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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 Officer for the Americas. The Investment and Corporate Banking Advisory (“ICBA”) 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 Officer for the Americas. The Investment and Corporate Banking Advisory ("ICBA") Compliance Offi

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 Risk KYC files to ensure completeness and compliance with Bank policies and Regulatory Requirements....

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 an excellent opportunity to advance your career in compliance and asset management. ComplianceAlph...

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 the SEC. General Counsel & Chief Compliance Officer (New York, NY):. Supervise outside counsel, com...

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 the SEC. General Counsel & Chief Compliance Officer (New York, NY):. Own the firm's compliance pro

Create and maintain policies reasonably designed to support compliance with applicable regulatory obligations, corporate requirements and industry best practices; and assist in development and delivery of training to support compliance with relevant policies. In this role you will provide complia...

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 Markets (ECM), Debt Capital Markets (DCM), Global Loan Syndication (GLS), Global Securitization (...

Will be responsible for maintaining compliance with policies and procedures related to equities trading according to FINRA and SEC regulations.

The Bank Regulatory Compliance Officer ("Compliance Officer") will provide advisory and monitoring support to assigned business areas in implementing Compliance policies and procedures regarding State and Federal banking regulations. The Compliance Officer will provide advice and support on matte...

The Bank Regulatory Compliance Officer (“Compliance Officer”) will provide advisory and monitoring support to assigned business areas in implementing Compliance policies and procedures regarding State and Federal banking regulations. The Compliance Officer will provide advice and support on matt

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 Global Chief Compliance Officer to lead our distributed, global compliance team. Our department ...

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 Brothers Capital, LLC, a leading self-clearing broker-dealer, is looking for a Compliance Associate/...

The Bank Regulatory Compliance Officer ("Compliance Officer") will provide advisory and monitoring support to assigned business areas in implementing Compliance policies and procedures regarding State and Federal banking regulations. The Compliance Officer will provide advice and support on matte...

The Bank Regulatory Compliance Officer will provide advisory and monitoring support on federal and state banking regulations, including BHCA, Reg Y, Reg K, Reg D, and Reg W. Advise on compliance policies and regulatory changes affecting GBA and ALMT. Support new product and activity reviews for c...

Chief Operating Officer / Chief Compliance Officer. They seek a Chief Operating Officer / Chief Compliance Officer who is ambitious and ready to scale the company across all 50 states through organic growth and M&A. Chief Operating Officer, HCBS Compliance and Regulations.

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 investment firm is seeking a legal/compliance officer to join their team in the NYC office. Assist wi...

The Bank Regulatory Compliance Officer ( "Compliance Officer") will provide advisory and monitoring support to assigned business areas in implementing Compliance policies and procedures regarding State and Federal banking regulations. The Compliance Officer will provide advice and support on matt...

Advisory Compliance Officer – Fixed Income Business Line Compliance. The candidate for this role will implement a comprehensive and sustainable compliance framework to ensure the bank’s compliance with regulation and internal policy. Legal, Risk, First Line Control teams) and build credibility f

In-depth knowledge of compliance requirements applicable to SEC registered investment advisers. 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.

A global private equity firm ($15B+ AuM) is seeking a Deputy Chief Compliance Officer who will assume the Chief Compliance Officer role within the first year. This individual will serve as a key member of the compliance leadership team, working closely with the CCO and senior business stakeholder...

Advisory Compliance Officer – Fixed Income Business Line Compliance. The candidate for this role will implement a comprehensive and sustainable compliance framework to ensure the bank's compliance with regulation and internal policy. Legal, Risk, First Line Control teams) and build credibility fo...

Compliance Officer - FCM and Clearing Member Compliance. Assist the FCM's Chief Compliance Officer by delivering Compliance Advisory services to FCM and Clearing Member business. The Compliance Department at Millennium serves to adopt, implement, and carry out a compliance program, including poli...

PIMCO is seeking a Senior Compliance Officer to join its global compliance team within the Legal and Compliance Department, focusing on the U. Senior Vice President, Compliance Officer. The ideal candidate will be based in PIMCOs New York Office and will play a crucial role in supporting the Fund...

Serves as a Control Group compliance officer, specifically relating to research publications for the Independent Compliance Risk Management (ICRM) department. Primary responsibilities include monitoring compliance risk behaviors and providing day-to-day Compliance advice relating to the Research ...

The successful candidate will be part of the global team responsible for overseeing the policies, procedures and testing of our client’s compliance program. Develop and deliver compliance training programs. Draft, implement, and maintain compliance policies, procedures and manuals to ensure adher...

Advisory Compliance Officer – Fixed Income Business Line Compliance. Legal, Risk, First Line Control teams) and build credibility for the Compliance function and enhance the Compliance brand more widely;. The candidate for this role will implement a comprehensive and sustainable compliance framew...

Manage the firm's compliance program, including policies, the Code of Ethics, and the Regulatory Compliance Manual. Lead compliance training programs and assist with compliance-related projects as needed. Step into a pivotal role with our client as a Compliance Officer in New York, NY.

The primary focus will be to assist the Compliance Department with reviewing and approving marketing materials as well as being responsible for assisting the compliance department in the firm regulatory priorities and compliance program to ensure compliance with FINRA and SEC guidelines, rules an...

Quickly escalate matters to supervisors, compliance advisory should there be evidence of non-compliance. Job title:- Registration Compliance Officer -Operations-Daily 4. Compliance Culture and Conduct:.

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 Global Chief Compliance Officer to lead our distributed, global compliance team. Our department ...

The Registrations Compliance Officer is responsible for maintaining accurate and complete Client and CFTC/NFA registrations for Registered Representatives and swap dealers. Maintain training completion logs and send reminders to representatives, supervisors, and compliance officers. Job Title: Re...

Collaborate with the Global Anti-Financial Crimes Compliance Officer in connection with ongoing evolution of AFC compliance framework in light of regulatory change. This role is pivotal in facilitating PIMCOs Anti-Financial Crimes (AFC) compliance program, with a primary focus on overseeing and i...

Reporting to MMA's Chief Compliance Officer, you will be responsible for designing and executing on the operational elements of MMA's compliance program. Marsh McLennan Agency (MMA) is seeking a Senior Compliance Officer, Operations to build out and enhance the infrastructure of a best-in-class c...

Lead compliance audits and investigations, preparing detailed reports and recommendations for improvement. Demonstrate a real passion for Cybersecurity & Compliance solutions, design, and customer service. Develop, implement, and manage a comprehensive organizational Risk management and complianc...

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. In this role you will provide compliance guidance and support to the US Research team, working closely with Investment Banking, Capital Markets, ...

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 compliance with co-investment exemptive relief granted by the SEC. The ideal candidate will be based in...

Position: Licensing /Registration Compliance Officer (Hybrid). Work closely with supervisors, business management, Compliance, Legal, HR and Conduct Office to gather required information/documents for filings with regulators. Minimum of 10 years of compliance experience with a broker dealer/finan...

Legal, Risk, First Line Control teams) and build credibility for the Compliance function and enhance the Compliance brand more widely; Work collaboratively with the Global and US Compliance teams where necessary to ensure a consistent and common approach with respect to SCIB and Santander US poli...

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 designed to detect behaviors that may violate regulatory rules or internal policies and procedures. Know...

Advisory Compliance Officer – Fixed Income Business Line Compliance. The candidate for this role will implement a comprehensive and sustainable compliance framework to ensure the bank’s compliance with regulation and internal policy. The candidate for this role will implement a comprehensive and

The Reg SHO Specialist will report directly to the Head of Custody Operations with a dotted reporting line to the Chief Compliance Officer. At least 3 years of professional experience in a compliance or control function experience administering the Reg SHO compliance program at a prime broker and...

A private investment firm is seeking a legal/compliance officer to join their team in the NYC office. Assist with the management, maintenance and ongoing development of the firm’s compliance program (including administering the code of ethics and employee requests and certifications, conducting a...

This role involves developing, implementing, and maintaining policies and procedures to mitigate export and trade compliance risks and ensure compliance in the University's academic, research, and operational activities, and day-to-day management of the Export and Trade Compliance Program, an ele...

Maintain training completion logs and send reminders to representatives, supervisors, and compliance officers. Job Title: Registration Compliance Officer. Department: Compliance Registrations Compliance.

Compliance and Compliance Officers play a crucial role in ensuring that all activities are conducted in accordance with the law. Compliance Officers monitor transactions, conduct regular audits, train employees on regulatory requirements, and implement policies and procedures to minimize non-comp...

Join a top global Canadian banking organization as they look to augment their compliance testing program for their broker-dealer. Assist with developing and executing the annual Compliance Testing plan. Support issues management development and tracking of Compliance-identified findings.

Maintain training completion logs and send reminders to representatives, supervisors, and compliance officers. Job Title: Registration Compliance Officer. Department: Compliance - Registrations Compliance.