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...

Seeking an experienced compliance officer to join our team as the new Director, Electronic Trading Compliance Officer. In this role, the compliance officer will be responsible for ensuring compliance ...

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...

Seeking an experienced compliance officer to join our team as the new Director, Electronic Trading Compliance Officer. In this role, the compliance officer will be responsible for ensuring compliance ...

The Compliance Testing Officer executes independent compliance testing for the U. The Compliance Testing Officer may also support issue validation as well as other initiatives aimed at enhancing the o...

Bank located in NJ looking to hire a Consumer Compliance Officer. Help to define documentation and approve compliance requirements for projects and capability development and other related activities ...

Bank located in NJ looking to hire a Consumer Compliance Officer. Help to define documentation and approve compliance requirements for projects and capability development and other related activities ...

Mortgage Compliance Officer will play a major role in the Compliance Management System (“CMS”) and will assist with the compliance and risk management monitoring, reporting, and remediation where appr...

Interactive Brokers | Compliance Officer – Electronic Trading.

Interactive Brokers | Compliance Officer – Electronic Trading.

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...

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...

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...

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...

Identify urgent and emergent issues including data breaches, and interpret data breach notification requirements; The HIPPA compliance officer will coordinate with NYIT General Counsel and Chief Infor...

Working knowledge of StarCompliance, MyComplianceOffice, ComplySci or similar code of ethics software programs. Working knowledge of Bridger (Lexis-Nexis), , Dow Jones (Risk Center), Sayari or similar...

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...

Product and Financial Compliance Monitoring - maintain, develop and review dashboard reporting for compliance and risk processes related to the positions and products in the portfolio. Technology Risk...

Working with relevant stakeholders, assist in the development and maintenance of a full suite of US and Americas regional Compliance Department policies and procedures, which includes: Drafting and ed...

AML / OFAC Compliance Officer / Advisory (Financial Security). Review and validation of High Risk KYC files to ensure completeness and compliance with Bank policies and Regulatory Requirements. Review...

AML / OFAC Compliance Officer / Advisory (Financial Security). Review daily transactions to ensure that all activity is in compliance w/ current BSA/AML regulatory standards. Review of daily reports a...

Compliance Officers monitor transactions, conduct regular audits, train employees on regulatory requirements, and implement policies and procedures to minimize non-compliance risks. The Executive Comp...

Ability to work effectively with other Compliance Officers, other business lines, and support functions. Managing a team of two compliance analysts. Ability to manage and monitor registered persons re...

Fun Chief Compliance Officer - HYBRID. This position will act in the capacity of Chief Compliance Officer for certain investment company clients. Minimum 10 years’ experience in compliance or similar ...

CIB Americas Compliance seeks a VP-level Compliance Officer to contribute at the CIB Americas Control Room and support a dynamic CIB Americas Compliance Department. The Compliance Officer will have di...

Serves as a Markets Fixed Income Product Compliance officer for Independent Compliance Risk Management (ICRM) responsible for assisting with internal strategies, policies, procedures, processes, and p...

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 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...

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...

We are keen to see CV's from Compliance Officer, Building Safety Officer, Senior Compliance Co-ordinator, Compliance Surveyor, Fire Safety Co-ordinator, Asbestos Co-ordinator. We are actively looking ...

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...

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...

The Trade Compliance Officer will:. Monitor trading activities to ensure compliance with relevant regulations, laws, and policies. Work with traders to ensure that all trades are executed in complianc...

The Program Officer, Monitoring and Compliance sits within IRC headquarters Resettlement, Asylum and Integration (RAI) Department which manages programming that serves refugees, asylum seekers and oth...

Compliance Officer – Head of Origination & Advisory – Director. As the Compliance Officer – Head of Origination & Advisory Director, you will lead a team and focus on providing real-time support to th...

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...

Provide ideas for the enhancement of the compliance testing program, monitoring plan, and industry research, leveraging Compliance advisory. Audits Compliance, Critical Thinking, Data Gathering Analys...

Compliance Officer, Research Vendor Vetting. Balyasny Asset Management is seeking an experienced Compliance Officer for its New York office. Assist the Compliance Department with ongoing regulatory re...

As an independent control function and part of the firm’s second line of defense, Compliance assesses the firm’s compliance, regulatory and reputational risk; monitors for compliance with new or amend...