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...

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...

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...

The President and Chief Compliance Officer, for BDO Capital Advisors, LLC will serve dual roles in leading the organization’s investment banking subsidiary and managing its operational and compliance ...

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 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...

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...

Implement and/or maintain a comprehensive investment advisory compliance program for SEC Registered Investment Advisor ("RIA") affiliates of Socit Gnrale in the Americas to ensure compliance and pract...

Compliance Officer - Investment Bank Compliance - Origination & Advisory. Support the global compliance monitoring program by providing input on the framework documents and completing verification che...

The Vice President, Capital Markets Compliance Officer is responsible for acting in an advisory capacity to the Wedbush Capital Markets activities including equity market making sales, trading, resear...

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...

Global investment bank located in Midtown Manhattan looking to bring on board an “Compliance Officer – Investment Bank Compliance – Fixed Income Sales & Trading – Vice President” to join their team. P...

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...

Key Responsibilities:Review and validation of High Risk KYC files to ensure completeness and compliance with Bank policies and Regulatory Requirements. Key Internal Contacts:The employee will most lik...

The Executive Compliance Officer – Solutions Advisory position will provide compliance advisory services across multiple business lines and asset classes, including OTC derivatives, structured notes/p...

The focus of the role will be on execution of control room-related tasks, advisory to the various businesses, focusing on the private side, reporting, monitoring Compliance and business controls, and ...

Seniorpliance Officer - Trade / Export Control - Legal &plianceThe energy of a newsroom, the pace of a trading floor, the buzz of a recent tech breakthrough; we work hard, and we work fast - while kee...

SEFpliance Surveillance Lead and Advisorypliance Officer - Legal &plianceThe energy of a newsroom, the pace of a trading floor, the buzz of a recent tech breakthrough; we work hard, and we work fast -...

In addition, the individual will provide assistance to the Chief Legal Officer & Chief Compliance Officer in compliance and legal functions and act as the Healthcare System’s HIPAA Privacy Officer. Th...