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...

Leading Trading Firm is looking to hire a Compliance Officer in New York City. This key hire will play a strategic role in running the day-to-day compliance program as the firm continues to build an i...

The Senior Compliance Officer will work directly with the firms Chief Compliance Officer (CCO) to administer and support the RIAs Rule 206(4)-7 compliance program, including, but not limited to, updat...

As a Compliance Officer, you will be responsible for ensuring the firm adheres to all regulatory requirements and internal policies, fostering a culture of compliance and ethical conduct. Support the ...

The role requires a strong knowledge of the US regulations applicable to CUSO and the relevant entities, as well as the foundations of a corporate compliance program (such as Compliance Risk Assessmen...

Perform ongoing testing in all compliance areas which consist of (insider trading surveillance, compliance with firm policies, TCA, market manipulation surveillance). New York, NY): Our client, a hedg...

The Financial Crimes Compliance Officer has day to day management duties of departmental staff and is expected to be knowledgeable in all aspects of BSA/AML/ and OFAC/Economic Sanctions programs and t...

Qualifications:Knowledge of Compliance laws, rules, regulations, risks and typologiesCompliance product coverage for Cash Sales Trading and Equities TradingMust be a self-starter, flexible, innovative...

Serves as a senior Research, Marketing, and Content Compliance Officer for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies, procedures, process...

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...

Leading Trading Firm is looking to hire a Compliance Officer in New York City. This key hire will play a strategic role in running the day-to-day compliance program as the firm continues to build an i...

The role requires a strong knowledge of the US regulations applicable to CUSO and the relevant entities, as well as the foundations of a corporate compliance program (such as Compliance Risk Assessmen...

As a Compliance Officer, you will be responsible for ensuring the firm adheres to all regulatory requirements and internal policies, fostering a culture of compliance and ethical conduct. Support the ...

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

As Chief Compliance Officer, you will lead and manage the broker-dealer compliance team, oversee the development and implementation of compliance programs, monitor regulatory changes and provide guida...

The Senior Compliance Officer will work directly with the firm’s Chief Compliance Officer (“CCO”) to administer and support the RIA’s Rule 206(4)-7 compliance program, including, but not limited to, u...

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...

New York, NY): Our client, a hedge fund with over $3B in AUM is seeking an experienced Investment Compliance Officer to join their team a newly created position to lead surveillance initiatives within...

Professional certification is highly preferred, such as Certified Bank Compliance Officer (CBCO), Certified Regulatory Compliance Manager (CRCM), or Certified Regulatory and Compliance - Professional ...