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VP, Regulatory Examination Management Compliance Officer. The VP, Regulatory Examination Management Compliance Officer follows industry regulatory developments, applying this expertise when interacting with financial services regulators (including OCC, FRBB, SEC, CFTC, NFA, CME and FINRA) and San...

VP, Regulatory Examination Management Compliance Officer. The VP, Regulatory Examination Management Compliance Officer follows industry regulatory developments, applying this expertise when interacting with financial services regulators (including OCC, FRBB, SEC, CFTC, NFA, CME and FINRA) and San...

Compliance Officer implements a comprehensive and sustainable compliance framework to ensure the bank’s compliance with regulation and internal policy. Compliance Officer implements a comprehensive and sustainable compliance framework to ensure the bank’s compliance with regulation and internal

VP, Regulatory Examination Management Compliance Officer. The VP, Regulatory Examination Management Compliance Officer follows industry regulatory developments, applying this expertise when interacting with financial services regulators (including OCC, FRBB, SEC, CFTC, NFA, CME and FINRA) and San...

Compliance Officer implements a comprehensive and sustainable compliance framework to ensure the bank’s compliance with regulation and internal policy. Compliance Officer implements a comprehensive and sustainable compliance framework to ensure the bank’s compliance with regulation and internal

Compliance Officer implements a comprehensive and sustainable compliance framework to ensure the bank’s compliance with regulation and internal policy. Compliance Officer implements a comprehensive and sustainable compliance framework to ensure the bank’s compliance with regulation and internal

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 implements a comprehensive and sustainable compliance framework to ensure the bank’s compliance with regulation and internal policy. Compliance Officer implements a comprehensive and sustainable compliance framework to ensure the bank’s compliance with regulation and internal

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...

VP, Regulatory Examination Management Compliance Officer. The VP, Regulatory Examination Management Compliance Officer follows industry regulatory developments, applying this expertise when interacting with financial services regulators (including OCC, FRBB, SEC, CFTC, NFA, CME and FINRA) and San...

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...

Research Compliance, a line of business advisory team within Compliance, is seeking a highly motivated individual for a VP role in our New York office. In this role you will provide compliance guidance and support to the US Research team, working closely with Investment Banking, Capital Markets, ...

Fortress seeks an experienced Compliance Officer to join the Fortress Legal and Compliance Department and will report directly to the firm’s Chief Compliance Officer. Conducting additional ad hoc compliance assignments, including periodic compliance testing. The successful candidate will work wit...

Highly regarded global investment management firm is seeking a motivated compliance professional to assist its Compliance Team. The successful candidate will assist a highly collaborative team who supports the administration of Firm's Compliance policies as it relates to personal trading and empl...

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...

International Insurance/Asset Management Firm is seeking an experienced Compliance Officer to ensure adherence to ethical standards, laws, and regulations across the firm's operations in the Americas. The role involves implementing and enforcing compliance policies, reducing risk, and promoting a...

Compliance Officer - Consulting Opportunity. I am in search of a Compliance Professional with a FINRA/Financial Securities Compliance background to evaluate my client and their technology and processes. The position would pay $200/hr and the initial project would be 30-90 days with the potential ...

Compliance Officer – Investment Bank Compliance – Fixed Income Sales & Trading - Rates and FX. Support the global compliance monitoring program by providing input on the framework documents and completing verification checks as outlined the in the annual monitoring plan. Perform testing and moni

We operate a global/local Compliance model, whereby subject matter experts within Central Compliance support local Compliance Officers to ensure their programs are robust, consistent, and meet both local regulatory requirements and internal global standards. The Compliance function at OKX is resp...

The role involves implementing and enforcing compliance policies, reducing risk, and promoting a culture of compliance at all levels of the organization. International Insurance/Asset Management Firm is seeking an experienced Compliance Officer to ensure adherence to ethical standards, laws, and ...

Reporting directly to the executive leadership team, the CCO will act as the in-house expert on regulatory matters, oversee external compliance service providers, and work closely with investors, operational teams, and outside counsel. Maintain and update the firm’s Compliance Manual in response ...

Compliance Officer – Investment Bank Compliance – Fixed Income Sales & Trading - Rates and FX. Provide regulatory/compliance training; assist the Business in implementing and documenting various supervisory/control mechanisms. Support the global compliance monitoring program by providing input o

I am in search of a Compliance Professional with a FINRA/Financial Securities Compliance background to evaluate my client and their technology and processes. The position would pay $200/hr and the initial project would be 30-90 days with the potential for extension and/or a Chief Compliance Offic...

Highly regarded global investment management firm is seeking a motivated compliance professional to assist its Compliance Team. Perform personal trading surveillance to ensure compliance with our personal trading policy. The successful candidate will assist a highly collaborative team who support...

Serves as a senior compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a risk management framework that ma...

We operate a global/local Compliance model, whereby subject matter experts within Central Compliance support local Compliance Officers to ensure their programs are robust, consistent, and meet both local regulatory requirements and internal global standards. The Compliance function at OKX is resp...

The VP, Regulatory Examination Management Compliance Officer follows industry regulatory developments, applying this expertise when interacting with financial services regulators (including OCC, FRBB, SEC, CFTC, NFA, CME and FINRA) and Santander business and support functions while leading and ma...

Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM) testing team responsible for assessing compliance risks and controls implemented by the first and second line of defense. Participating in the planning, executing, and reporting of compliance testing reviews and...

Compliance Officer implements a comprehensive and sustainable compliance framework to ensure the bank’s compliance with regulation and internal policy. Compliance Officer implements a comprehensive and sustainable compliance framework to ensure the bank’s compliance with regulation and internal

Highly regarded global investment management firm is seeking a motivated compliance professional to assist its Compliance Team. The successful candidate will assist a highly collaborative team who supports the administration of Firm's Compliance policies as it relates to personal trading and empl...

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, procedures and testing of our client’s compliance program. Develop and deliver compliance training programs.

A commercial bank located in Manhattan is looking to bring on board a "Corporate Compliance Officer (AVP)" to join their compliance team. Assist in designing and maintaining an effective, risk-based compliance management system to ensure adherence to all relevant federal and state laws, re

Compliance Officer – Investment Bank Compliance – Fixed Income Sales & Trading - Rates and FX. Provide regulatory/compliance training; assist the Business in implementing and documenting various supervisory/control mechanisms. Support the global compliance monitoring program by providing input o

A leading technology-driven investment platform managing over $100B in assets, seeks an experienced Chief Compliance Officer to lead and evolve their compliance function. We're seeking a strategic compliance leader to build and oversee comprehensive regulatory frameworks across multiple business ...

International Insurance/Asset Management Firm is seeking an experienced Compliance Officer to ensure adherence to ethical standards, laws, and regulations across the firm's operations in the Americas. The role involves implementing and enforcing compliance policies, reducing risk, and promoting a...

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...

Research Compliance, a line of business advisory team within Compliance, is seeking a highly motivated individual for a VP role in our New York office. Independently manage projects necessary to support initiatives both within Global Research Compliance and the broader Compliance Department; and ...

JCW is partnering with a local Commercial Bank in the NYC area who is looking to bring on a new Compliance Officer to their team. Advise Senior Management of the bank on relevant Compliance topics including regulatory changes and compliance best practices. Assisting with the development and imple...

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...

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...

The Chief Compliance Officer (CCO) is responsible for ensuring Bank compliance with all applicable regulations as well as internal compliance policies and procedures. Amalgamated Bank seeks a Chief Compliance Officer (CCO) who will be r eporting to the Chief Legal Officer. Minimum 5+ years of exp...

Experience with compliance testing, risk assessments, and corrective action planning. Proficiency in Microsoft Office Suite for reporting and compliance documentation. Oversee and maintain a strong Compliance Management System (CMS) across all levels of the organization.

Support the Chief Compliance Officer in all aspects of the firm's compliance program, including:. You will report directly to our Chief Compliance Officer and primarily be responsible for compliance monitoring and testing, drafting and maintaining firm policies and procedures, and assisting with ...

Maternity cover position to serve as the lead US compliance officer for a ~$100bn alternatives house. Reporting to the Group Compliance Director in EMEA, the role holder will advise private fund portfolio managers and the SMA advisory business on ongoing regulatory obligations (Investment Advisor...

The AML Compliance Risk Management Senior Officer is a senior level position responsible for establishing internal procedures to prevent money laundering and assist in all matters concerning financial crimes in coordination with the broader AML team. Maintain AML compliance program for the busine...

The Senior Compliance Officer will support the Alternative business. Ensure timely escalation, evaluation, investigation, and resolution of compliance issues. Legal or compliance experience with knowledge of the Investment Advisers Act, Investment Company Act, and other regulations for investment...

Top-Tier Financial Services Firm in Midtown, Manhattan is seeking a Compliance Officer for their Fixed Income space! Responsibilities: * Conduct compliance training for new and existing regulations ...

International Insurance/Asset Management Firm is seeking an experienced Compliance Officer to ensure adherence to ethical standards, laws, and regulations across the firm's operations in the Americas