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. Managing and updating pre- and post-...

Support the Chief Compliance Officer and senior management on strategic compliance initiatives. As a Compliance Officer, you will be responsible for ensuring the firm adheres to all regulatory require...

As the NFA/CFTC senior compliance expert you’ll be a part of our team and will help mature our NFA/CFTC compliance products and controls, functions and reporting needs. You will provide compliance gui...

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. Managing and updating pre- and post-...

As the NFA/CFTC senior compliance expert you’ll be a part of our team and will help mature our NFA/CFTC compliance products and controls, functions and reporting needs. You will provide compliance gui...

Support the Chief Compliance Officer and senior management on strategic compliance initiatives. As a Compliance Officer, you will be responsible for ensuring the firm adheres to all regulatory require...

The Senior Compliance Officer will support the Alternative business lines and provide guidance relating to products including Direct Real Estate, Infrastructure Debt and Private Credit. Monitor busine...

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...

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...

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...

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...

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...

The Senior Compliance Officer will support the Alternative business lines and provide guidance relating to products including Direct Real Estate, Infrastructure Debt and Private Credit. Monitor busine...

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...

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...

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 ...

The Senior Compliance Officer will support the Alternative business lines and provide guidance relating to products including Direct Real Estate, Infrastructure Debt and Private Credit. As a Senior Co...

As a Senior Compliance Officer, you will:. Monitor business owned controls and administer independent compliance controls to demonstrate compliance with firm policies and federal securities laws. The ...

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...

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...

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 ...

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...

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 ...

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. Devel...

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...

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. Devel...

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...

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...

Research Compliance, a line of business advisory team within Compliance, is seeking a highly motivated individual for a VP role in our New York office. Create and maintain policies reasonably designed...

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...

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...

Independently manage projects necessary to support initiatives both within Global Research Compliance and the broader Compliance Department; and interact regularly with colleagues in other lines of bu...

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...

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...

Interactive Brokers | Compliance Officer – Electronic Trading.

Interactive Brokers | Compliance Officer – Electronic Trading.

Reporting to the Head of Compliance and GFC - MENA and working closely with Compliance Officer in Morgan Stanley Saudi Arabia, the individual will assume a number of responsibilities in Compliance and...

The Deputy Compliance Officer will also play a key role in ensuring that our company operates in compliance with all applicable laws, regulations, and policies. The successful candidate will report di...