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You will be part of the Legal & Compliance team supporting the General Counsel, Chief Compliance Officer and other team members. Assist in maintaining and organizing legal and compliance records, both physical and electronic. Even planning/organization for Legal & Compliance team off-site meetings,

Reporting to the Chief Compliance Officer, you will partner with trading, risk, and technology to strengthen the firm's compliance program across products and markets. Flow Traders is seeking a Compliance Officer in New York to support our multi-asset, fast-paced trading environment. You will contri

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

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

Compliance Framework - Support the Head of the Compliance department in implementing and maintaining a robust Compliance Monitoring Programme to ensure adherence to all applicable regulations. As a Compliance Officer (Investment Products), you'll play a key role in ensuring our compliance with all a

Three years' experience in compliance, regulatory, or investigative capacity. The incumbent will report to the Deputy Director, Compliance and with wide latitude for independent judgment will perform the following job responsibilities, which include and are not limited to:. Work closely with the Dep

Branch Examiner / Compliance Officer. Location: Jersey City, NJ Duration: 11+ Weeks Daily Responsibilities: The Branch Inspection Program is one pillar of the US Broker-Dealer Shared Services team responsible for reviewing for compliance with FINRA Rules 3110 and 3120, NFA Rule 2-9, MSRB Rule G-27,

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 with o

Compliance Professional to join our Compliance Department in New York. Review marketing and advertising materials for proprietary and third-party funds and advisory programs to ensure compliance with the applicable FINRA and SEC marketing rules for the dually registered broker-dealer and investment

The TD Securities Compliance team is seeking a Senior Compliance Officer (Associate-level) to join the Surveillance Data Quality Team. The Senior Compliance Office provides advice, guidance and support to business units in adhering to regulatory/compliance requirements and assists in implementing co

Polymarket is hiring an AML Compliance Officer to oversee and implement our Anti-Money Laundering (AML) and Counter-Terrorist Financing (CTF) compliance program. Polymarket Aml Compliance Officer. Develop, implement, and maintain AML/CTF policies, procedures, and internal controls for both the DCM a

The incumbent will report to the Deputy Director, Compliance and with wide latitude for independent judgment will perform the following job responsibilities, which include and are not limited to:. Work closely with the Deputy Director to ensure agency accountability and compliance with New York City

Assist the Compliance Manager, Senior Compliance Officer, and Risk Assessment team with the evaluation of compliance testing program and processes. Works with Senior Compliance Officer, Compliance Manager to maintain audit tracking logs and other tracking reports as deemed necessary. Position is res

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)

The Role: We are seeking an experienced and detail-oriented Advertising Compliance Officer to join our compliance team and support our fast-growing active trading division. Advertising Compliance Officer. The Advertising Compliance Officer is role is pivotal in ensuring that all marketing and advert

The Office of the Agency Chief Contracting Officer is seeking a highly motivated and detail-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 with

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 (Analyst-Level) to join our Compliance Control Room, focusing on portfolio management of the

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

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. Lead day-to-day management of the trade compliance program. Oversee pre- and post-trad

Apollo is seeking a Compliance Officer to join its Financial Crimes Compliance (FCC) team, whose mission is to prevent, detect, and address illicit financial activity across the firm. The Compliance Officer will also help establish a compliance program for its digital assets business, including clos

The Virtu Legal and Compliance team is looking for an experienced, self-driven Compliance Officer to join the team. The Compliance Officer will play an important role in shaping Virtu's Compliance function through innovation, analytical thinking and a desire to improve upon existing processes. The C

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

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. Morgan Stanley Senior Compliance Officer. Providing compliance advice to front office busi

If you're a team player, have brilliant attention to detail and want to work in an international environment specialised in financial markets, come and join our team! The Compliance team seeks a junior compliance officer whose duties will include:. Supervise compliance with laws, regulations, compli

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. Assist with developing and executing the annual Compliance Testing and Moni

Support Chief Compliance Officers (CCOs) in administering RIA compliance programs, including:. Guggenheim Investments is currently seeking a Senior Compliance Officer to support the regulatory oversight of complex fixed income products and registered investment adviser (RIA) programs. Given the over

This Compliance Officer is a key member of the TDS US Compliance Regulatory Initiatives Team and U. Experience as bank regulatory compliance SME either within Compliance or Legal at complex financial services institution. Wholesale Compliance focused on remediation and program development and improv

As a Compliance Officer in the Control Room, you will oversee controls designed to mitigate conflicts of interest and protect confidential information. Collaborate effectively with peers and immediate leadership to support consistent application of compliance controls. An S&P Global employee at this

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.

Responsible for reviewing and approving US-facing marketing and advertising materials to ensure compliance with FINRA Rule 2210, applicable SEC requirements, and AllianzGI internal marketing compliance standards. Assess performance presentations, testimonials, endorsements, and third-party ratings f

The Office of the Agency Chief Contracting Officer is seeking a highly motivated and detail 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 with

Broker-dealer compliance or related regulatory functions, with knowledge of SEC and Client requirements. Managing the regulatory calendar and tracking obligations to ensure compliance with DEA, Client, and SEC requirements. Overseeing the documentation lifecycle for membership applications and ensur

The Senior Compliance Officer develops and maintains compliance policies, processes, and training, and serves as the organization's primary point of contact for state licensing agencies, external auditors, and board members regarding compliance filings and governance records. The Senior Compliance O

Branch Examiner / Compliance Officer. Location: Jersey City, NJ Duration: 11+ Weeks Daily Responsibilities: The Branch Inspection Program is one pillar of the US Broker-Dealer Shared Services team responsible for reviewing for compliance with FINRA Rules 3110 and 3120, NFA Rule 2-9, MSRB Rule G-27,

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

Jefferies is looking to hire a Compliance Officer into its Global Control Group, IB and Research Compliance team. Advise Research Analysts and Investment Bankers regarding Compliance issues related to Research product and Investment Banking transactions. Participate in additional projects to enhance