We are looking for a senior CRA Compliance Officer/CRA Program Manager to join our Compliance Team in New York, NY. The Senior CRA Officer-CRA Program Manager shall also be the key point of contact fo...

DACK Consulting Solutions, LLC is seeking a dedicated and dynamic DE&I Compliance and Outreach Officer to ensure that construction projects meet established diversity goals. This role involves managin...

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...

Research Compliance, a line of business advisory team within Compliance, is seeking a highly motivated individual for a VP role in our New York office. In this role you will provide compliance guidanc...

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...

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...

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...

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...

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...

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...

It is part of the Global CMG function within the Investment & Corporate Banking Regulatory Compliance (“ICBRC”) group for CACIB worldwide. ...

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...

AMGO Collaborates with NB Alternatives to oversee compliance and guideline monitoring across these private market strategies. Oversee and monitor investment guidelines based on client or fund legal do...

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...

The Conduct Compliance Officer coordinates tracking, measurement, and management for conduct-related matters, providing insight into effective mitigation of conduct risk and ensuring comprehensive pro...

Support the Compliance Division in formulating and performing a periodic review of key Compliance policies and controls to ensure that they remain robust and in line with regulatory standards and indu...

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...

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 Chief Compliance Officer & Head of Regulatory will lead CLEARs Compliance & Regulatory teams within Legal while working with teams across the company to build products & programs consistent with g...

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...

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...

Compliance Officer & Accrediting Lead. Entirely owns the compliance and process of acrediting and maintaining the programs above. Ensures our consistent compliance to all of the above points. Business...

Serves as a function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for assisting with internal strategies, policies, procedures, processes, and...

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....

As a Compliance Director, you’ll play a pivotal role in our global compliance team, ensuring that our Compliance Program for the indices division is effective and aligned with best practices. S&P Glob...

The Risk Management & Compliance CFO organization acts as strategic partners and trusted advisors to the Risk and Compliance organization. As part of RM&C CFO, the RM&C Finance & Business Management t...

Balyasny Asset Management is seeking an experienced Compliance Officer for its New York office. The employee will report to the Senior Compliance Counsel and will work closely with both the Compliance...

The Business Control Officer reports to the USPB Governance, Change, Oversight and Common Control Team Manager. The goal of this team is to provide a centralized control oversight and execution facili...

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...

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...

In the role of Compliance Officer, the employee will be responsible for the following:. Compliance Officer, Research Vendor Vetting. Balyasny Asset Management is seeking an experienced Compliance Offi...

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 ...

Compliance Officer – Investment Bank Compliance – Fixed Income Sales & Trading – Rates. Provide regulatory/compliance training; assist the Business in implementing and documenting various supervisory/...

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...

Compliance Officer, Melbourne, Australia. This job is responsible for providing ongoing support and guidance to the business on the implementation of the Corporate Compliance Program and Regulatory Co...