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As we enter a new phase of scale and operational sophistication, we are seeking a Chief Compliance Officer (CCO) to build and lead our compliance function from the ground up. Job Details Build & Lead the Compliance Function Develop, initiate, and maintain a comprehensive corporate compliance program

The Chief Compliance Officer is responsible for the overall design, execution, and oversight of the firm’s enterprise-wide Compliance Program. Prior experience serving as a Chief Compliance Officer or senior compliance leader at a full-service broker-dealer or investment bank. Lead firm-wide compl

Flow Traders is looking for a Compliance Officer to join our Compliance team in New York. If you aim high, the sky is the limit! This Compliance Officer will design and implement automated compliance controls, conduct trading reviews, and perform trade surveillance. With a focus on Process Testing a

The Chief Global Compliance Officer (CGCO) is responsible to the Senior Vice President, General Counsel for developing, executing, and enforcing the Global Ethics and Compliance Program in order to ensure compliance with evolving laws and regulatory requirements in addition to University policies an

Job Title: Compliance Officer Investment Bank Compliance Fixed Income Sales & Trading FIC Macro Compliance. You will provide business compliance coverage for the Fixed Income and Currencies (FIC) Macro Sales & Trading businesses. You will be responsible for typical line compliance functions withi

Prior experience serving as a Chief Compliance Officer or senior compliance leader at a full-service broker-dealer or investment bank. The Chief Compliance Officer is responsible for the overall design, execution, and oversight of the firm’s enterprise-wide Compliance Program. Lead firm-wide compl

The Compliance Officer within Regulatory Relations Core Compliance assists in the development and execution of core compliance programs and processes and helps manage the various relationships with our US regulators. Assist with monthly and ad hoc Compliance reporting. Support the development of US

Co-Chief Compliance Officer Insurance - Director. Regulatory Compliance & Oversight. Review and assess compliance related to asset allocation strategies, investment committee governance, and reporting obligations.

A financial services firm in New York is seeking a Deputy Chief Legal Officer to manage its investments and support compliance activities. Responsibilities include overseeing legal compliance, negotiating contracts, and collaborating with teams to ensure strategic investment operations.

Responsibilities include supporting transactions, managing compliance, and advising on legal regulations. A financial services company is seeking a Deputy Chief Legal Officer to oversee legal aspects of investment operations.

The Senior Compliance Office provides advice, guidance and support to business units in adhering to regulatory/compliance requirements and assists in implementing compliance initiatives to help manage regulatory risk. Compliance Monitoring & Compliance Oversight. Assist with the development of the C

Compliance Officer - Investment Bank Compliance - Fixed Income Sales & Trading - FIC Macro Compliance. You will be responsible for typical line compliance functions within a large, global investment bank, including but not limited to: providing real-time advice on matters relating to trading and sal

This role reports directly to the Chief Compliance Officer, Canada Investments who oversees the US&C Investments Portfolio Compliance team. The role is responsible for supporting the design and implementing controls and processes to ensure compliance with all applicable regulatory and portfolio guid

We are looking for a Compliance Officer who will be the Company's first dedicated compliance role, expected to make a significant impact on building out and implementing a comprehensive compliance framework. Conducting research with respect to compliance and regulatory issues; developing new complia

Support Chief Compliance Officers (CCOs) in administering RIA compliance programs, including:. This role reports to the Chief Compliance Officer and is based in our New York City office, full-time. Guggenheim Investments is currently seeking a Senior Compliance Officer to support the regulatory over

This hybrid Fixed Income Compliance Officer will work as a member of the Americas Compliance team based in TP ICAP's New York offices and report into the Head of Fixed Income Compliance. TP ICAP is seeking a Fixed Income Compliance Officer to provide regulatory/compliance advice and support to the F

Build and maintain effective relationships with Risk, Compliance, Business, Operations, Finance, Technology, Control Management, Legal, and Internal Audit teams. Minimum 2 years of experience in risk management, compliance, regulatory affairs, or related field. Experience supporting regulatory exami

Labor compliance officers are required to regularly make unannounced visits to construction sites, respond to tips, and investigate labor standards complaints. HPD is seeking a highly motivated individual to join LMU's team of labor compliance officers. LMU's labor compliance officers analyze payrol

Support an effective Compliance program including Compliance Risk Assessment (CRA) and Regulatory Change Management (RCM) and contribute to the Business Unit Compliance Assessments (BUCA) and Annual Compliance Plan (ACP). Global Risk and Compliance colleagues, General Counsel Office, Control Managem

This role reports directly to the Chief Compliance Officer, Canada Investments who oversees the US&C Investments Portfolio Compliance team. We are seeking a talented individual to join our Compliance team at Mercer. This position plays a critical role in developing and administering our portfolio an

LMU's labor compliance officers analyze payroll records and make field visits to affordable housing construction sites to establish contact with laborers and mechanics in the course of performing investigations for wage theft and other labor law violations. Labor compliance officers are required to

Work closely with the Compliance Team and assist in any other Compliance related functions and ad hoc projects. Conduct compliance monitoring program relating to marketing materials, update policies and procedures and conduct periodic training with personnel. Coordinate with various teams including

This is a new role reporting into the firm's Chief Compliance Officer, that provides a great opportunity for an individual who can work independently and as part of a global team. PJT Partners is seeking to hire a highly motivated compliance professional to cover our equity and debt capital markets

This Senior Compliance Officer is a key member of the TDS US Compliance Monitoring and Testing Team and Core Compliance Group. This Compliance Officer will also support other aspects of the Core Compliance program as needed. Work closely with other support functions and the business areas to support

The Compliance Officer will work closely with senior compliance officers to monitor trading activity, review policies and procedures, and assist in the implementation and review of compliance controls. Citizens is seeking a highly motivated Compliance Officer to join the Swap Dealer Compliance team.

Investment Compliance is a global function responsible for ensuring compliance with regulatory, prospectus, client-directed, and internal investment and operational restrictions. The Compliance Officer utilizes technical and subject matter expertise, experience and judgment to complete assigned resp

This role reports directly to the Chief Compliance Officer, Canada Investments who oversees the US&C Investments Portfolio Compliance team. Monitor portfolio guideline compliance; research potential issues and collaborate with other teams to come to resolution. We are seeking a talented individual t

The Senior Compliance Officer will report to the firm's Head of Global Compliance. The Senior Compliance Officer will lead the day-to-day management of Capstone's Global trade compliance practice area and will provide real-time advisory support to Capstone's trading staff. Capstone is looking for a

We are now seeking a senior compliance officer within the team to execute and enhance the compliance program, and aid the business to comply with applicable laws, regulations, and Firm policies and procedures. Providing compliance advice to front office business personnel and support functions in a

The Advisory Compliance Officer will provide key compliance guidance, support, and oversight to the Rates, Futures, Commodities, and FX business lines within the Capital Markets Macro business in support of US and cross border (e. The Advisory Compliance Officer provides compliance oversight to (1)

Regulatory Strategy Senior Officer (Associate). As part of Risk Management and Compliance, you'll help drive responsible growth by anticipating and addressing emerging risks. As a Regulatory Strategy Senior Officer (Associate) in the Firmwide Regulatory Strategy team, you will support the coordinati

Surveillance Compliance Officer. Purpose of Role: Marex is recruiting for a surveillance compliance officer to join their team in New York. Provide surveillance expertise to bd and fcm advisory compliance, adding context and counsel to the objective response.

This role reports directly to the Chief Compliance Officer, Canada Investments who oversees the US&C Investments Portfolio Compliance team. Monitor portfolio guideline compliance; research potential issues and collaborate with other teams to come to resolution. We are seeking a talented individual t

The Compliance Officer will work closely with senior compliance officers to monitor trading activity, review policies and procedures, and assist in the implementation and review of compliance controls. Citizens is seeking a highly motivated Compliance Officer to join the Swap Dealer Compliance team.

Compliance Culture: Work with the Compliance leadership team in support of a strong risk & compliance culture within Compliance and across the firm. Preferred Qualifications: TD Securities is seeking an experienced Senior Compliance Officer to join our Compliance Control Room, focusing on portfolio

Three years' experience in compliance, regulatory, or investigative capacity. Previously, Mayor Adams has served the people of New York City as an NYPD officer, state senator, and Brooklyn borough president. The Problems You'll Solve The incumbent will report to the Deputy Director, Compliance and w

In addition to leading the oversight of the SBSD compliance program, the Senior Compliance Officer will provide the CCO, management and the Board with periodic updates, ensure adequate policies and procedures are in place, administer the firm's training program, coordinate and oversee regulatory exa

Compliance Culture: Work with the Compliance leadership team in support of a strong risk & compliance culture within Compliance and across the firm. TD Securities is seeking an experienced Compliance Officer to join our Compliance Control Room, focusing on portfolio management of the department's in

Track administrative decisions and emerging compliance risks to proactively address vulnerabilities in agency and contractor operations. Develop training materials and deliver presentations to agency partners and stakeholders regarding regulatory obligations and best practices related to M/WBE compl

The Regulatory & Reporting Oversight Officer will serve as a pivotal compliance leader partnering with Finance, Operations and Risk teams to ensure regulatory adherence, timely and accurate reporting and robust client asset protection. Provide compliance guidance and create oversight program for reg

Labor Compliance Officer, Labor Monitoring Unit. LMU's labor compliance officers analyze payroll records and make field visits to affordable housing construction sites to establish contact with laborers and mechanics in the course of performing investigations for wage theft and other labor law viola

The Advisory Compliance Officer provides compliance oversight to (1) the Macro and Spread businesses trading equity products and (2) the U. The Advisory Compliance Officer will provide key compliance guidance, support, and oversight to the Rates, Futures, Commodities, and FX business lines within th

The Senior Compliance Office provides advice, guidance and support to business units in adhering to regulatory/compliance requirements and assists in implementing compliance initiatives to help manage regulatory risk. The TD Securities Compliance team is seeking a Senior Compliance Officer (Associat

Support an effective Compliance program including Compliance Risk Assessment (CRA) and Regulatory Change Management (RCM) and contribute to the Business Unit Compliance Assessments (BUCA) and Annual Compliance Plan (ACP). Global Risk and Compliance colleagues, General Counsel Office, Control Managem

Apollo is seeking a Compliance Officer to join its growing global team of professionals who are focused on operationalizing Apollo's strategic compliance program. The compliance officer will be responsible for providing compliance advice and support for Apollo's direct lending platform, which includ

Support an effective Compliance program including Compliance Risk Assessment (CRA) and Regulatory Change Management (RCM) and contribute to the Business Unit Compliance Assessments (BUCA) and Annual Compliance Plan (ACP). As a LOBCO, the successful candidate will support the LOBCO team in building a

Growing Asset Management client is seeking a Senior Compliance Officer that will lead its trade compliance function and provide real-time advisory support to trading teams across products, strategies, and regions. Strong trade compliance and surveillance expertise, including MNPI, Reg M Rule 105, Re