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...

This position is near a highly sought-after area just north of New York City.White Plains provides the ideal combination of urban and suburban flavor.The city offers numerous parks and recreational fa...

Compliance Officer - Fixed Income Sales & Trading - Credit. Provide regulatory/compliance training; assist the Business in implementing and documenting various supervisory/control mechanisms. Support ...

This position is near a highly sought-after area just north of New York City.White Plains provides the ideal combination of urban and suburban flavor.The city offers numerous parks and recreational fa...

The Chief Legal, Risk & Compliance Officer (CLRCO) serves as the top legal advisor and enterprise risk leader for the organization. Enterprise Risk Management & Compliance. Collaborate with clinical, ...

Prior Head of Compliance or Chief Compliance Officer experience in finance, fintech, or crypto exchanges (prior experience scaling a global compliance program preferred). We are seeking an experienced...

Prior Head of Compliance or Chief Compliance Officer experience in finance, fintech, or crypto exchanges (prior experience scaling a global compliance program preferred). We are seeking an experienced...

Compliance Officer/Chief Compliance Officer. As we grow our operations, we are seeking a Chief Compliance Officer (CCO) who will lead the firm's regulatory, supervisory, and compliance functions with ...

The Chief Legal, Risk & Compliance Officer (CLRCO) serves as the top legal advisor and enterprise risk leader for the organization. This executive is responsible for overseeing legal affairs, enterpri...

Compliance Officer/Chief Compliance Officer. As we grow our operations, we are seeking a Chief Compliance Officer (CCO) who will lead the firm's regulatory, supervisory, and compliance functions with ...

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

Lead compliance training for employees, manage employee compliance, and conduct an annual compliance review. As Chief Compliance Officer, you'll be the primary point of contact for leading all investm...

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...

This position is near a highly sought-after area just north of New York City.White Plains provides the ideal combination of urban and suburban flavor.The city offers numerous parks and recreational fa...

Serves as a risk officer for Independent Compliance Risk Management (ICRM)s Exam Management and Regulatory Liaison Office responsible for the promotion, support, monitoring and reporting on Citis inte...

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

Role Description The Compliance Program Manager will join the Compliance Administrative Office supporting the Chief Compliance Officer (CCO) for the Americas Division, playing a key role in driving st...

Compliance Officer - Investment Bank Compliance - Origination & Advisory. Experience in providing legal, regulatory or compliance advice in connection with investment banking advisory engagements and ...

This position is near a highly sought-after area just north of New York City.White Plains provides the ideal combination of urban and suburban flavor.The city offers numerous parks and recreational fa...

Flow Traders is looking for a Compliance Officer to join our Compliance team in New York. Provide day-to-day compliance advisory support to business units on market rules, practices and/or compliance ...

Compliance Officer - Markets Business Line Advisory Compliance. The candidate for this role will implement a comprehensive and sustainable compliance framework to ensure the bank's compliance with reg...

Compliance Officer - Markets Business Line Advisory Compliance. Legal, Risk, First Line Control teams) and build credibility for the Compliance function and enhance the Compliance brand more widely;. ...

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...

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 NJEDA's Chief Compliance Officer leads the Authority's legal compliance functions to ensure that the NJEDA is compliant with all applicable laws, including statutes, rules and regulations, Executi...

They seek a Chief Operating Officer / Chief Compliance Officer who is ambitious and ready to scale the company across all 50 states through organic growth and M&A. Chief Operating Officer / Chief Comp...

SBS seeks a Chief Vendor Compliance Officer for Citywide Vendor Compliance who will report to the Deputy Commissioner of the Division of Economic and Financial Opportunity. The Chief Vendor Compliance...

SBS seeks a Chief Vendor Compliance Officer for Citywide Vendor Compliance who will report to the Deputy Commissioner of the Division of Economic and Financial Opportunity. The Chief Vendor Compliance...

They seek a Chief Operating Officer / Chief Compliance Officer who is ambitious and ready to scale the company across all 50 states through organic growth and M&A. Chief Operating Officer / Chief Comp...

This Senior Compliance Officer is a key member of the TDS US Compliance Monitoring and Testing Team and Core Compliance Group. This Compliance Officer will also support other aspects of the Core Compl...

Professional certification is highly preferred, such as Certified Bank Compliance Officer (CBCO), Certified Regulatory Compliance Manager (CRCM), or Certified Regulatory and Compliance - Professional ...

Professional certification is highly preferred, such as Certified Bank Compliance Officer (CBCO), Certified Regulatory Compliance Manager (CRCM), or Certified Regulatory and Compliance - Professional ...

Compliance Officer - Markets Business Line Advisory Compliance. The candidate for this role will implement a comprehensive and sustainable compliance framework to ensure the bank’s compliance with reg...

Compliance Officer - Markets Business Line Advisory Compliance. The candidate for this role will implement a comprehensive and sustainable compliance framework to ensure the bank’s compliance with reg...

Compliance Officer - Markets Business Line Advisory Compliance. Legal, Risk, First Line Control teams) and build credibility for the Compliance function and enhance the Compliance brand more widely;. ...

Compliance Officer - Markets Business Line Advisory Compliance. Legal, Risk, First Line Control teams) and build credibility for the Compliance function and enhance the Compliance brand more widely;. ...

A financial institution is seeking a senior compliance leader to oversee its organization-wide compliance efforts. Oversee internal compliance testing conducted by compliance staff. Provide guidance o...

The successful candidate will be part of the global team responsible for overseeing the policies, procedures and testing of our client’s compliance program. Develop and deliver compliance training pro...