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Compliance Officer - Consulting Opportunity. I am in search of a Compliance Professional with a FINRA/Financial Securities Compliance background to evaluate my client and their technology and processes. The position would pay $200/hr and the initial project would be 30-90 days with the potential ...

VP, Regulatory Examination Management Compliance Officer. The VP, Regulatory Examination Management Compliance Officer follows industry regulatory developments, applying this expertise when interacting with financial services regulators (including OCC, FRBB, SEC, CFTC, NFA, CME and FINRA) and San...

Professional certification is highly preferred, such as Certified Bank Compliance Officer (CBCO), Certified Regulatory Compliance Manager (CRCM), or Certified Regulatory and Compliance - Professional (CRCP) would be an asset. The Compliance Officer will oversee Emigrant’s compliance function, as ...

Compliance Officer implements a comprehensive and sustainable compliance framework to ensure the bank’s compliance with regulation and internal policy. Compliance Officer implements a comprehensive and sustainable compliance framework to ensure the bank’s compliance with regulation and internal

Fortress seeks an experienced Compliance Officer to join the Fortress Legal and Compliance Department and will report directly to the firm’s Chief Compliance Officer. Conducting additional ad hoc compliance assignments, including periodic compliance testing. The successful candidate will work wit...

VP, Regulatory Examination Management Compliance Officer. The VP, Regulatory Examination Management Compliance Officer follows industry regulatory developments, applying this expertise when interacting with financial services regulators (including OCC, FRBB, SEC, CFTC, NFA, CME and FINRA) and San...

The Chief Compliance Officer of Figure Lending will lead the Lending compliance team and oversee the related compliance and regulatory functions. The Chief Compliance Officer of Figure Lending will assume primary responsibility for assuring compliance with federal and state rules/regulations as w...

Highly regarded global investment management firm is seeking a motivated compliance professional to assist its Compliance Team. The successful candidate will assist a highly collaborative team who supports the administration of Firm's Compliance policies as it relates to personal trading and empl...

I am in search of a Compliance Professional with a FINRA/Financial Securities Compliance background to evaluate my client and their technology and processes. The position would pay $200/hr and the initial project would be 30-90 days with the potential for extension and/or a Chief Compliance Offic...

In this role you will provide compliance guidance and support to the US Research team, working closely with Investment Banking, Capital Markets, Markets and Control Room Compliance teams. Create and maintain policies reasonably designed to support compliance with applicable regulatory obligations...

Strong familiarity with SEC regulations, including Investment Advisers Act and compliance requirements for private funds. Reporting directly to the executive leadership team, the CCO will act as the in-house expert on regulatory matters, oversee external compliance service providers, and work clo...

Compliance Officer – Investment Bank Compliance – Fixed Income Sales & Trading - Rates and FX. Support the global compliance monitoring program by providing input on the framework documents and completing verification checks as outlined the in the annual monitoring plan. Perform testing and moni

In order to foster its global expansion, we are currently looking for a Chief Compliance Officer (m/f/d). The goal is to position the company as best in class when it comes to regulatory compliance across different regions. Design and implement sustainable, best in class compliance policies, whic...

International Insurance/Asset Management Firm is seeking an experienced Compliance Officer to ensure adherence to ethical standards, laws, and regulations across the firm's operations in the Americas. The role involves implementing and enforcing compliance policies, reducing risk, and promoting a...

We operate a global/local Compliance model, whereby subject matter experts within Central Compliance support local Compliance Officers to ensure their programs are robust, consistent, and meet both local regulatory requirements and internal global standards. The Compliance function at OKX is resp...

Highly regarded global investment management firm is seeking a motivated compliance professional to assist its Compliance Team. Perform personal trading surveillance to ensure compliance with our personal trading policy. The successful candidate will assist a highly collaborative team who support...

We are currently seeking a dedicated and experienced Capital Markets Compliance Officer to join our Compliance team who will be responsible for providing compliance advice and building a compliance program to support our growing investment banking offering. As a Capital Markets Compliance Officer...

Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM) testing team responsible for assessing compliance risks and controls implemented by the first and second line of defense. Also responsible for performing risk assessment of Citi's compliance risks, performing in...

Compliance Officer – Investment Bank Compliance – Fixed Income Sales & Trading - Rates and FX. Provide regulatory/compliance training; assist the Business in implementing and documenting various supervisory/control mechanisms. Support the global compliance monitoring program by providing input o

Serves as a senior compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a risk management framework that ma...

The role involves implementing and enforcing compliance policies, reducing risk, and promoting a culture of compliance at all levels of the organization. International Insurance/Asset Management Firm is seeking an experienced Compliance Officer to ensure adherence to ethical standards, laws, and ...

We operate a global/local Compliance model, whereby subject matter experts within Central Compliance support local Compliance Officers to ensure their programs are robust, consistent, and meet both local regulatory requirements and internal global standards. The Compliance function at OKX is resp...

Compliance Officer implements a comprehensive and sustainable compliance framework to ensure the bank’s compliance with regulation and internal policy. Compliance Officer implements a comprehensive and sustainable compliance framework to ensure the bank’s compliance with regulation and internal

Highly regarded global investment management firm is seeking a motivated compliance professional to assist its Compliance Team. The successful candidate will assist a highly collaborative team who supports the administration of Firm's Compliance policies as it relates to personal trading and empl...

VP, Regulatory Examination Management Compliance Officer. The VP, Regulatory Examination Management Compliance Officer follows industry regulatory developments, applying this expertise when interacting with financial services regulators (including OCC, FRBB, SEC, CFTC, NFA, CME and FINRA) and San...

Compliance Officer implements a comprehensive and sustainable compliance framework to ensure the bank’s compliance with regulation and internal policy. Compliance Officer implements a comprehensive and sustainable compliance framework to ensure the bank’s compliance with regulation and internal

The role involves implementing and enforcing compliance policies, reducing risk, and promoting a culture of compliance at all levels of the organization. International Insurance/Asset Management Firm is seeking an experienced Compliance Officer to ensure adherence to ethical standards, laws, and ...

VP, Regulatory Examination Management Compliance OfficerNew York, United States of AmericaUSA Job Family Description: The VP, Regulatory Examination Management Compliance Officer follows industry regulatory developments, applying this expertise when interacting with financial services regulators ...

Compliance Officer – Investment Bank Compliance – Fixed Income Sales & Trading - Rates and FX. Strong written and verbal communication and presentation skills, with the ability to effectively influence others and engage senior stakeholders and foster collaboration among Compliance, the Business

VP- Bank Regulatory Compliance OfficerNew York, United States of AmericaUSA Job Family Description: Vice President, Bank Regulatory Compliance Advisory (Corporate and Investment Bank) provides real-time compliance advisory support to the CIB New York Branch business which focuses on investment ba...

In this role you will provide compliance guidance and support to the US Research team, working closely with Investment Banking, Capital Markets, Markets and Control Room Compliance teams. Independently manage projects necessary to support initiatives both within Global Research Compliance and the...

We are seeking an experienced Compliance Officer to provide real-time and regulatory compliance coverage for our business units engaged in the sales and trading of Rates (including Treasuries and interest rate derivatives) and FX products for both market-making and hedging purposes. Develop and i...

AML / OFAC Compliance Officer / Advisory (Financial Security). Types of Jobs - Compliance / Financial Security. Review and validation of High Risk KYC files to ensure completeness and compliance with Bank policies and Regulatory Requirements.

JCW is partnering with a local Commercial Bank in the NYC area who is looking to bring on a new Compliance Officer to their team. Advise Senior Management of the bank on relevant Compliance topics including regulatory changes and compliance best practices. Assisting with the development and imple...

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 with members of the GSAM distribution, product, and marketing teams.He/she will also interact wit...

Maternity cover position to serve as the lead US compliance officer for a ~$100bn alternatives house. Reporting to the Group Compliance Director in EMEA, the role holder will advise private fund portfolio managers and the SMA advisory business on ongoing regulatory obligations (Investment Advisor...

The Assistant General Counsel and Compliance Officer reports directly to the General Counsel and is a key member of the Trusts legal and compliance department. The Assistant General Counsel and Compliance Officer will assist in managing the Trusts legal matters, focusing on compliance, ethics, co...

Develop and enforce compliance policies and procedures to align with state and federal requirements. Investigate compliance issues, identify root causes, and recommend corrective actions. Support training initiatives to educate staff on compliance protocols and industry best practices.

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 Programs appropriately addresses the regulatory risks relative to the Division/Unit's business ac...

The Senior Compliance Officer will support the Alternative business. Ensure timely escalation, evaluation, investigation, and resolution of compliance issues. Legal or compliance experience with knowledge of the Investment Advisers Act, Investment Company Act, and other regulations for investment...

Highly regarded global investment management firm is seeking a motivated compliance professional to assist its Compliance Team. The successful candidate will assist a highly collaborative team who supports the administration of Firm's Compliance policies as it relates to personal trading and empl...

Professional certification is highly preferred, such as Certified Bank Compliance Officer (CBCO), Certified Regulatory Compliance Manager (CRCM), or Certified Regulatory and Compliance - Professional (CRCP) would be an asset. The Compliance Officer will oversee Emigrant's compliance function, as ...

The role involves implementing and enforcing compliance policies, reducing risk, and promoting a culture of compliance at all levels of the organization. International Insurance/Asset Management Firm is seeking an experienced Compliance Officer to ensure adherence to ethical standards, laws, and ...

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 business and other regions on regulatory matters, cross border questions, and formulating consisten...

Maternity cover position to serve as the lead US compliance officer for a ~$100bn alternatives house. The business has a diverse portfolio including private debt, credit, real estate & infrastructure ...

International Insurance/Asset Management Firm is seeking an experienced Compliance Officer to ensure adherence to ethical standards, laws, and regulations across the firm's operations in the Americas

The Senior Compliance Officer will support the Alternative business. This includes investments in Direct Real Estate, Infrastructure Debt, and Private Credit. Role Details: * Create policies and ...

Position Summary Highly regarded global investment management firm is seeking a motivated compliance professional to assist its Compliance Team. The successful candidate will assist a highly ...