliance Officer” to join their team. Proactively engages with Compliance, Legal and control function ...

A global bank located in Midtown Manhattan looking to bring on board a “Director – Fixed Income Compliance Officer” to join their team. Proactively engages with Compliance, Legal and control function ...

A global bank located in Midtown Manhattan looking to bring on board a “Director – Fixed Income Compliance Officer” to join their team. Proactively engages with Compliance, Legal and control function ...

Providing compliance training to supplement computer-based training programs, as needed, and ensuring that staff members are assigned to take required computer-based training programs or attend Webina...

Bank located in NJ looking to hire a Consumer Compliance Officer. Experience with consumer compliance regulations including Reg Z, Reg B, Reg EE, HMDA, UDAAP, and RESPA. Help to define documentation a...

The Compliance Officer will be responsible for ensuring compliance with all relevant regulatory requirements related to public equities trading, including FINRA and SEC rules and regulations. We are s...

As a Senior Compliance Officer, you will:. Develop compliance policies and procedures to ensure compliance with federal securities laws, including the Investment Advisers Act of 1940, Investment Compa...

The Compliance Officer will be responsible for ensuring compliance with all relevant regulatory requirements related to public equities trading, including FINRA and SEC rules and regulations. We are s...

Strong Compliance experience in an investment bank (preferably line of business advisory, ideally Research Compliance). In this role you will provide compliance guidance and support to the US Research...

The Compliance Officer will be responsible for ensuring compliance with all relevant regulatory requirements related to public equities trading, including FINRA and SEC rules and regulations. Hold Bro...

Review and validation of High Risk KYC files to ensure completeness and compliance with Bank policies and Regulatory Requirements. The employee will most likely interact on a regular basis with the Cl...

Create and maintain policies reasonably designed to support compliance with applicable regulatory obligations, corporate requirements and industry best practices; and assist in development and deliver...

Monitor business owned controls and administer independent compliance controls to demonstrate compliance with firm policies and federal securities laws. Work closely with the senior management team in...

Develop compliance policies and procedures to ensure compliance with federal securities laws, including the Investment Advisers Act of 1940, Investment Company Act of 1940 and Commodity Exchange Act. ...

Create and maintain policies reasonably designed to support compliance with applicable regulatory obligations, corporate requirements and industry best practices; and assist in development and deliver...

Title: Compliance Associate/Officer. Our client, a successful alternative asset management firm with $50B+ in AUM is seeking an exceptional Compliance Professional to join their compliance team. Minim...

Title: Compliance Associate/Officer. Our client, a successful alternative asset management firm with $50B+ in AUM is seeking an exceptional Compliance Professional to join their compliance team. Suppo...

The Compliance Officer will be responsible for ensuring compliance with all relevant regulatory requirements related to public equities trading, including FINRA and SEC rules and regulations. Hold Bro...

Research Compliance, a line of business advisory team within Compliance, is seeking a highly motivated individual for a VP role in our New York office. In this role you will provide compliance guidanc...

Review and validation of High Risk KYC files to ensure completeness and compliance with Bank policies and Regulatory Requirements. The employee will most likely interact on a regular basis with the Cl...

Independently manage projects necessary to support initiatives both within Global Research Compliance and the broader Compliance Department; and interact regularly with colleagues in other lines of bu...

Supervise and mentor compliance staff, ensuring a high-performing compliance team. Align the compliance function with the firm’s strategic goals, fostering a culture of compliance across all levels of...

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 ne...

Review and validation of High Risk KYC files to ensure completeness and compliance with Bank policies and Regulatory Requirements. The employee will most likely interact on a regular basis with the Cl...

The Compliance Officer will be responsible for ensuring compliance with all relevant regulatory requirements related to public equities trading, including FINRA and SEC rules and regulations. Hold Bro...

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 ne...

Monitor business owned controls and administer independent compliance controls to demonstrate compliance with firm policies and federal securities laws. The Senior Compliance Officer will support the ...

Title: Compliance Associate/Officer. Our client, a successful alternative asset management firm with $50B+ in AUM is seeking an exceptional Compliance Professional to join their compliance team. Minim...

Monitor business owned controls and administer independent compliance controls to demonstrate compliance with firm policies and federal securities laws. The Senior Compliance Officer will support the ...

Supervise and mentor compliance staff, ensuring a high-performing compliance team. Align the compliance function with the firm’s strategic goals, fostering a culture of compliance across all levels of...