Skills and Abilities Experience in providing regulatory or compliance advise in connection with fixed income sales and trading activities Functional knowledge of the US Fixed Income trading/regulatory...

Legal, Risk, First Line Control teams) and build credibility for the Compliance function and enhance the Compliance brand more widely; Work collaboratively with the Global and US Compliance teams wher...

The Bank Regulatory Compliance Officer (“Compliance Officer”) will provide advisory and monitoring support to assigned business areas in implementing Compliance policies and procedures regarding State...

The Bank Regulatory Compliance Officer (“Compliance Officer”) will provide advisory and monitoring support to assigned business areas in implementing Compliance policies and procedures regarding State...

Experience in investment fund compliance (including federal and state securities laws compliance and managing relevant regulatory filings and deadlines) and investment fund structuring. A private inve...

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...

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...

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

Program Integrity and Compliance Officer. Position: Program Integrity and Compliance Officer. Regularly review operations to identify potential compliance risks and ensure adherence to relevant laws a...

Program Integrity and Compliance Officer. Position: Program Integrity and Compliance Officer. Regularly review operations to identify potential compliance risks and ensure adherence to relevant laws a...

Collaborate with the Global Anti-Financial Crimes Compliance Officer in connection with ongoing evolution of AFC compliance framework in light of regulatory change. This role is pivotal in facilitatin...

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...

Assist with designing and providing compliance training for Core Focus Areas. Advise on Cerberus-related compliance matters including (i) management incentive plan approvals, (ii) management-fee offse...

This requires coordination internally with our operations and technology team and often with outside counsel and compliance consultants. In-depth knowledge of compliance requirements applicable to SEC...

Collaborate with the Global Anti-Financial Crimes Compliance Officer in connection with ongoing evolution of AFC compliance framework in light of regulatory change. This role is pivotal in facilitatin...

Assist with designing and providing compliance training for Core Focus Areas. Advise on Cerberus-related compliance matters including (i) management incentive plan approvals, (ii) management-fee offse...

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 primary focus will be to assist the Compliance Department with reviewing and approving marketing materials as well as being responsible for assisting the compliance department in the firm regulato...

The primary focus will be to assist the Compliance Department with reviewing and approving marketing materials as well as being responsible for assisting the compliance department in the firm regulato...

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...

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...

This role provides significant exposure to senior management and the Chief Compliance Officer (CCO), offering an excellent opportunity to advance your career in compliance and asset management. A Hedg...

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...

Were currently seeking an additional Compliance Officer to join our team. In this role, youll provide regulatory compliance services to client broker-dealers, including establishing processes. Complia...

Were currently seeking an additional Compliance Officer to join our team. In this role, youll provide regulatory compliance services to client broker-dealers, including establishing processes. Complia...

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...

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...

PIMCO is seeking a Senior Compliance Officer to join its global compliance team within the Legal and Compliance Department, focusing on the U. Administer the funds compliance program, including compli...

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...

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...

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

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

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...