Reporting to MMA's Chief Compliance Officer, you will be responsible for designing and executing on the operational elements of MMA's compliance program. Marsh McLennan Agency (MMA) is seeking a Senio...

The Bank Regulatory Compliance Officer (“Compliance Officer”) will provide advisory and monitoring support to assigned business areas in implementing Compliance policies and procedures regarding State...

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 ...

In this role, you will be a key pillar in our US business expansion by leading the US Compliance program and acting as the regional BSA/AML Officer. As the Director of US Compliance, you will be respo...

Compliance Officer - Investment Bank Compliance - Origination & Advisory. Strong written and verbal communication and presentation skills, with the ability to effectively influence others and engage s...

The Bank Regulatory Compliance Officer (“Compliance Officer”) will provide advisory and monitoring support to assigned business areas in implementing Compliance policies and procedures regarding State...

NYC Aging seeks a highly motivated Senior manager with broad-based experience in compliance, internal and external audit, financial reporting and programmatic fiscal processes to serve as Chief Compli...

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 collaborate closely with the portfolio management team, the global compliance team, and other departments to uphold the highest standards of compliance and integrity...

Oversee compliance activities, including testing, training, risk assessments, drafting the annual compliance plan, responding to information requests from examiners and auditors, preparing compliance-...

Reporting to MMA's Chief Compliance Officer, you will be responsible for designing and executing on the operational elements of MMA's compliance program. Marsh McLennan Agency (MMA) is seeking a Senio...

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...

A private investment firm is seeking a legal/compliance officer to join their team in the NYC office. Assist with the management, maintenance and ongoing development of the firm’s compliance program (...

Program Integrity and Compliance Officer. Position: Program Integrity and Compliance Officer. Knowledge of program integrity, compliance, and incident reporting requirements.

Program Integrity and Compliance Officer. Position: Program Integrity and Compliance Officer. Knowledge of program integrity, compliance, and incident reporting requirements.

Assist with designing and providing compliance training for Core Focus Areas. Advise on Cerberus-related compliance matters including (i) management incentive plan approvals, (ii) management-fee offse...

The Chief Counsel and Chief Compliance Officer will serve as the trusted adviser to Marsh McLennan Agency (MMA) Asset Management, MMA Securities, and Marsh McLennan Company (MMC) Securities, and gener...

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...

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...

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...

Provide advice and guidance on registration and licensing requirements, processes, and procedures.Process Form U4, U5, 8R, and 8T in a timely manner, ensuring new employees are adequately licensed.Pre...

Provide advice and guidance on registration and licensing requirements, processes, and procedures.Process Form U4, U5, 8R, and 8T in a timely manner, ensuring new employees are adequately licensed.Pre...

PIMCO is seeking a Senior Compliance Officer to join its global compliance team within the Legal and Compliance Department, focusing on the U. The ideal candidate will be based in PIMCOs New York Offi...

PIMCO is seeking a Senior Compliance Officer to join its global compliance team within the Legal and Compliance Department, focusing on the U. The ideal candidate will be based in PIMCOs New York Offi...

Get notified about new Chief Compliance Officer roles in. This individual will oversee enterprise-wide risk compliance programs to ensure that all applicable laws and regulations are identified, under...

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...

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...

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...

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

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

The Compliance Officer will report into the Deputy Chief Compliance Officer and will lead the Risk Review, Monitoring and Exams (RRME) team in support of the overall global Compliance function. The Co...

Quickly escalate matters to supervisors, compliance advisory should there be evidence of non-compliance. Registrations Compliance Officer. Registrations Compliance is responsible for maintaining accur...

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...

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...

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...

The Fixed Income Compliance Officer serves as key function/business/product compliance advisor within the Fixed Income Compliance Advisory Group with primary coverage of U. Job Title: Fixed Income Com...

Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)'s Surveillance team responsible for the design, implementation, and oversight for a suite of surveillances designe...