Quickly escalate matters to supervisors, compliance advisory should there be evidence of non-compliance. Minimum of 10 years of compliance experience with a broker dealer/financial services firm in a ...

Quickly escalate matters to supervisors, compliance advisory should there be evidence of non-compliance. Minimum of 10 years of compliance experience with a broker dealer/financial services firm in a ...

Registrations Compliance Officer. Quickly escalate matters to supervisors, compliance advisory should there be evidence of non-compliance. Registrations/Licensing, Filings, Compliance, Form U4, U5, 8R...

Registrations Compliance Officer. Quickly escalate matters to supervisors, compliance advisory should there be evidence of non-compliance. Registrations/Licensing, Filings, Compliance, Form U4, U5, 8R...

Soho Square Solutions is currently looking for a Registrations Compliance Officer. Minimum of 10 years of compliance experience with a broker dealer/financial services firm in a similar role.

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 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...

Billion Alternative Asset Manager Seeks an Investment Compliance Officer (1940 Act, Compliance Policies, Regulatory Compliance). Assist with Compliance Policy Writing. Updating Compliance Policies & P...

Perform compliance audits from time to time as needed. Advise group company directors as to ongoing compliance matters at firm. Participate and monitor compliance committee meetings.

Oversee internal compliance testing conducted by compliance staff. A financial institution is seeking a senior compliance leader to oversee its organization-wide compliance efforts. Provide guidance o...

International Financial Firm is seeking an experienced Compliance Officer to ensure adherence to ethical standards, laws, and regulations across the firm's operations in the Americas. The role involve...

International Financial Firm is seeking an experienced Compliance Officer to ensure adherence to ethical standards, laws, and regulations across the firm's operations in the Americas. The role involve...

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. We are s...

Make recommendations as to possible compliance synergies. Develop, implement and enforce procedures and policies to ensure compliance with applicable laws, regulations and group policies. Perform risk...

Independently manage projects necessary to support initiatives both within Global Research Compliance and the broader Compliance Department; and interact regularly with colleagues in other lines of bu...

Billion Alternative Asset Manager Seeks an Investment Compliance Officer (1940 Act, Compliance Policies, Regulatory Compliance). Experience with Compliance Training. Assist with Compliance Policy Writ...

The primary focus will be to assist the Compliance Department with reviewing and approving marketing materials as well as being responsible for assisting the compliance department in the firm regulato...

The primary focus will be to assist the Compliance Department with reviewing and approving marketing materials as well as being responsible for assisting the compliance department in the firm regulato...

Serves as a senior compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies, procedures, processes, and programs to prevent ...

Compliance Officer - Markets Business Line Advisory Compliance. The candidate for this role will implement a comprehensive and sustainable compliance framework to ensure the bank’s compliance with reg...

Compliance Officer - Markets Business Line Advisory Compliance. The candidate for this role will implement a comprehensive and sustainable compliance framework to ensure the bank’s compliance with reg...

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...

The Senior Compliance Office provides advice, guidance and support to business units in adhering to regulatory/compliance requirements and assists in implementing compliance initiatives to help manage...

Prior Head of Compliance or Chief Compliance Officer experience in finance, fintech, or crypto exchanges (prior experience scaling a global compliance program preferred). We are seeking an experienced...

To be part of our organization, every employee should understand and share in the YNHHS Vision, support our Mission, and live our Values.These values - integrity, patient-centered, respect, accountabi...

To be part of our organization, every employee should understand and share in the YNHHS Vision, support our Mission, and live our Values.These values - integrity, patient-centered, respect, accountabi...

PIMCO is seeking a Senior Compliance Officer to join its global compliance team within the Legal and Compliance Department, focusing on the U. Administer the funds' compliance program, including compl...

To be part of our organization, every employee should understand and share in the YNHHS Vision, support our Mission, and live our Values.These values - integrity, patient-centered, respect, accountabi...

To be part of our organization, every employee should understand and share in the YNHHS Vision, support our Mission, and live our Values.These values - integrity, patient-centered, respect, accountabi...

We are seeking a Chief Compliance Officer (CCO) to join our senior leadership team, overseeing compliance with guidance from our current CCO/General Counsel. Seasoned compliance leader with at least 6...

This role will be responsible for the development and management of the overall compliance program for Strategas and serve as the firm's Chief Compliance Officer (CCO) for Strategas Securities, LLC (a...

This role will be responsible for the development and management of the overall compliance program for Strategas and serve as the firm's Chief Compliance Officer (CCO) for Strategas Securities, LLC (a...

We are currently looking for a Chief Compliance Officer to join our Risk Management Team! This individual will direct & manage enterprise-wide risk compliance management programs to ensure that all po...

C-suite or executive-level experience in compliance, or 10+ years in senior leadership within a compliance function, preferably in financial services, fintech, or crypto sectors. As Chief Compliance O...

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...

Investment Bank Compliance Officer - Origination & Advisory. Strong written and verbal communication and presentation skills, with the ability to effectively influence others and engage senior stakeho...

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

Compliance Officer - Investment Bank Compliance - Origination & Advisory. Ability to make, support, and defend difficult and complex regulatory/compliance decisions in a fast-paced and high-pressured ...

Investment Bank Compliance Officer - Origination & Advisory. Perform testing and monitoring of compliance with firm policies and conduct risk assessments of the Business to ensure effective business c...