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Job Description This is a remote position. Quality Assurance Officer – Must Have Experience Working at an ABA Therapy Provider Reports to: Clinical Director Collaboration with: All Agency Staff Job Description: The Quality Assurance Officer is responsible for reviewing clinical treatment a...

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...

The Swap Dealer Compliance Senior Vice President will serve as a key contributor on the team responsible for coordinating Citi’s global Swap Dealer and Security-Based Swap Dealer Independent Compliance Risk Management (ICRM) program. Partnering with other ICRM teams and global functions, includin...

Provide advice and guidance to management on matters relating to conduct and compliance, including identifying areas of compliance vulnerability and risk, based on findings of compliance reviews. As Chief Compliance Officer, you will be responsible for the implementation of the Sustainalytics Glo...

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...

Compliance and Risk Assessment Officer Internship for 3 months. 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 Asse...

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 ...

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. Expertise in translating complex regulatory requirements into practi...

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. Analyze, surveille and test electronic communications ensur...

General Counsel & Chief Compliance Officer. 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. Own the firm’s compliance program, including p...

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...

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

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

You will be our Group Chief Compliance Officer responsible for the development, implementation and maintenance of SiriusPoint’s compliance and ethics program, driving the Company’s ongoing commitment to compliance with all applicable laws and regulations globally, while also ensuring adherence t

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...

Senior Regulatory Product Compliance Officer. 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. Our fast-paced Regulatory Product Team is looking for an experie...

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. Preparing or co...

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...

Certifications such as Certified Regulatory Compliance Manager (CRCM), Certified Compliance and Ethics Professional (CCEP), or other relevant industry certifications are highly desirable. Conduct regular compliance audits and assessments to evaluate the effectiveness of the compliance program. Le...

Coordinate and monitor youth programs, activities, and events to ensure compliance with youth protection policies and procedures, including conducting on-site evaluations. Ensure compliance with local, state, and federal laws and regulations impacting youth protection in sports, including the Pro...

The Chief Vendor Compliance Officer will ensure excellence and timeliness in the fulfillment of the Division of Labor Services’ mandates, including communicating operational, compliance obligations and determinations to governmental partners and vendors; managing the development, implementation a...

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. Analyze and mitigate financial crime risk for the firm with...

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.

The CCO will be responsible for managing the overall compliance risk for the company, establishing a robust compliance framework, and fostering a culture of ethical business practices. Lead the compliance function in identifying, assessing, and mitigating compliance risks across all business line...

Our fast-paced Regulatory Product Team is looking for an experienced Officer with a background in regulatory compliance related to products within the payments- or financial industry. As a Senior Regulatory Product Officer you will be part of the voice towards our Product streams, ensuring that A...

Assist the Compliance Department with ongoing regulatory requirements and enforcing Compliance policies. Balyasny Asset Management is seeking an experienced Compliance Officer for its New York office. The employee will report to the Senior Compliance Counsel and will work closely with both the 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...

The Reg SHO Specialist will report directly to the Head of Custody Operations with a dotted reporting line to the Chief Compliance Officer. We are seeking an experienced Reg SHO Compliance Officer who will specialize in overseeing the company's adherence to the requirements of Reg SHO, with a foc...

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...

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...

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...

Flow Traders is looking for Compliance Officer to join our Compliance team in New York. Provide day-to-day compliance advisory support to business units on market rules, practices and/or compliance risks. Perform daily monitoring controls related to regulatory obligations that are designed to mit...

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...

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...

Advise on regulatory developments, compliance risks, and the strategic direction of compliance initiatives. Certifications such as Certified Regulatory Compliance Manager (CRCM), Certified Compliance and Ethics Professional (CCEP), or other relevant industry certifications are highly desirable. T...

Senior Alternative Compliance Officer (Senior AFC & Compliance Officer). The Senior AFC & Compliance Officer will support the Illiquids Alternative business lines in the Americas and provide guidance relating to Illiquid products including Direct Real Estate, Infrastructure Debt and Private Credi...

The Chief Vendor Compliance Officer will ensure excellence and timeliness in the fulfillment of the Division of Labor Services’ mandates, including communicating operational, compliance obligations and determinations to governmental partners and vendors; managing the development, implementation a...

This role will be responsible for the development and management of the overall compliance program for Strategas and serve as the firm's Chief Compliance Officer (CCO) for Strategas Securities, LLC (a broker-dealer and FINRA member firm and SEC-registered investment adviser). Manage compliance pr...

Chief Compliance Officer (New York, NY):. Ensure all investment transactions are in compliance with the underlying Fund LPAs and SMAs via an Observation role on the investment committee. This new hire will help in managing, augmenting, and implementing the firm’s compliance framework to ensure ad...

Participate in Compliance matters that emanate from other Compliance teams such as, but not limited to Central Compliance, Bank Regulatory Compliance, and Corporate Functions Compliance. Compliance Officer - Global Banking & Markets - US Compliance - Tampa, FL. Provide Compliance support for Comp...

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. Preparing or co...

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...

Client is a leading self-clearing broker-dealer, looking for a Deputy Chief Compliance Officer to join the team. Continually improve Compliance Program for relevant entity by utilizing applicable regulations, risk management techniques, and business area knowledge to maintain and test relevant po...

Having previously served in the role(s) of Chief Compliance Officer (CCO), Director of Compliance or Compliance Officer, you have specific, hands-on experience developing, implementing, and managing a full compliance program for a leading hedge fund or family office. Arootah is searching for Hedg...

Develop and deliver compliance training programs for employees to ensure understanding of compliance policies and procedures. The team is responsible for all legal and compliance matters for the Firm. The successful candidate will be part of the global team responsible for overseeing the policies...