Serves as a senior Research, Marketing, and Content Compliance Officer for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies, procedures, process...

Seeking an experienced compliance officer to join our team as the new Director, Electronic Trading Compliance Officer. In this role, the compliance officer will be responsible for ensuring compliance ...

The role requires leading workshops with 1st line of defense (“1LOD”) and Compliance and other 2nd line of defense (“2LOD”) subject matter experts to assess relevant compliance risks and controls for ...

Qualifications:Knowledge of Compliance laws, rules, regulations, risks and typologiesCompliance product coverage for Cash Sales Trading and Equities TradingMust be a self-starter, flexible, innovative...

About you:Uncompromising integrityHigh trustHard worker, self-starter, meticulous attention to detailAbility to firmly enforce policies and proceduresCollaborative team player with excellent written a...

Leading Trading Firm is looking to hire a Compliance Officer in New York City. This key hire will play a strategic role in running the day-to-day compliance program as the firm continues to build an i...

As a Compliance Officer, you will be responsible for ensuring the firm adheres to all regulatory requirements and internal policies, fostering a culture of compliance and ethical conduct. Support the ...

Leading Trading Firm is looking to hire a Compliance Officer in New York City. This key hire will play a strategic role in running the day-to-day compliance program as the firm continues to build an i...

This team focuses on several key compliance risk types, including consumer compliance, investment banking related compliance, conduct, regulatory compliance, reputation, strategic, and technology risk...

Serves as a compliance testing officer for Independent Compliance Risk Management (ICRM)’s Independent Assessment team responsible for assessing significant compliance risks and controls implemented b...

The Financial Crimes Compliance Officer has day to day management duties of departmental staff and is expected to be knowledgeable in all aspects of BSA/AML/ and OFAC/Economic Sanctions programs and t...

The Financial Crimes Compliance Officer has day to day management duties of departmental staff and is expected to be knowledgeable in all aspects of BSA/AML/ and OFAC/Economic Sanctions programs and t...

The Senior Compliance Officer will work directly with the firms Chief Compliance Officer (CCO) to administer and support the RIAs Rule 206(4)-7 compliance program, including, but not limited to, updat...

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 to hire an exceptional Compliance Officer to join our Global Markets Advisory Compliance team in our New York office. As Global Markets Advisory Compliance Officer you will act as subje...

Seeking a candidate who will help conduct reviews of marketing materials to ensure conformance with US regulatory requirements as well as firm policies and procedures.The individual will work closely ...

The Chief Compliance Officer and Head of Regulatory will lead CLEAR's Compliance and Regulatory teams within Legal while working with teams across the company to build products and programs consistent...

In this role, the Trade Compliance Officer will be responsible for ensuring compliance with all relevant regulatory requirements related to public equities trading, including FINRA and SEC rules and r...

Oversee and manage the firm’s compliance program. Perform risk assessments, monitoring and surveillance activities, and engage in project management to support the compliance program and ensure best p...

Serves as a function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for assisting with internal strategies, policies, procedures, processes, and...