You will provide compliance guidance around NFA/CFTC regulated new products, business initiatives and implementing a strong risk management framework, including assessing the design and operational ef...

B+ SEC RIA seeks a Senior Compliance Officer to join their growing team! Position will report directly to the DCCO and CCO, and also oversee 2 junior team members. Pre- and post-trade monitoring portf...

As the NFA/CFTC senior compliance expert you’ll be a part of our team and will help mature our NFA/CFTC compliance products and controls, functions and reporting needs. You will provide compliance gui...

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 –...

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 –...

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

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

Work closely with the senior management team in Compliance on various global and regional projects and initiatives including, but not limited to, implementation of regulatory requirements; annual comp...

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...

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...

We are seeking a highly experienced and strategic Chief Compliance Officer (CCO) to lead and manage the compliance program for a Broker-Dealer focused on Fixed Income instruments. Minimum of 10 years ...

Work closely with the senior management team in Compliance on various global and regional projects and initiatives including, but not limited to, implementation of regulatory requirements; annual comp...

We are seeking a highly experienced and strategic Chief Compliance Officer (CCO) to lead and manage the compliance program for a Broker-Dealer focused on Fixed Income instruments. Minimum of 10 years ...

Haugland Group, a privately-owned Long Island, New York-based electrical and heavy civil construction company has an immediate need for a full-time MWDBE and EEO Compliance Officer. We are looking for...

B+ SEC RIA seeks a Senior Compliance Officer to join their growing team! Position will report directly to the DCCO and CCO, and also oversee 2 junior team members. Managing and updating pre- and post-...

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. Facil...

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

B+ SEC RIA seeks a Senior Compliance Officer to join their growing team! Position will report directly to the DCCO and CCO, and also oversee 2 junior team members. Pre- and post-trade monitoring portf...

Haugland Group, a privately-owned Long Island, New York-based electrical and heavy civil construction company has an immediate need for a full-time MWDBE and EEO Compliance Officer. We are looking for...

DACK Consulting Solutions, LLC is seeking a dedicated and dynamic DE&I Compliance and Outreach Officer to ensure that construction projects meet established diversity goals. Experience with diversity ...

Haugland Group, a privately-owned Long Island, New York-based electrical and heavy civil construction company has an immediate need for a full-time MWDBE and EEO Compliance Officer. We are looking for...

DACK Consulting Solutions, LLC is seeking a dedicated and dynamic DE&I Compliance and Outreach Officer to ensure that construction projects meet established diversity goals. This role involves managin...

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. Compl...

Haugland Group, a privately-owned Long Island, New York-based electrical and heavy civil construction company has an immediate need for a full-time MWDBE and EEO Compliance Officer. We are looking for...

We are seeking a highly experienced and strategic Chief Compliance Officer (CCO) to lead and manage the compliance program for a Broker-Dealer focused on Fixed Income instruments. Advise senior leader...

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...

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

The Compliance Officer will contribute to Pockyt's compliance program by supporting regulatory alignment and ensuring adherence to best practices in the financial services and payments industries. Con...

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...

Work closely with the senior management team in Compliance on various global and regional projects and initiatives including, but not limited to, implementation of regulatory requirements; annual comp...

Work closely with the senior management team in Compliance on various global and regional projects and initiatives including, but not limited to, implementation of regulatory requirements; annual comp...

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...

We are seeking a highly experienced and strategic Chief Compliance Officer (CCO) to lead and manage the compliance program for a Broker-Dealer focused on Fixed Income instruments. Minimum of 10 years ...

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...

The Compliance Officer will contribute to Pockyt's compliance program by supporting regulatory alignment and ensuring adherence to best practices in the financial services and payments industries. Hel...

DACK Consulting Solutions, LLC is seeking a dedicated and dynamic DE&I Compliance and Outreach Officer to ensure that construction projects meet established diversity goals. This role involves managin...

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...

The employee will most likely interact on a regular basis with the Client On Boarding group, Front Office personnel, Head Office Compliance personnel, and IT support. Review and validation of High Ris...

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. Assis...

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