Marsh McLennan Agency (MMA) is seeking a Chief Compliance Officer (CCO) to lead its global compliance program. As part of an ongoing effort to identify, mitigate and manage risk, lead the MMA Risk Com...

The Compliance Officer is the primary compliance resource and should be able to answer the bulk of the staff's compliance questions. The Compliance Officer acts as the Company's Privacy Officer. Provi...

The Compliance Officer is the primary compliance resource and should be able to answer the bulk of the staff's compliance questions. The Compliance Officer acts as the Company's Privacy Officer. Provi...

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

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...

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...

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 Compliance Officer will contribute to Pockyt's compliance program by supporting regulatory alignment and ensuring adherence to best practices in the financial services and payments industries. Min...

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...

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...

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...

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. Lead the compliance ...

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...

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...

B+ SEC RIA seeks a Senior Compliance Officer to join their growing team! Position will report directly to the DCCO and CCO, and also oversee 2 junior team members. Pre- and post-trade monitoring portf...

Title: Compliance Associate/Officer. Our client, a successful alternative asset management firm with $50B+ in AUM is seeking an exceptional Compliance Professional to join their compliance team. Suppo...

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...

The Compliance Officer will contribute to Pockyt's compliance program by supporting regulatory alignment and ensuring adherence to best practices in the financial services and payments industries. Con...

Title: Compliance Associate/Officer. Our client, a successful alternative asset management firm with $50B+ in AUM is seeking an exceptional Compliance Professional to join their compliance team. Compl...

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...

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...

A global bank located in Midtown Manhattan looking to bring on board a “Director – Fixed Income Compliance Officer” to join their team. Proactively engages with Compliance, Legal and control function ...

The Compliance Officer will contribute to Pockyt's compliance program by supporting regulatory alignment and ensuring adherence to best practices in the financial services and payments industries. Con...

The Compliance Officer will be responsible for ensuring compliance with all relevant regulatory requirements related to public equities trading, including FINRA and SEC rules and regulations. Hold Bro...

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 Compliance Officer will be responsible for ensuring compliance with all relevant regulatory requirements related to public equities trading, including FINRA and SEC rules and regulations. Hold Bro...

B+ SEC RIA seeks a Senior Compliance Officer to join their growing team! Position will report directly to the DCCO and CCO, and also oversee 2 junior team members. Reviewing and responding to client q...

Proactively engages with Compliance, Legal and control function colleagues to enhance the overall Compliance program. A global bank located in Midtown Manhattan looking to bring on board a “Director –...

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...

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...

Act in the roles of lead Americas Money Laundering Reporting Officer (BSA Officer) and Chief Compliance Officer for Copper. Copper is looking for a skilled and collaborative Americas BSA & Chief Compl...

We're looking for an experienced, senior BSA/AML professional to serve as the BSA/AML Compliance Officer for Figure Markets's US and potentially foreign jurisdictions which includes oversight over sev...

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...

We are looking for a senior CRA Compliance Officer/CRA Program Manager to join our Compliance Team in New York, NY. CRCM designation or JD is preferred, with superior knowledge of compliance laws and ...

Marsh McLennan Agency (MMA) is seeking a Chief Compliance Officer (CCO) to lead its global compliance program. Reporting to the Marsh & McLennan Agency General Counsel, you will be responsible for adv...

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...

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...