Skills and Abilities Experience in providing regulatory or compliance advise in connection with fixed income sales and trading activities Functional knowledge of the US Fixed Income trading/regulatory...

Skills and Abilities Experience in providing regulatory or compliance advise in connection with fixed income sales and trading activities Functional knowledge of the US Fixed Income trading/regulatory...

Join a top global Canadian banking organization as they look to augment their compliance testing program for their broker-dealer. Assist with developing and executing the annual Compliance Testing pla...

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...

Will be responsible for maintaining compliance with policies and procedures related to equities trading according to FINRA and SEC regulations.

A financial institution is seeking a senior compliance leader to oversee its organization-wide compliance efforts. Oversee internal compliance testing conducted by compliance staff. Ensure ongoing com...

Will be responsible for maintaining compliance with policies and procedures related to equities trading according to FINRA and SEC regulations.

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 (...

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 (...

Collaborate with the Global Anti-Financial Crimes Compliance Officer in connection with ongoing evolution of AFC compliance framework in light of regulatory change. This role is pivotal in facilitatin...

Collaborate with the Global Anti-Financial Crimes Compliance Officer in connection with ongoing evolution of AFC compliance framework in light of regulatory change. This role is pivotal in facilitatin...

Partner with Relationship Managers / Product Groups to enable more enriched discussions on risk / AML / Sanctions compliance issues, while managing the progress of KYCs from an end to end basis for an...

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...

Advise on Cerberus-related compliance matters including (i) management incentive plan approvals, (ii) management-fee offsets, and (iii) employee matters including moves between Cerberus and portfolio ...

Certification in Healthcare Compliance (CHC) preferred. Develop, implement, and oversee compliance programs aligned with state and federal home health regulations. Regularly review and update complian...

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...

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...

Were partnering with a leading investment management firm thats seeking a Chief Compliance Officer — or a senior compliance officer ready to step into the CCO role — to oversee their U. Chief Complian...

Were partnering with a leading investment management firm thats seeking a Chief Compliance Officer — or a senior compliance officer ready to step into the CCO role — to oversee their U. Chief Complian...

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...

Coordinate and oversee compliance activities across all Marathon Asset Management offices, including the UK office (with a dedicated Compliance Officer), Luxembourg office, and other US and non-US bra...

Coordinate and oversee compliance activities across all Marathon Asset Management offices, including the UK office (with a dedicated Compliance Officer), Luxembourg office, and other US and non-US bra...

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. Administer the funds compliance program, including compli...

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...

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 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.

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

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

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...