Will be responsible for maintaining compliance with policies and procedures related to equities trading according to FINRA and SEC regulations.

A financial institution is seeking a senior compliance leader to oversee its organization-wide compliance efforts. Oversee internal compliance testing conducted by compliance staff. Chair internal com...

Will be responsible for maintaining compliance with policies and procedures related to equities trading according to FINRA and SEC regulations.

A financial institution is seeking a senior compliance leader to oversee its organization-wide compliance efforts. Oversee internal compliance testing conducted by compliance staff. Report material fi...

The Chief Counsel and Chief Compliance Officer will serve as the trusted adviser to Marsh McLennan Agency (MMA) Asset Management, MMA Securities, and Marsh McLennan Company (MMC) Securities, and gener...

The Chief Legal, Risk & Compliance Officer (CLRCO) serves as the top legal advisor and enterprise risk leader for the organization. Lead and mentor high-performing teams across legal, risk, compliance...

The Chief Counsel and Chief Compliance Officer will serve as the trusted adviser to Marsh McLennan Agency (MMA) Asset Management, MMA Securities, and Marsh McLennan Company (MMC) Securities, and gener...

The Chief Legal, Risk & Compliance Officer (CLRCO) serves as the top legal advisor and enterprise risk leader for the organization. Oversee internal audit programs focused on key business risk areas, ...

Our client is seeking an experienced and dynamic Hedge Fund Deputy CCO to join the Compliance team. The team is responsible for all legal and compliance matters for the Firm. The successful candidate ...

Stay up to date with evolving regulations and industry trends, and proactively adapt the compliance program as needed. This requires coordination internally with our operations and technology team and...

Reporting to the Chief Financial Officer, with additional accountability to the First Deputy Commissioner on investigative matters related to fiscal oversight or of agency-wide significance, the Chief...

Were partnering with a leading investment management firm thats seeking a Chief Compliance Officer — or a senior compliance officer ready to step into the CCO role — to oversee their U. Chief Complian...

Reporting to the Chief Financial Officer, with additional accountability to the First Deputy Commissioner on investigative matters related to fiscal oversight or of agency-wide significance, the Chief...

Were partnering with a leading investment management firm thats seeking a Chief Compliance Officer — or a senior compliance officer ready to step into the CCO role — to oversee their U. Chief Complian...

The Group Chief Compliance Officer will be a key member of the Legal & Compliance team and will report direct to the Chief Legal Officer. You will be our Group Chief Compliance Officer responsible for...

The Group Chief Compliance Officer will be a key member of the Legal & Compliance team and will report direct to the Chief Legal Officer. You will be our Group Chief Compliance Officer responsible for...

Coordinate and oversee compliance activities across all Marathon Asset Management offices, including the UK office (with a dedicated Compliance Officer), Luxembourg office, and other US and non-US bra...

Coordinate and oversee compliance activities across all Marathon Asset Management offices, including the UK office (with a dedicated Compliance Officer), Luxembourg office, and other US and non-US bra...

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...

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...

We are looking for a Chief Compliance Officer (CCO) who will assume primary responsibility for ensuring broker-dealer compliance with SEC, FINRA and applicable state rules/ regulations. The primary re...

As Chief Compliance Officer, you'll be the primary point of contact for leading all investment advisory compliance and regulatory initiatives. Our client is an exciting, tech-driven asset manager base...

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 ...

We are looking for a Chief Compliance Officer (CCO) who will assume primary responsibility for ensuring broker-dealer compliance with SEC, FINRA and applicable state rules/ regulations. The primary re...

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, ...

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 ...

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...

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, ...

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...

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 ...

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 ...

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, ...

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, ...

The Chief Global Compliance Officer ("CGCO") is responsible to the Senior Vice President, General Counsel for developing, executing, and enforcing the Global Ethics and Compliance Program in order to ...

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. Our client is an exciting, tech-driven asset manager base...

Oversee compliance activities, including testing, training, risk assessments, drafting the annual compliance plan, responding to information requests from examiners and auditors, preparing compliance-...

Oversee compliance activities, including testing, training, risk assessments, drafting the annual compliance plan, responding to information requests from examiners and auditors, preparing compliance-...