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Reporting to the Director for the Office of Research Integrity and Compliance, the role of the Research Security Manager / FSO encompasses oversight of the University's research security program and the responsibilities of a Facility Security Officer. The Research Security Manager will support th...

General Counsel & Chief Compliance Officer (New York, NY):. 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. Our client, a hedge fund with ...

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

Review and validation of High Risk KYC files to ensure completeness and compliance with Bank policies and Regulatory Requirements. 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....

A prestigious and well-established asset manager and broker-dealer, with a growing portfolio of private equity funds, is seeking a dynamic Chief Compliance Officer (CCO) to lead and enhance its compliance program. An ideal candidate will have relevant experience at a similar organization with sen...

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 ��

Review and validation of High Risk KYC files to ensure completeness and compliance with Bank policies and Regulatory Requirements. 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....

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...

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...

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. The candidate for this role will implement a comprehensive and ...

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. Provide compliance training and support to assigned business areas. Compliance/Regulatory within wholesale banking.

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 ...

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...

This requires coordination internally with our operations and technology team and often with outside counsel and compliance consultants. In-depth knowledge of compliance requirements applicable to SEC registered investment advisers. Our client is seeking an experienced and dynamic Hedge Fund Depu...

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...

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...

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.

The Compliance Advisory team also supports Central Compliance activities such as, but not limited to the development of Compliance Policies & Procedures, performing regulatory horizon scanning and impact assessments, and completion of periodic Compliance Risk Assessments. The Compliance Officer w...

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:.

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...

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...

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 ...

Regularly review and update compliance policies to ensure alignment with current regulatory requirements. Conduct internal audits and investigations to identify and resolve compliance issues promptly. Provide comprehensive compliance training to staff, ensuring thorough understanding of regulator...

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...

Registrations Compliance Officer. Quickly escalate matters to supervisors, compliance advisory should there be evidence of non-compliance. Work closely with supervisors, business management, Compliance, Legal, HR and Conduct Office to gather required information/documents for filings with regulat...

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

Fixed Income Compliance Officer. Conduct compliance training for new and existing regulations and firm policies.

The Registrations Compliance Officer is responsible for maintaining accurate and complete Client and CFTC/NFA registrations for Registered Representatives and swap dealers. Job Title: Registration Compliance Officer. Department: Compliance - Registrations Compliance.

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 Funds service providers by executing due diligence as determined by the Funds Chief Compliance Officer (CCO) and members of the Legal and C...

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

The Compliance team also handles the investment due diligence process, assists with operational support for investing activities, and maintains compliance with the firm's Code of Ethics. Provide compliance oversight, monitoring and reporting to Compliance and senior management, implementing polic...

Manage the firm's compliance program, including policies, the Code of Ethics, and the Regulatory Compliance Manual. Step into a pivotal role with our client as a Compliance Officer in New York, NY. Collaborate with internal teams and service providers to maintain a robust compliance culture while...

Monitor equity trading activity to ensure compliance with SEC, FINRA, and global regulatory requirements. Develop, implement, and maintain policies and procedures to support equity trade compliance. Conduct periodic risk assessments and gap analyses related to equities compliance.

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

The Office of the Agency Chief Contracting Officer is seeking a highly motivated and detailed oriented exceptional professional to serve as Assistant Agency Chief Contracting Officer (AACCO) of Compliance. Lead Directors and Analysts in the full array of compliance activities to ensure compliance...

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...

The Group Chief Compliance Officer will be a key member of the Legal & Compliance team and will report direct 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, ...

Registered Funds Compliance team within the global Legal and Compliance Department, primarily focusing on the 38a-1 compliance program. The ideal candidate will be based in PIMCO's New York Office and will play a crucial role in supporting the Funds' Chief Compliance Officer and PIMCO's broader c...

Registrations Compliance Officer. Quickly escalate matters to supervisors, compliance advisory should there be evidence of non-compliance. Work closely with supervisors, business management, Compliance, Legal, HR and Conduct Office to gather required information/documents for filings with regulat...

Job Title: SOX ITGC compliance Officer. Develop an ITGC compliance schedule for the fiscal year to ensure controls are executed timely per frequency described in the control universe. In-depth knowledge of SOX compliance and other regulatory standards that impact IT operations.

Registered Funds Compliance team within the global Legal and Compliance Department, primarily focusing on the 38a-1 compliance program. The ideal candidate will be based in PIMCO's New York Office and will play a crucial role in supporting the Funds' Chief Compliance Officer and PIMCO's broader c...

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...

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.

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...

The Senior Compliance Officer will collaborate closely with the portfolio management team, the global compliance team, and other departments to uphold the highest standards of compliance and integrity. We are seeking a highly skilled and experienced Senior Compliance Officer to join our dynamic c...