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...

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...

You will provide compliance guidance around NFA/CFTC regulated new products, business initiatives and implementing a strong risk management framework, including assessing the design and operational ef...

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...

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 ...

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 ...

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 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...

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...

Proactively engages with Compliance, Legal and control function colleagues to enhance the overall Compliance program. A global bank located in Midtown Manhattan looking to bring on board a “Director –...

A global bank located in Midtown Manhattan looking to bring on board a “Director – Fixed Income Compliance Officer” to join their team. Proactively engages with Compliance, Legal and control function ...

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-...

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. Facil...

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...

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-...

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...

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. Facil...

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...

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. Experience with diversity ...

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...

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 employee will most likely interact on a regular basis with the Client On Boarding group, Front Office personnel, Head Office Compliance personnel, and IT support. Review and validation of High Ris...

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. Con...

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...

Monitor business owned controls and administer independent compliance controls to demonstrate compliance with firm policies and federal securities laws. The Senior Compliance Officer will support the ...

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...

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 ...

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. Compl...

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...

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

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 contribute to Pockyt's compliance program by supporting regulatory alignment and ensuring adherence to best practices in the financial services and payments industries. Hel...

The Compliance Anti Money Laundering Risk Management Officer is a senior professional level role responsible for establishing internal procedures to prevent money laundering and assist in all matters ...

The employee will most likely interact on a regular basis with the Client On Boarding group, Front Office personnel, Head Office Compliance personnel, and IT support. Review and validation of High Ris...

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...

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...