The Compliance Officer will operate as a member of the CIB & Research Compliance Advisory team which provides compliance advisory coverage for the Corporate & Investment Banking (CIB), Equity Capital ...

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

Having previously served in the role(s) of Chief Compliance Officer (CCO), Director of Compliance or Compliance Officer, you have specific, hands-on experience developing, implementing, and managing a...

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 ...

Investment Bank Compliance Officer - Origination & Advisory. Support the global compliance monitoring program by providing input on the framework documents and completing verification checks as outlin...

As the Global Markets Compliance Officer & Head of Control Room you will act as subject matter expert for regulations that apply to the market infrastructure, and investment and trading elements of Sc...

Cerberus is seeking an analytical and collaborative individual who is interested in serving as a compliance officer within our operations affiliate, Cerberus Operations and Advisory Company, LLC. Assi...

Cerberus is seeking an analytical and collaborative individual who is interested in serving as a compliance officer within our operations affiliate, Cerberus Operations and Advisory Company, LLC. The ...

Oversee compliance activities, including testing, training, risk assessments, drafting the annual compliance plan, responding to information requests from examiners and auditors, preparing compliance-...

Investment Bank Compliance Officer - Origination & Advisory. Support the global compliance monitoring program by providing input on the framework documents and completing verification checks as outlin...

We are seeking to hire an exceptional Global Markets Compliance Officer & Head of Control Room for our New York office. As the Global Markets Compliance Officer & Head of Control Room you will act as ...

Prior Head of Compliance or Chief Compliance Officer experience in finance, fintech, or crypto exchanges (prior experience scaling a global compliance program preferred). We are seeking an experienced...

Experience in investment fund compliance (including federal and state securities laws compliance and managing relevant regulatory filings and deadlines) and investment fund structuring. A private inve...

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...

Experience in investment fund compliance (including federal and state securities laws compliance and managing relevant regulatory filings and deadlines) and investment fund structuring. A private inve...

Program Integrity and Compliance Officer. Position: Program Integrity and Compliance Officer. Knowledge of program integrity, compliance, and incident reporting requirements.

Compliance Officers monitor transactions, conduct regular audits, train employees on regulatory requirements, and implement policies and procedures to minimize non-compliance risks. Compliance and Com...

Program Integrity and Compliance Officer. Position: Program Integrity and Compliance Officer. Knowledge of program integrity, compliance, and incident reporting requirements.

Our client is seeking an experienced and dynamic Hedge Fund Deputy CCO to join the Compliance team. The team is responsible for all legal and compliance matters for the Firm. The successful candidate ...

Develop, implement, and oversee compliance programs aligned with state and federal home health regulations. Regularly review and update compliance policies to ensure alignment with current regulatory ...

Proven experience in healthcare compliance, with strong knowledge of home health regulations. Certification in Healthcare Compliance (CHC) preferred. Develop, implement, and oversee compliance program...

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...

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...

We are looking for a Chief Compliance Officer (CCO) who will assume primary responsibility for ensuring broker-dealer compliance with SEC, FINRA and applicable state rules/ regulations. The primary re...

PIMCO is seeking a Senior Compliance Officer to join its global compliance team within the Legal and Compliance Department, focusing on the U. Administer the funds compliance program, including compli...

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...

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...

LHH Recruitment Solutions is working with a client in Westchester County NY to fill a Compliance Officer position.

LHH Recruitment Solutions is working with a client in Westchester County NY to fill a Compliance Officer position.

The Compliance Officer will report into the Deputy Chief Compliance Officer and will lead the Risk Review, Monitoring and Exams (RRME) team in support of the overall global Compliance function. The Co...

Registrations Compliance Officer. Quickly escalate matters to supervisors, compliance advisory should there be evidence of non-compliance. Work closely with Americas Compliance Training team to identi...

Registrations Compliance Officer. Quickly escalate matters to supervisors, compliance advisory should there be evidence of non-compliance. Work closely with Americas Compliance Training team to identi...

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...

Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)'s Surveillance team responsible for the design, implementation, and oversight for a suite of surveillances designe...

Compliance Officer - Investment Bank Compliance - Origination & Advisory - Capital Markets. The Compliance Origination & Advisory division at Deutsche Bank is responsible for ensuring that the Busines...