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...

TZA is seeking a Compliance Officer to assist its current team located in Brooklyn NY. The role requires prior experience as a Compliance Officer and experience should include knowledge in:. Advertisi...

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...

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...

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...

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 F...

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 F...

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. 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. 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...

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...

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 ...

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...

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...

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 –...

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...

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 ...

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...

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...

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...

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 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...

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. Suppo...

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...

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...

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...

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...

Monitor business owned controls and administer independent compliance controls to demonstrate compliance with firm policies and federal securities laws. The Senior Compliance Officer will support the ...

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...

Monitor business owned controls and administer independent compliance controls to demonstrate compliance with firm policies and federal securities laws. The Senior Compliance Officer will support the ...

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 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...