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Compliance Officer - Markets Business Line Advisory 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 for the...

The Group Chief Compliance Officer will be a key member of the Legal & Compliance team and will report directly to the Chief Legal Officer. You will be our Group Chief Compliance Officer responsible for the development, implementation and maintenance of SiriusPoint’s compliance and ethics program...

The Senior Compliance Officer will act in a compliance oversight and advisory role supporting assigned business units including two registered investment managers. The role will also be responsible for managing and maintaining assigned areas of the compliance program including monitoring business...

Arena is looking to expand the team through the addition of a senior Compliance Officer. Support front, middle and back-office personnel on a wide variety of regulatory compliance issues primarily in compliance with the Investment Advisers Act of 1940;. Review of compliance policies and procedure...

Compliance Officer - Markets Business Line Advisory 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 framework t...

As Chief Compliance Officer, you will lead the U. C-suite or executive-level experience in compliance, or 10+ years in senior leadership within a compliance function, preferably in financial services, fintech, or crypto sectors. Strong analytical and problem-solving skills, with a strategic minds...

Compliance Officer - Markets Business Line Advisory 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 for the...

The officer will work closely with management to identify areas of vulnerability and to develop a robust framework for minimizing risks while ensuring the integrity and ethical compliance of the organization. Compliance and Risk Assessment Officer. Compliance and Risk Assessment Officer Internshi...

A leading global hedge fund is seeking a Compliance Officer to join its New York-based compliance team. This role offers a unique opportunity to work directly with the Chief Compliance Officer (CCO) and gain broad exposure to various compliance functions while maintaining a strong focus on regula...

As a Senior Regulatory Product Officer you will be part of the voice towards our Product streams, ensuring that Adyen’s global compliance framework is embedded into its technology stack. A Senior Regulatory Product Officer must therefore possess strong project management skills and must be able t...

As a Compliance Officer, you will be the fourth member of our growing compliance team, working closely with colleagues across multiple business units. As they expand their compliance team, they seek a highly skilled Compliance Officer to join their small but impactful group. This role presents an...

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...

Compliance Officer – Regulatory Reporting. While regulatory reporting compliance will be a primary focus of this role, the position will also support additional responsibilities within the Product Control team. These include, but are not limited to, SOX and SOC 1 compliance, oversight of BXMA’s

As Chief Compliance Officer, you will be responsible for the implementation of the Sustainalytics Global Compliance Program. As Chief Compliance Officer you will be responsible for ensuring the firm’s policies and procedures ensure compliance with the European regulatory scheme and ensuring staff...

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. Work closely ...

Lead the legal and compliance functions, including two Senior Directors – Senior Director, Compliance and Senior Director, Legal – and a team of 12 professionals supporting Tides Network and its affiliates to ensure legal integrity, regulatory compliance and risk management. Oversee organization

Our elite global Alternative Investment Fund client is seeking to recruit a Senior Associate level Compliance officer with demonstrated AML Sanctions and Anti-Corruption compliance expertise to analyze risk and mitigate financial crimes. Fundamental knowledge of anti-money laundering compliance s...

PIMCO is seeking a dynamic Compliance Officer to join its global compliance team within the Legal and Compliance Department. Assist with the oversight of the Fund's service providers by executing due diligence as determined by the Fund's Chief Compliance Officer (CCO) and members of the Legal and...

Compliance Officer - Markets Business Line Advisory 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 susta...

Draft, implement, and maintain compliance policies, procedures and manuals to ensure adherence to regulatory requirements and industry standards. Stay up to date with evolving regulations and industry trends, and proactively adapt the compliance program as needed. This requires coordination inter...

Compliance Officer - Markets Business Line Advisory 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 susta...

Experience working within a Swap Dealer and/or Security-Based Swap Dealer Compliance program to meet the requirements of the Dodd-Frank Act. Ability to make, support, and defend complex regulatory/compliance decisions. Recommend and implement changes to the firm's Swap Dealer (SD) and Security-ba...

Lead the compliance function in identifying, assessing, and mitigating compliance risks across all business lines, including underwriting, claims, sales, marketing, and operations. The CCO will be responsible for managing the overall compliance risk for the company, establishing a robust complian...

Join a global banking organization as they look to add a Chief Compliance Officer to overseee their Corporate and Financial Crime Compliance program. Oversee compliance activities, including testing, training, risk assessments, drafting the annual compliance plan, responding to information reques...

SBS seeks a Chief Vendor Compliance Officer for Citywide Vendor Compliance who will report to the Deputy Commissioner of the Division of Economic and Financial Opportunity. The Chief Vendor Compliance Officer will ensure excellence and timeliness in the fulfillment of the Division of Labor Servic...

As the US Regional Compliance Officer (RCO) and Designated Compliance Officer (DCO) of Morningstar DBRS (MDBRS), you will play a pivotal role in establishing and maintaining a robust compliance program for MDBRS credit ratings. Lead and manage a team of compliance professionals, fostering a cultu...

This role offers a unique opportunity to work directly with the Chief Compliance Officer (CCO) and gain broad exposure to various compliance functions while maintaining a strong focus on regulatory filings (NFA/CFTC). A leading global hedge fund is seeking a Compliance Officer to join its New Yor...

The SG Americas Compliance department acts as Second Line of Defense of the corporate banking, investment banking and broker-dealer activities across Societe Generale's operations, reporting on the compliance risks and issues to local, regional, and head office management. Work with Compliance co...

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 by the first and second line of defense. Participating in the planning, executing, and reporting of...

We are looking for a Compliance Officer to join the Compliance department at SEB, New York. Coordinate with the Chief Compliance Officer and the team to ensure that compliance issues are effectively addressed. You will be a part of a team that is responsible for the development, coordination, and...

Serves as a compliance risk officer for Surveillance Intelligence Unit (SIU) within Independent Compliance Risk Management (ICRM)s Surveillance and Employee Compliance team responsible for the design, implementation, and oversight for controls and solutions supporting Surveillance, Employee Compl...

COMPLIANCE OFFICER SENIOR-REGISTERED INVESTMENT ADVISORWHAT IS THE OPPORTUNITY?The Senior Compliance Officer will act in a compliance oversight and advisory role supporting assigned business units including two registered investment managers. The role will also be responsible for managing and mai...

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...

C-suite or executive-level experience in compliance, or 10+ years in senior leadership within a compliance function, preferably in financial services, fintech, or crypto sectors. As Chief Compliance Officer, you will lead the U. Represent BVNK at industry events, advocating for compliance as a st...

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 polic...

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 SENIOR-REGISTERED INVESTMENT ADVISORWHAT IS THE OPPORTUNITY?The Senior Compliance Officer will act in a compliance oversight and advisory role supporting assigned business units including two registered investment managers. The role will also be responsible for managing and mai...

Oversee compliance activities, including testing, training, risk assessments, drafting the annual compliance plan, responding to information requests from examiners and auditors, preparing compliance-related MIS reports, and implementing corrective actions for regulatory findings. Administer and ...

The Data Privacy Compliance team works closely with our Legal counterparts, business and engineering stakeholders to ensure compliance with current/developing rules and regulations, implement global training and communication programs and monitor privacy risk across the business. Implement approp...

Collaborate with Compliance testing teams and other internal control functions to continually monitor, evaluate, establish, and implement effective DFA Title VII-related policies, procedures, and controls. Strong knowledge of Compliance risk management programs. Familiarity with clearing and trad...

We are looking for a person with personal account dealing and employee code of conduct/ethics experience to join the Employee Compliance team in New York, with a team member also in London, as a Compliance Officer to support Bloomberg's Personal Account Dealing program. Within the Employee Compli...

You will uphold MMA's compliance culture by developing and participating in all components of MMA's compliance program, including regulatory compliance, policy and procedure implementation, training, monitoring and investigations into potential policy violations. Marsh McLennan Agency (MMA) is se...

This person will be responsible for developing and implementing Faire's compliance programs, including compliance reporting, training, and testing, reviewing company policies, and advising management on compliance matters. Perform compliance program testing to assess adherence to the compliance m...

Marsh McLennan Agency (MMA) is seeking a Senior Compliance Officer, Operations to build out and enhance the infrastructure of a best-in-class compliance program and to provide trusted advice to business colleagues. Reporting to MMA's Chief Compliance Officer, you will be responsible for designing...

The Compliance Officer (CO) is responsible for overseeing and monitoring the implementation and effectiveness of Ronald McDonald House of New York's Compliance Program ("Program"), including developing and facilitating the delivery of training strategies. Provides reports on a regular basis, as d...

The Fixed Income Compliance Officer serves as key function/business/product compliance advisor within the Fixed Income Compliance Advisory Group with primary coverage of U. Job Title: Fixed Income Compliance Officer. US Head of Fixed Income Compliance.

Compliance Officer - Markets Business Line Advisory 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 susta...

CIB Americas Compliance seeks a mid/senior-level business line Compliance Officer to cover Global Markets Sales and Trading desks in New York, with a specific focus on Rates products (including Treasuries and interest rate derivatives) and FX. Additionally, he/she/they will partner with Complianc...