Contribute to annual compliance training requirements and regulatory change impact assessments as needed. Join a top global Canadian banking organization as they look to augment their compliance testi...

Support issues management development and tracking of Compliance-identified findings. Participate in special projects to enhance compliance functions. Work closely with other support functions and bus...

A Hedge fund is seeking a Compliance Officer to join its New York-based compliance team. This role provides significant exposure to senior management and the Chief Compliance Officer (CCO), offering a...

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...

Registrations Compliance Officer. Quickly escalate matters to supervisors, compliance advisory should there be evidence of non-compliance. Minimum of 10 years of compliance experience with a broker de...

Quickly escalate matters to supervisors, compliance advisory should there be evidence of non-compliance. Registrations Compliance Officer. Update and distribute list to senior management, supervisors,...

A Hedge fund is seeking a Compliance Officer to join its New York-based compliance team. This role provides significant exposure to senior management and the Chief Compliance Officer (CCO), offering a...

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...

Registrations Compliance Officer. Coordinate with external vendors and the internal Americas Compliance Training team to manage the execution and compliance of Firm Element and ethics training require...

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...

The Registrations Compliance Officer will manage regulatory filings, monitor licensing requirements, and maintain data integrity across multiple regulatory platforms. Registrations Compliance Officer....

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...

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...

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...

Contractor, Registration Compliance Officer. Quickly escalate matters to supervisors, compliance advisory should there be evidence of non-compliance. Compliance Culture and Conduct:.

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

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...

As Chief Compliance Officer, you'll be the primary point of contact for leading all investment advisory compliance and regulatory initiatives. Lead compliance training for employees, manage employee c...

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...

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...

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...

General Counsel & Chief Compliance Officer (New York, NY):. JD with 7+ years of post JD experience working in a regulatory or compliance capacity within a hedge fund (preferred), private equity fund, ...

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...

Quickly escalate matters to supervisors, compliance advisory should there be evidence of non-compliance. Contractor, Registration Compliance Officer. The Registrations Compliance team supports bank (U...

Contractor, Registration Compliance Officer. Quickly escalate matters to supervisors, compliance advisory should there be evidence of non-compliance. The Registrations Compliance team supports bank (U...

Registrations Compliance Officer. Quickly escalate matters to supervisors, compliance advisory should there be evidence of non-compliance. Minimum of 10 years of compliance experience with a broker de...

Quickly escalate matters to supervisors, compliance advisory should there be evidence of non-compliance. Registrations Compliance Officer. Update and distribute list to senior management, supervisors,...

As Chief Compliance Officer, you'll be the primary point of contact for leading all investment advisory compliance and regulatory initiatives. Lead compliance training for employees, manage employee c...

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 - 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;. ...

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...