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...

CIB Americas Compliance seeks a VP-level Compliance Officer to contribute at the CIB Americas Control Room and support a dynamic CIB Americas Compliance Department. The Compliance Officer will have di...

Compliance Officers monitor transactions, conduct regular audits, train employees on regulatory requirements, and implement policies and procedures to minimize non-compliance risks. The Executive Comp...

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...

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...

Having previously served in the role(s) of Chief Compliance Officer (CCO), Director of Compliance or Compliance Officer, you have specific, hands-on experience developing, implementing, and managing a...

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

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...

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...

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 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...

Seeking an experienced compliance officer to join our team as the new Director, Electronic Trading Compliance Officer. In this role, the compliance officer will be responsible for ensuring compliance ...

Serve as the Chief Compliance Officer and Anti-Money Laundering Officer of the Broker-Dealer, reporting to the Chief Administrative Officer of Public Holdings. Maintain the Written Supervisory Procedu...

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...

Having previously served in the role(s) of Chief Compliance Officer (CCO), Director of Compliance or Compliance Officer, you have specific, hands-on experience developing, implementing, and managing a...

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...

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 ...

The Advisory Compliance team serves as a regulatory advisory function and is responsible for overseeing the management of the broker dealer's compliance risk, and is represented by the Chief Complianc...

Serves as a function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for assisting with internal strategies, policies, procedures, processes, and...