Advisory Compliance Officer - Fixed Income Business Line Compliance. Legal, Risk, First Line Control teams) and build credibility for the Compliance function and enhance the Compliance brand more wide...

KKR's Compliance team is responsible for developing and enforcing compliance policies and procedures, as well as tracking ongoing regulatory changes that may affect the firm. The role dual reports to ...

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...

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...

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...

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...

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

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...

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...

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.

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

A private investment firm is seeking a legal/compliance officer to join their team in the NYC office. Assist with the management, maintenance and ongoing development of the firm’s compliance program (...

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

Position: Program Integrity and Compliance Officer. Program Integrity and Compliance Officer. Compliance Monitoring and Risk:.

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 ...

Partner with Relationship Managers / Product Groups to enable more enriched discussions on risk / AML / Sanctions compliance issues, while managing the progress of KYCs from an end to end basis for an...

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...

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...

Partner with Relationship Managers / Product Groups to enable more enriched discussions on risk / AML / Sanctions compliance issues, while managing the progress of KYCs from an end to end basis for an...

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...

Certification in Healthcare Compliance (CHC) preferred. Develop, implement, and oversee compliance programs aligned with state and federal home health regulations. Regularly review and update 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...

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...

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...

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...

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. The ideal candidate will be based in PIMCOs New York Offi...

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 ...

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...

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...

Fixed Income Compliance Officer. Conduct compliance training for new and existing regulations and firm policies.