Review and approve all marketing materials and investor communications for regulatory compliance. Collaborate with the CFO and other senior partners to align compliance initiatives with broader strate...

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...

I am in search of a Compliance Professional with a FINRA/Financial Securities Compliance background to evaluate my client and their technology and processes. The position would pay $200/hr and the ini...

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...

Compliance Officer - Consulting Opportunity. I am in search of a Compliance Professional with a FINRA/Financial Securities Compliance background to evaluate my client and their technology and processe...

We operate a global/local Compliance model, whereby subject matter experts within Central Compliance support local Compliance Officers to ensure their programs are robust, consistent, and meet both lo...

We operate a global/local Compliance model, whereby subject matter experts within Central Compliance support local Compliance Officers to ensure their programs are robust, consistent, and meet both lo...

The Chief Compliance Officer will oversee all compliance efforts, ensuring the organization remains. Ensure compliance policies are clearly understood and. Knowledge of OPWDD, Medicaid regulations, an...

The Chief Compliance Officer (CCO) will be pivotal in establishing and maintaining the compliance infrastructure necessary to support Aspen's high-paced growth and M&A aggregation strategy. We’re seek...

The Chief Compliance Officer of Figure Lending will lead the Lending compliance team and oversee the related compliance and regulatory functions. The Chief Compliance Officer of Figure Lending will as...

The Chief Compliance Officer (CCO) will be pivotal in establishing and maintaining the compliance infrastructure necessary to support Aspen's high-paced growth and M&A aggregation strategy. We’re seek...

Due to growth, they are looking to bring on an Compliance Officer to join the compliance team. Develop, implement and enforce procedures and policies to ensure the regional headquarters’ compliance wi...

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...

Draft compliance policies and procedures and advise senior leadership on compliance issues. Our client, a recently founded private equity firm is seeking a CCO to build and manage the firm's complianc...

Assisting with annual compliance reviews, mock audits and SEC examinations. Conducting compliance testing, including electronic communications reviews. Assisting with the onboarding and monitoring of ...

Due to growth, they are looking to bring on an Compliance Officer to join the compliance team. Develop, implement and enforce procedures and policies to ensure the regional headquarters’ compliance wi...

A prominent firm in the investment banking and capital markets sector is looking for an Internal Compliance Officer to join the team. Experience with compliance data systems; Microsoft Suite Applicati...

Confidential, is seeking an Attorney and Chief Compliance Officer for its hedge fund business. Keep abreast of legal and regulatory developments and compliance best practices. Strong understanding of ...

Confidential, is seeking an Attorney and Chief Compliance Officer for its hedge fund business. Keep abreast of legal and regulatory developments and compliance best practices. Strong understanding of ...

Draft compliance policies and procedures and advise senior leadership on compliance issues. Our client, a recently founded private equity firm is seeking a CCO to build and manage the firm's complianc...

Experience with compliance data systems; Microsoft Suite Applications and Compliance Trading System software skills. A prominent firm in the investment banking and capital markets sector is looking fo...

Develop compliance policies and procedures to ensure compliance with federal securities laws, including the Investment Advisers Act of 1940, Investment Company Act of 1940 and Commodity Exchange Act. ...

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...

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...

Compliance Officer – Investment Bank Compliance – Fixed Income Sales & Trading - Rates and FX. Ability to make, support, and defend difficult and complex regulatory/compliance decisions in a fast-pace...

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...

Compliance Officer – Investment Bank Compliance – Fixed Income Sales & Trading - Rates and FX. Ability to make, support, and defend difficult and complex regulatory/compliance decisions in a fast-pace...

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. As a Senior Co...

This position is near a highly sought-after area just north of New York City.White Plains provides the ideal combination of urban and suburban flavor.The city offers numerous parks and recreational fa...

This position is near a highly sought-after area just north of New York City.White Plains provides the ideal combination of urban and suburban flavor.The city offers numerous parks and recreational fa...

Due to growth, they are looking to bring on an Compliance Officer to join the compliance team. Ensure compliance of all constituencies (including directors of group companies) in the regional headquar...

As a Senior Compliance Officer, you will:. Monitor business owned controls and administer independent compliance controls to demonstrate compliance with firm policies and federal securities laws. Work...

A prominent firm in the investment banking and capital markets sector is looking for an Internal Compliance Officer to join the team. Experience with compliance data systems; Microsoft Suite Applicati...

Assisting with annual compliance reviews, mock audits and SEC examinations. Conducting compliance testing, including electronic communications reviews. Assisting with the onboarding and monitoring of ...

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. As a Senior Co...

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. As a Senior Co...

Strong Compliance experience in an investment bank (preferably line of business advisory, ideally Research Compliance). In this role you will provide compliance guidance and support to the US Research...

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...