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...

Regularly review and update compliance policies to ensure alignment with current regulatory requirements. Conduct internal audits and investigations to identify and resolve compliance issues promptly....

Were currently seeking an additional Compliance Officer to join our team. In this role, youll provide regulatory compliance services to client broker-dealers, including establishing processes. Complia...

This role provides significant exposure to senior management and the Chief Compliance Officer (CCO), offering an excellent opportunity to advance your career in compliance and asset management. A Hedg...

A Hedge fund is seeking a Compliance Officer to join its New York-based compliance team. This role provides significant exposure to senior management and the Chief Compliance Officer (CCO), offering a...

Professional certification is highly preferred, such as Certified Bank Compliance Officer (CBCO), Certified Regulatory Compliance Manager (CRCM), or Certified Regulatory and Compliance - Professional ...

A Hedge fund is seeking a Compliance Officer to join its New York-based compliance team. This role provides significant exposure to senior management and the Chief Compliance Officer (CCO), offering a...

This role provides significant exposure to senior management and the Chief Compliance Officer (CCO), offering an excellent opportunity to advance your career in compliance and asset management. A Hedg...

Professional certification is highly preferred, such as Certified Bank Compliance Officer (CBCO), Certified Regulatory Compliance Manager (CRCM), or Certified Regulatory and Compliance - Professional ...

Registrations Compliance Officer. Quickly escalate matters to supervisors, compliance advisory should there be evidence of non-compliance. Work closely with Americas Compliance Training team to identi...

Registrations Compliance Officer. Quickly escalate matters to supervisors, compliance advisory should there be evidence of non-compliance. Work closely with Americas Compliance Training team to identi...

Were currently seeking an additional Compliance Officer to join our team. In this role, youll provide regulatory compliance services to client broker-dealers, including establishing processes. Complia...

I'm partnering with a leading investment management firm that's quietly searching for a Chief Compliance Officer — or a senior compliance officer who will step into the CCO role — to. Rare chance to l...

I'm partnering with a leading investment management firm that's quietly searching for a Chief Compliance Officer — or a senior compliance officer who will step into the CCO role — to. Rare chance to l...

I'm partnering with a leading investment management firm that's quietly searching for a Chief Compliance Officer — or a senior compliance officer who will step into the CCO role — to. Rare chance to l...

The Registrations Compliance Officer will manage regulatory filings, monitor licensing requirements, and maintain data integrity across multiple regulatory platforms. Registrations Compliance Officer....

A large, global company in the E-Commerce and Payments space is seeking a Chief Compliance Officer for their US Payments business to be based in the New York or San Francisco areas for a confidential ...

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...

Lead compliance training for employees, manage employee compliance, and conduct an annual compliance review. As Chief Compliance Officer, you'll be the primary point of contact for leading all investm...

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...

JD with 7+ years of post JD experience working in a regulatory or compliance capacity within a hedge fund (preferred), private equity fund, traditional asset manager, compliance consulting firm, or th...

Contractor, Registration Compliance Officer. Quickly escalate matters to supervisors, compliance advisory should there be evidence of non-compliance. Minimum of 10 years of compliance experience with ...

A large, global company in the E-Commerce and Payments space is seeking a Chief Compliance Officer for their US Payments business to be based in the New York or San Francisco areas for a confidential ...

Contractor, Registration Compliance Officer. Quickly escalate matters to supervisors, compliance advisory should there be evidence of non-compliance. Minimum of 10 years of compliance experience with ...

The role will be responsible for creating a culture of compliance for the payments team at the organization, while partnering with other compliance executives to identify key risks and regulatory chan...

JD with 7+ years of post JD experience working in a regulatory or compliance capacity within a hedge fund (preferred), private equity fund, traditional asset manager, compliance consulting firm, or th...

General Counsel & Chief Compliance Officer (New York, NY):. JD with 7+ years of post JD experience working in a regulatory or compliance capacity within a hedge fund (preferred), private equity fund, ...

LHH Recruitment Solutions is working with a client in Westchester County NY to fill a Compliance Officer position.

Quickly escalate matters to supervisors, compliance advisory should there be evidence of non-compliance. Contractor, Registration Compliance Officer. The Registrations Compliance team supports bank (U...

Quickly escalate matters to supervisors, compliance advisory should there be evidence of non-compliance. Contractor, Registration Compliance Officer. Work closely with Americas Compliance Training tea...

LHH Recruitment Solutions is working with a client in Westchester County NY to fill a Compliance Officer position.

For the regulations that are primarily within the scope of responsibilities of the Global Banking and Regulations team such as the CFTC Swap Dealer regulations and other new regulations, the Senior Co...

We are currently seeking a dedicated and experienced Capital Markets Compliance Officer to join our Compliance team who will be responsible for providing compliance advice and building a compliance pr...

Quickly escalate matters to supervisors, compliance advisory should there be evidence of non-compliance. Registrations Compliance Officer. Work closely with Americas Compliance Training team to identi...

Registrations Compliance Officer. Quickly escalate matters to supervisors, compliance advisory should there be evidence of non-compliance. Minimum of 10 years of compliance experience with a broker de...

As Chief Compliance Officer, you'll be the primary point of contact for leading all investment advisory compliance and regulatory initiatives. Lead compliance training for employees, manage employee c...

As Chief Compliance Officer, you'll be the primary point of contact for leading all investment advisory compliance and regulatory initiatives. Lead compliance training for employees, manage employee c...

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...

We are seeking to hire an exceptional Global Markets Compliance Officer & Head of Control Room for our New York office. As the Global Markets Compliance Officer & Head of Control Room you will act as ...

Professional certification is highly preferred, such as Certified Bank Compliance Officer (CBCO), Certified Regulatory Compliance Manager (CRCM), or Certified Regulatory and Compliance - Professional ...