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...

Support the Chief Compliance Officer and senior management on strategic compliance initiatives. As a Compliance Officer, you will be responsible for ensuring the firm adheres to all regulatory require...

The Senior Compliance Officer will work directly with the firms Chief Compliance Officer (CCO) to administer and support the RIAs Rule 206(4)-7 compliance program, including, but not limited to, updat...

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 role requires a strong knowledge of the US regulations applicable to CUSO and the relevant entities, as well as the foundations of a corporate compliance program (such as Compliance Risk Assessmen...

Leading Trading Firm is looking to hire a Compliance Officer in New York City. This key hire will play a strategic role in running the day-to-day compliance program as the firm continues to build an i...

Qualifications:Knowledge of Compliance laws, rules, regulations, risks and typologiesCompliance product coverage for Cash Sales Trading and Equities TradingMust be a self-starter, flexible, innovative...

Compliance and Compliance Officers play a crucial role in ensuring that all activities are conducted in accordance with the law. Compliance Officers monitor transactions, conduct regular audits, train...

Serves as a senior Research, Marketing, and Content Compliance Officer for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies, procedures, process...

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 role requires a strong knowledge of the US regulations applicable to CUSO and the relevant entities, as well as the foundations of a corporate compliance program (such as Compliance Risk Assessmen...

Leading Trading Firm is looking to hire a Compliance Officer in New York City. This key hire will play a strategic role in running the day-to-day compliance program as the firm continues to build an i...

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...

As a Compliance Officer, you will be responsible for ensuring the firm adheres to all regulatory requirements and internal policies, fostering a culture of compliance and ethical conduct. Support the ...

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...

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...

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 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. Review and validation of High Ris...

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...

Interactive Brokers | Compliance Officer – Electronic Trading.