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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...

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 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...

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

Manage outsourced compliance services (currently provided by ACA) and ensure seamless collaboration. Provide strategic guidance to senior leadership on potential compliance risks and evolving regulatory requirements. Ensure all investment transactions are in compliance with the underlying Fund LP...

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...

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 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

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;. In this role, this individual will work clo...

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, ...

In order to foster its global expansion, we are currently looking for a Chief Compliance Officer (m/f/d). Build out and lead the global compliance and licensing department at the company, basically from scratch. The goal is to position the company as best in class when it comes to regulatory comp...

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...

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...

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

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...

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 ...

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...

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. General administration of the Fortress...

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 ...

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 Officer role within the organization. I am in search of a Compliance Professional with a FINRA/Financial Securities Compliance background to evaluate my client and...

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

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...

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...

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. This role will lead the US Compliance ...

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

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...

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...

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...

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...

Compliance Officer – Investment Bank Compliance – Fixed Income Sales & Trading - Rates and FX. Strong written and verbal communication and presentation skills, with the ability to effectively influence others and engage senior stakeholders and foster collaboration among Compliance, the Business

VP, Regulatory Examination Management Compliance OfficerNew York, United States of AmericaUSA Job Family Description: The VP, Regulatory Examination Management Compliance Officer follows industry regulatory developments, applying this expertise when interacting with financial services regulators ...

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 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 p...

A commercial bank located in Manhattan is looking to bring on board a "Corporate Compliance Officer (AVP)" to join their compliance team. Assist with management committee reporting by compiling Compliance Program information and providing detailed status updates. Review and approve marketi

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, ...

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.

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...

A leading technology-driven investment platform managing over $100B in assets, seeks an experienced Chief Compliance Officer to lead and evolve their compliance function. The ideal candidate will combine deep regulatory knowledge with an innovative mindset to support rapid business growth while m...

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.

Amalgamated Bank is seeking a Compliance Officer to assist the Consumer Compliance Officers to ensure the Banks loan, deposit products and services maintain compliance with federal and state regulations, as well as all Bank compliance-related policies and procedures. Work with other Compliance Of...

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

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 regulatory examinations and audits. Support the Chief Compliance Officer in all aspects of the fir...

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. This position will be focused within the...

Maternity cover position to serve as the lead US compliance officer for a ~$100bn alternatives house. The business has a diverse portfolio including private debt, credit, real estate & infrastructure ...

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 Senior Compliance Officer will support the Alternative business. This includes investments in Direct Real Estate, Infrastructure Debt, and Private Credit. Role Details: * Create policies and ...