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...

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 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...

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 contribute to Pockyt's compliance program by supporting regulatory alignment and ensuring adherence to best practices in the financial services and payments industries. Thi...

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...

Marsh McLennan Agency (MMA) is seeking a Chief Compliance Officer (CCO) to lead its global compliance program. As part of an ongoing effort to identify, mitigate and manage risk, lead the MMA Risk Com...

Reporting directly to the Chief Executive Officer of the Housing Authority, the Chief Compliance Officer (CCO) will be responsible for overseeing NYCHAs compliance with federal, state, and local regul...

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...

Key competencies the Conduct Compliance Officer must demonstrate include:. Actively pursue effective and efficient operation of responsibilities as a Compliance Officer in accordance with Scotiabank's...

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. ...

We are seeking a collaborative and inquisitive professional to join our North America Compliance team as a Senior Compliance Officer supporting our investment advisory businesses, specifically the Exc...

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...

B+ SEC RIA seeks a Senior Compliance Officer to join their growing team! Position will report directly to the DCCO and CCO, and also oversee 2 junior team members. The ideal candidate should have 5 pl...

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...

Perform ongoing testing in all compliance areas which consist of (insider trading surveillance, compliance with firm policies, TCA, market manipulation surveillance). New York, NY): Our client, a hedg...

B+ SEC RIA seeks a Senior Compliance Officer to join their growing team! Position will report directly to the DCCO and CCO, and also oversee 2 junior team members. Pre- and post-trade monitoring portf...

The Compliance Officer will contribute to Pockyt's compliance program by supporting regulatory alignment and ensuring adherence to best practices in the financial services and payments industries. Min...

Create and maintain policies reasonably designed to support compliance with applicable regulatory obligations, corporate requirements and industry best practices; and assist in development and deliver...

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...

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 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...

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...

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...

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...

Deputy Investment Banking and Regulatory Compliance Officer - Director. Types of Jobs - Compliance / Financial Security. It is part of the Global CMG function within the Investment & Corporate Banking...

The Compliance Officer is the primary compliance resource and should be able to answer the bulk of the staff's compliance questions. Providing compliance training to supplement computer-based training...

AML / OFAC Compliance Officer / Advisory (Financial Security). Types of Jobs - Compliance / Financial Security. Review and validation of High Risk KYC files to ensure completeness and compliance with ...

Fixed Income Compliance Officer. Conduct compliance training for new and existing regulations and firm policies.

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...

Investment bank located in Midtown Manhattan looking to bring on board an “Compliance Officer – Investment Bank Compliance – – Vice President” to join their team. Support the global compliance monitor...

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...

CTL is a key component of the SGUS compliance risk management program and provides risk-based independent testing of controls related to the management of compliance risks across business lines, suppo...

Compliance Officer – Operations & Regulatory Reporting Oversight. Provide compliance guidance and create oversight program for reg reporting, work with supervision, advisory compliance, front office a...

Deputy Investment Banking and Regulatory Compliance Officer – Director. Types of Jobs - Compliance / Financial Security. It is part of the Global CMG function within the Investment & Corporate Banking...

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 co...

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...

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...

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 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...