We are seeking a highly experienced and strategic Chief Compliance Officer (CCO) to lead and manage the compliance program for a Broker-Dealer focused on Fixed Income instruments. Advise senior leader...

Align the compliance function with the firm’s strategic goals, fostering a culture of compliance across all levels of the organization. Supervise and mentor compliance staff, ensuring a high-performin...

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...

The Senior Compliance Officer will support the Alternative business lines and provide guidance relating to products including Direct Real Estate, Infrastructure Debt and Private Credit. Develop compli...

Haugland Group, a privately-owned Long Island, New York-based electrical and heavy civil construction company has an immediate need for a full-time MWDBE and EEO Compliance Officer. We are looking for...

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...

Assist the Head of North America Compliance in overseeing and managing the firm's investment adviser compliance program and ensuring compliance with all applicable laws, regulations, and guidelines. W...

Create and maintain policies reasonably designed to support compliance with applicable regulatory obligations, corporate requirements and industry best practices; and assist in development and deliver...

Key Internal Contacts: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. Key Respons...

Reports and works closely with the MTS Chief Compliance Officer to determine the effectiveness of the Compliance Program and its ability to identify, detect, deter and report suspicious activity. As t...

Self-Clearing Broker Dealer seeks experienced Chief Compliance Officer with a minimum of 5 years of experience working for a Self-Clearing Broker Dealer who has worked in the role of CCO at a Self-Cle...

This role involves monitoring regulatory changes, implementing compliance measures, and advising internal teams and clients on best practices to mitigate risks and maintain compliance. Provide complia...

Broker dealer located in Downtown Manhattan looking to bring on board a “Equities Compliance Officer” to join their team. Legal, Compliance, Client On-Boarding, AML Office, Marketing and Information S...

Broker dealer located in Downtown Manhattan looking to bring on board a “Equities Compliance Officer” to join their team. Legal, Compliance, Client On-Boarding, AML Office, Marketing and Information S...

Operational Systems Compliance - Monitoring operational functioning and the portfolio process for compliance, including positions, order activity and other systematic parts of the process in keeping w...

The Fair Banking Compliance Officer provides second line oversight and support to TD Bank's compliance and business units related to fair lending and UDAAP for all consumer and commercial products. Fa...

Assist in managing Regulatory Compliance Examinations. Prepare and lead monitoring programs and may instruct junior officers or other staff conducting monitoring. Perform research to determine what re...

LLC (“SWS” or the “Firm”) (a FINRA-registered broker/dealer) is seeking to add a knowledgeable, driven, intellectually curious and experienced compliance professional to the team led by the Chief Comp...

The Compliance Officer will work closely with fellow compliance and business personnel, providing compliance support to the firm’s global systematic trading strategies. The Compliance department emplo...

Large broker dealer located in Midtown Manhattan or Los Angeles looking to add a “VP – Capital Markets Compliance Officer” to their team. Assist with the design and execution of regulatory compliance ...

The Marketing Compliance Officer will review and approve all communications to the public including, but not limited to, marketing materials, monthly reports, factsheets, request for proposals, due di...

Ability to analyze various compliance problems or regulations and develop effective solutions in conjunction with the Chief Compliance Officer. Masters Degree and additional education such as having a...

Working with Compliance Officers and the Risk & Internal Controls team globally, the Data & Technology Covering Compliance Officer will be a direct liaison and a point of escalation contact for S&P Gl...

Reporting to CACIB US Compliances Head of Governance and Ethics, the Compliance Officer will be in charge of implementing & maintaining CACIB US Compliance Governance Framework; acting as Secretary of...

The successful candidate will report directly to the Chief Compliance Officer (CCO) and will be responsible for assisting in the development, implementation, and maintenance of our compliance program....

Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)’s Compliance Independent Assessment (CIA) team responsible for assessing compliance risks and controls implemented...

Fidelity Compliance, a 600-person organization, is accountable for business unit compliance strategy and oversight in addition to providing enterprise services and policies regarding Ethics, Digital C...

In this role, the Trade Compliance Officer will be responsible for ensuring compliance with all relevant regulatory requirements related to public equities trading, including FINRA and SEC rules and r...

As the Compliance Officer – Head of Origination & Advisory Director, you will lead a team and focus on providing real-time support to the Origination & Advisory (O&A) Coverage business. Compliance Off...

The successful candidate will report to the Chief Compliance Officer of 50 South and also the Alpha Strategies Fund, a registered closed-end fund managed by 50 South. This position is part of Northern...

Provide ideas for the enhancement of the compliance testing program, monitoring plan, and industry research, leveraging Compliance advisory. Experience with Compliance Testing Tools (RegComp /Archer w...

The Senior Compliance Officer - Institutional Sales Coverage position sits in DWS Business Line Compliance (“DWS” Compliance). The Senior Compliance Officer - Institutional Sales Coverage will assist ...

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 assig...

The Assistant General Counsel and Compliance Officer reports directly to the General Counsel and is a key member of the Trust’s legal and compliance department. The Assistant General Counsel and Compl...

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 ...

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 ...

In addition, the attorney may assist with other compliance matters, including investigations and supporting MLS’s compliance function. Review and manage programs relating to MLS player safety, includi...