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...

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...

Program Integrity and Compliance Officer. Position: Program Integrity and Compliance Officer. Oversee and provide guidance on and monitor compliance with applicable incident reporting requirements.

Contribute to annual compliance training requirements and regulatory change impact assessments as needed. Join a top global Canadian banking organization as they look to augment their compliance testi...

Join a top global Canadian banking organization as they look to augment their compliance testing program for their broker-dealer. Assist with developing and executing the annual Compliance Testing pla...

This role provides significant exposure to senior management and the Chief Compliance Officer (CCO), offering an excellent opportunity to advance your career in compliance and asset management. A Hedg...

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...

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...

Quickly escalate matters to supervisors, compliance advisory should there be evidence of non-compliance. Registrations Compliance Officer. Work closely with Americas Compliance Training team to identi...

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...

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...

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...

Registrations Compliance Officer. Registrations Compliance Officer. The Registrations Compliance Officer will manage regulatory filings, monitor licensing requirements, and maintain data integrity acr...

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...

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...

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...

As Chief Compliance Officer, you'll be the primary point of contact for leading all investment advisory compliance and regulatory initiatives. Lead compliance training for employees, manage employee c...

Lead compliance training for employees, manage employee compliance, and conduct an annual compliance review. As Chief Compliance Officer, you'll be the primary point of contact for leading all investm...

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 ...

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...

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...

Quickly escalate matters to supervisors, compliance advisory should there be evidence of non-compliance. Contractor, Registration Compliance Officer. Update and distribute list to senior management, s...

Quickly escalate matters to supervisors, compliance advisory should there be evidence of non-compliance. Contractor, Registration Compliance Officer. Compliance Culture and Conduct:.

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...

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...

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...

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...

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...

Contractor, Registration Compliance Officer. Quickly escalate matters to supervisors, compliance advisory should there be evidence of non-compliance. Update and distribute list to senior management, s...

LHH Recruitment Solutions is working with a client in Westchester County NY to fill a Compliance Officer position.

Quickly escalate matters to supervisors, compliance advisory should there be evidence of non-compliance. Contractor, Registration Compliance Officer. The Registrations Compliance team supports bank (U...

Quickly escalate matters to supervisors, compliance advisory should there be evidence of non-compliance. Registrations Compliance Officer. Update and distribute list to senior management, supervisors,...

Registrations Compliance Officer. Quickly escalate matters to supervisors, compliance advisory should there be evidence of non-compliance. Minimum of 10 years of compliance experience with a broker de...

As Chief Compliance Officer, you'll be the primary point of contact for leading all investment advisory compliance and regulatory initiatives. Lead compliance training for employees, manage employee c...

As Chief Compliance Officer, you'll be the primary point of contact for leading all investment advisory compliance and regulatory initiatives. Lead compliance training for employees, manage employee c...

Compliance Officer - Markets Business Line Advisory Compliance. Legal, Risk, First Line Control teams) and build credibility for the Compliance function and enhance the Compliance brand more widely;. ...

Compliance Officer - Markets Business Line Advisory Compliance. Legal, Risk, First Line Control teams) and build credibility for the Compliance function and enhance the Compliance brand more widely;. ...

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...