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We are seeking an ADA Compliance Specialist with expertise in web development to ensure our digital products comply with the Americans with Disabilities Act (ADA) Web Content Accessibility Guidelines (WCAG) and other accessibility standards. Conduct accessibility audits and evaluations of website...

An ideal candidate will have relevant experience at a similar organization with senior compliance responsibilities or is a current chief compliance officer. A prestigious and well-established asset manager and broker-dealer, with a growing portfolio of private equity funds, is seeking a dynamic C...

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....

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...

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 ...

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....

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....

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...

An ideal candidate will have relevant experience at a similar organization with senior compliance responsibilities or is a current chief compliance officer. A prestigious and well-established asset manager and broker-dealer, with a growing portfolio of private equity funds, is seeking a dynamic C...

Step into a pivotal role with our client as a Compliance Officer in New York, NY. Responsibilities as the Compliance Officer:. Manage the firm's compliance program, including policies, the Code of Ethics, and the Regulatory Compliance Manual.

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 Senior Compliance Office provides advice, guidance and support to business units in adhering to regulatory/compliance requirements and assists in implementing compliance initiatives to help manage regulatory risk. Participate in special projects as they arise to enhance compliance functions. ...

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...

Department: Compliance - Registrations Compliance. Maintain training completion logs and send reminders to representatives, supervisors, and compliance officers. Job Title: Registration Compliance Officer.

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/...

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

Job Title: Registration Compliance Officer. Maintain training completion logs and send reminders to representatives, supervisors, and compliance officers. The Registrations Compliance Officer is responsible for maintaining accurate and complete Client and CFTC/NFA registrations for Registered Rep...

We are seeking a highly motivated Senior Compliance Officer/Regulatory Counsel to join our compliance team in the investment funds/dedicated managed accounts sector. Establish and maintain controls and frameworks to monitor compliance with SEC and CFTC and other applicable regulatory bodies. Inve...

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

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...

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...

AFC Compliance Officer (AFC & Compliance Officer). As a/an AFC & Compliance officer, you will (be):. Hereto the team advises and works with the DWS business to implement appropriate systems and implement controls in compliance with global and divisional procedures to prevent financial crime at DW...

Company is seeking a highly skilled and experienced Anti-Money Laundering Compliance Officer (AMLCO) to lead our AML compliance program. Minimum of 7-10 years of experience in financial compliance, with at least 5 years in AML compliance for broker-dealers. Anti-Money Laundering Compliance Office...

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

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 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. Partner with other Compliance teams, including CMG, Transversal, Financial Se...

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...

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...

Will be responsible for maintaining compliance with policies and procedures related to equities trading according to FINRA and SEC regulations.

The Senior Compliance Officer provides advice, guidance and support to business units in adhering to regulatory/compliance requirements and assists in implementing compliance initiatives to help manage regulatory risk. Provide compliance advisory coverage for the markets advisory team with focus ...

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 matters...

Quickly escalate matters to supervisors, compliance advisory should there be evidence of non-compliance. Registrations Compliance Officer. Update and distribute list to senior management, supervisors, business management & compliance advisory on a monthly basis.

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....

As we continue to expand our reach, we are seeking a skilled Compliance Officer to join our Compliance Team to assist in the expansion and enhancement of our Compliance Program. Experience working in compliance at a broker dealer, clearing firm, or regulator. This is a prime opportunity for someo...

Analyze and report compliance information to Compliance and business/group management. Analyze and report compliance information to Compliance and business/group management. Recognized compliance certificate or equivalent preferred.

The Investments Compliance team is actively seeking a Compliance Officer who will execute the compliance program related to securities laws prohibiting transactions based on material non-public information ("MNPI"). In addition, the Compliance Officer will be responsible for ongoing execution of ...

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 ...

Cerberus is seeking an analytical and collaborative attorney who is interested in serving as a compliance officer and associate general counsel. The role will involve participation in all stages of the investment lifecycle including pre-acquisition diligence, advising companies in the adoption of...

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...

Acting as a senior compliance officer and Compliance team leader supporting Scotiabank US sales and trading businesses and coordinating with other Compliance officers outside the U. Relevant compliance experience, including policies and procedures development, the provision of compliance training...

AFC Compliance Officer (AFC & Compliance Officer). As a/an AFC & Compliance officer, you will (be):. Support in the coordination with DWS Compliance teams regionally and globally as required.

As an compliance officer in this role, you will:. In addition to core duties performed as a member of the AML team, this role will involve coordination with others in the Legal & Compliance (L&C) division who cover matters related to Fund administration & Investor Services. Experience with Alloy,...

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...

The Senior Compliance Officer provides advice, guidance and support to business units in adhering to regulatory/compliance requirements and assists in implementing compliance initiatives to help manage regulatory risk. Provide compliance advisory coverage for the markets advisory team with focus ...

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

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. The role dual reports to the Deputy Chief Compliance Officers for KKR Private Markets and KKR Public Markets. ...