The Vice President and Chief Audit & Compliance Officer leads, manages, and organizes all aspects of Princeton’s internal audit function and institutional compliance program in today’s challenging aud...

The Vice President and Chief Audit & Compliance Officer leads, manages, and organizes all aspects of Princeton’s internal audit function and institutional compliance program in today’s challenging aud...

Compliance Officer - Consulting Opportunity. I am in search of a Compliance Professional with a FINRA/Financial Securities Compliance background to evaluate my client and their technology and processe...

The position would pay $200/hr and the initial project would be 30-90 days with the potential for extension and/or a Chief Compliance Officer role within the organization. Compliance Officer - Consult...

The Chief Compliance and Clinical Risk Management Officer will lead VNA’s corporate compliance and clinical risk management programs for Home Health, Hospice, community and public health. Serve as the...

A leading technology-driven investment platform managing over $100B in assets, seeks an experienced Chief Compliance Officer to lead and evolve their compliance function. We're seeking a strategic com...

We operate a global/local Compliance model, whereby subject matter experts within Central Compliance support local Compliance Officers to ensure their programs are robust, consistent, and meet both lo...

We operate a global/local Compliance model, whereby subject matter experts within Central Compliance support local Compliance Officers to ensure their programs are robust, consistent, and meet both lo...

The Chief Compliance Officer (CCO) will be pivotal in establishing and maintaining the compliance infrastructure necessary to support Aspen's high-paced growth and M&A aggregation strategy. We’re seek...

The Chief Compliance Officer (CCO) will be pivotal in establishing and maintaining the compliance infrastructure necessary to support Aspen's high-paced growth and M&A aggregation strategy. We’re seek...

Draft compliance policies and procedures and advise senior leadership on compliance issues. Our client, a recently founded private equity firm is seeking a CCO to build and manage the firm's complianc...

Confidential, is seeking an Attorney and Chief Compliance Officer for its hedge fund business. Serve as AML Reporting Officer. Implement and update compliance policies and procedures.

Confidential, is seeking an Attorney and Chief Compliance Officer for its hedge fund business. Keep abreast of legal and regulatory developments and compliance best practices. Strong understanding of ...

Provide strategic guidance to senior leadership on potential compliance risks and evolving regulatory requirements. Ensure all investment transactions are in compliance with the underlying Fund LPAs a...

Draft compliance policies and procedures and advise senior leadership on compliance issues. Our client, a recently founded private equity firm is seeking a CCO to build and manage the firm's complianc...

Compliance Officer – Investment Bank Compliance – Fixed Income Sales & Trading - Rates and FX. Provide regulatory/compliance training; assist the Business in implementing and documenting various super...

Compliance Officer – Investment Bank Compliance – Fixed Income Sales & Trading - Rates and FX. Support the global compliance monitoring program by providing input on the framework documents and comple...

The Senior Compliance Officer will support the Alternative business lines and provide guidance relating to products including Direct Real Estate, Infrastructure Debt and Private Credit. As a Senior Co...

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...

In-depth knowledge of compliance requirements applicable to SEC registered investment advisers. Our client is seeking an experienced and dynamic Hedge Fund Deputy CCO to join the Compliance team. The ...

SBS seeks a Chief Vendor Compliance Officer for Citywide Vendor Compliance who will report to the Deputy Commissioner of the Division of Economic and Financial Opportunity. The Chief Vendor Compliance...

The Compliance Anti Money Laundering Risk Management Officer is a senior professional level role responsible for establishing internal procedures to prevent money laundering and assist in all matters ...

The Chief Compliance Officer (CCO) will be pivotal in establishing and maintaining the compliance infrastructure necessary to support Aspen's high-paced growth and M&A aggregation strategy. We’re seek...

A prominent firm in the investment banking and capital markets sector is looking for an Internal Compliance Officer to join the team. Experience with compliance data systems; Microsoft Suite Applicati...

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...

Monitor business owned controls and administer independent compliance controls to demonstrate compliance with firm policies and federal securities laws. Develop compliance policies and procedures to e...

Assisting with annual compliance reviews, mock audits and SEC examinations. Conducting compliance testing, including electronic communications reviews. Assisting with the onboarding and monitoring of ...

Due to growth, they are looking to bring on an Compliance Officer to join the compliance team. Maintain compliance databases for regional headquarters. Review, analyze and monitor policies of group co...

Due to growth, they are looking to bring on an Compliance Officer to join the compliance team. Familiarity with antitrust compliance (preferred). Develop, implement and enforce procedures and policies...

Assisting with annual compliance reviews, mock audits and SEC examinations. Conducting compliance testing, including electronic communications reviews. Assisting with the onboarding and monitoring of ...

Experience with compliance data systems; Microsoft Suite Applications and Compliance Trading System software skills. A prominent firm in the investment banking and capital markets sector is looking fo...

Compliance Officer - Fixed Income Sales & Trading - Credit. Support the global compliance monitoring program by providing input on the framework documents and completing verification checks as outline...

AML Compliance Officer - Wealth Management / Prime Brokerage. The Compliance Anti Money Laundering Officer covering Wealth Management / Prime Brokerage is a senior professional level role responsible ...

We operate a global/local Compliance model, whereby subject matter experts within Central Compliance support local Compliance Officers to ensure their programs are robust, consistent, and meet both lo...

We operate a global/local Compliance model, whereby subject matter experts within Central Compliance support local Compliance Officers to ensure their programs are robust, consistent, and meet both lo...

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. ...

In this role you will provide compliance guidance and support to the US Research team, working closely with Investment Banking, Capital Markets, Markets and Control Room Compliance teams. Create and m...