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 and implementing strategies, policies, procedures, processes, and programs to ...

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...

Chief Compliance Officer - CCO - Futures. Lime Trading is looking for Chief Compliance Officer - CCO - Futures in New York, NY. As the NFA/CFTC senior compliance expert, you’ll be a part of our team a...

A global bank located in Midtown Manhattan looking to bring on board a “Director – Fixed Income Compliance Officer” to join their team. Proactively engages with Compliance, Legal and control function ...

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...

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...

United Continental Corporation Chief Compliance Officer. The Chief Compliance Officer is expected to establish and carry out departmental or organizational goals, policies, and procedures; direct and ...

A global bank located in Midtown Manhattan looking to bring on board a Director Fixed Income Compliance Officer to join their team. Proactively engages with Compliance, Legal and control function col...

To be considered for the VP - Tax Compliance Officer role, you must have experience in banking or finance industry with working knowledge of the tax aspects related to US branch of foreign corporation...

To be considered for the VP - Tax Compliance Officer role, you must have experience in banking or finance industry with working knowledge of the tax aspects related to US branch of foreign corporation...

Bank located in NJ looking to hire a Consumer Compliance Officer. Experience with consumer compliance regulations including Reg Z, Reg B, Reg EE, HMDA, UDAAP, and RESPA. Help to define documentation a...

To be considered for the VP - Tax Compliance Officer role, you must have experience in banking or finance industry with working knowledge of the tax aspects related to US branch of foreign corporation...

Providing compliance training to supplement computer-based training programs, as needed, and ensuring that staff members are assigned to take required computer-based training programs or attend Webina...

To be considered for the VP - Tax Compliance Officer role, you must have experience in banking or finance industry with working knowledge of the tax aspects related to US branch of foreign corporation...

Proactively engages with Compliance, Legal and control function colleagues to enhance the overall Compliance program. A global bank located in Midtown Manhattan looking to bring on board a “Director –...

As the Risk and Compliance Training Officer on the Bloomberg Risk and Compliance Shared Services (RCSS) team, you will play a crucial role in the analysis, design, development, delivery, and evaluatio...

To be considered for the VP - Tax Compliance Officer role, you must have experience in banking or finance industry with working knowledge of the tax aspects related to US branch of foreign corporation...

Title: Compliance Associate/Officer. Our client, a successful alternative asset management firm with $50B+ in AUM is seeking an exceptional Compliance Professional to join their compliance team. Compl...

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...

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...

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 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...

Develop compliance policies and procedures to ensure compliance with federal securities laws, including the Investment Advisers Act of 1940, Investment Company Act of 1940 and Commodity Exchange Act. ...

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...

Develop compliance policies and procedures to ensure compliance with federal securities laws, including the Investment Advisers Act of 1940, Investment Company Act of 1940 and Commodity Exchange Act. ...

Title: Compliance Associate/Officer. Our client, a successful alternative asset management firm with $50B+ in AUM is seeking an exceptional Compliance Professional to join their compliance team. Minim...

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...

Succession path to Chief Compliance Officer in ~5 years. A newly created role at full-service Broker Dealer in Emerging Markets due to team growth, this is an excellent chance to eventually succeed th...

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...

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...

Supervise and mentor compliance staff, ensuring a high-performing compliance team. Align the compliance function with the firm’s strategic goals, fostering a culture of compliance across all levels of...

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. Create and maintain policies reasonably designed...

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...

Investment bank located in Midtown Manhattan looking to bring on board an “Compliance Officer – Fixed Income Compliance” to join their team. Provide regulatory/compliance training; assist the Business...

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...

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...

This position provides technical and professional compliance expertise and advice to leadership, regional support teams, employees, committees and affiliates regarding current and emerging federal, st...

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...