We're seeking a Chief Compliance Officer to design, establish, and lead Aspen's compliance function. The Chief Compliance Officer (CCO) will be pivotal in establishing and maintaining the compliance i...

We are seeking a highly experienced and strategic Chief Compliance Officer (CCO) to lead and manage the compliance program for a Broker-Dealer focused on Fixed Income instruments. Advise senior leader...

Strong Compliance experience in an investment bank (preferably line of business advisory, ideally Research Compliance). Create and maintain policies reasonably designed to support compliance with appl...

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...

Haugland Group, a privately-owned Long Island, New York-based electrical and heavy civil construction company has an immediate need for a full-time MWDBE and EEO Compliance Officer. We are looking for...

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...

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...

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...

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...

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...

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...

We are seeking a highly experienced and strategic Chief Compliance Officer (CCO) to lead and manage the compliance program for a Broker-Dealer focused on Fixed Income instruments. Lead the compliance ...

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...

We are seeking a highly experienced and strategic Chief Compliance Officer (CCO) to lead and manage the compliance program for a Broker-Dealer focused on Fixed Income instruments. Minimum of 10 years ...

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...

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...

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...

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. Reviewing and responding to client q...

Align the compliance function with the firm’s strategic goals, fostering a culture of compliance across all levels of the organization. Supervise and mentor compliance staff, ensuring a high-performin...

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. Assis...

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...

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...

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. Sup...

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...

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...

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...

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...

The Vice President and Chief Audit & Compliance Officer leads, manages, and organizes all aspects of Princeton’s internal audit function and institutional compliance program in today’s challenging aud...

The Vice President and Chief Audit & Compliance Officer leads, manages, and organizes all aspects of Princeton’s internal audit function and institutional compliance program in today’s challenging aud...

LLC ("SWS" or the "Firm") (a FINRA-registered broker/dealer) is seeking to add a knowledgeable, driven, intellectually curious and experienced compliance professional to the team led by the Chief Comp...

We are looking for a senior CRA Compliance Officer/CRA Program Manager to join our Compliance Team in New York, NY. CRCM designation or JD is preferred, with superior knowledge of compliance laws and ...

Serves as a compliance risk officer for Surveillance Intelligence Unit (SIU) within Independent Compliance Risk Management (ICRM)s Surveillance and Employee Compliance team responsible for the design,...

It is part of the Global CMG function within the Investment & Corporate Banking Regulatory Compliance (ICBRC) group for CACIB worldwide.

The Advisory Compliance team serves as a regulatory advisory function and is responsible for overseeing the management of the broker dealer's compliance risk, and is represented by the Chief Complianc...

Identify urgent and emergent issues including data breaches, and interpret data breach notification requirements; The HIPPA compliance officer will coordinate with NYIT General Counsel and Chief Infor...

Reporting to the Chief Compliance Officer, the Deputy Chief Compliance Officer is the independent compliance partner to multiple Business Divisions and is responsible for ensuring that the Compliance ...

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

Job Responsibilities Identify potential concerns and control issues, determine the root cause of issues and ensure stakeholders develop and implement appropriate corrective actions Execute on key stra...