NewHead Of Broker Dealer Compliance, Americas And Chief Compliance Officer (Vn2908) Marex Group, Plc.Head Of Broker Dealer Compliance, Americas And Chief Compliance Officer (Vn2908)New York, NY$290,000–$335,000 / yearThe Head of Broker Dealer Compliance is an expert in Broker Dealer regulation that leads a team of compliance officers in providing compliance advisory services for Equities, Fixed Income, Listed Options trading activities as well as knowledge of various regulatory reporting requirements. The depth of knowledge amongst its teams and divisions provides its customers with clear advantage, and its technology-led service provides access to all major exchanges, order-flow management via screen, voice and DMA, plus award-winning data, insights, and analytics.
Senior Compliance Officer, Trade Surveillance - Vn2849 Marex Group, Plc.Senior Compliance Officer, Trade Surveillance - Vn2849New York, NY$125,000–$175,000 / yearThe role will primarily focus on Trade Surveillance (Trade Activity and Communications) across a range of asset classes (Cash Equity, Fixed Income, Commodities, Derivatives (Futures, Options, Swaps)) on multiple exchanges, trading platforms and venues with an opportunity to gain exposure to a wider range of compliance activities at a market-leading firm. The depth of knowledge amongst its teams and divisions provides its customers with clear advantage, and its technology-led service provides access to all major exchanges, order-flow management via screen, voice and DMA, plus award-winning data, insights and analytics.
Chief Programs Officer Special Citizens Futures UnlimitedChief Programs OfficerRiverdale, NYJoin our team at SCFU as the Chief Programs Officer (CPO), overseeing residential, day, community/respite programs, and clinical coordination. Interpersonal Communication and Stakeholder Engagement: Build effective relationships and represent the organization.
Senior Compliance Officer, Investments Compliance American International Group Inc (AIG)Senior Compliance Officer, Investments ComplianceParsippany, NJWorking knowledge of NY, DE and PA U.S. State insurance investment regulation, along with NAIC Model Laws - Investments of Insurers Model Act; background understanding of the Investment Advisers Act of 1940 and the Investment Company Act of 1940 is a plus. The ideal candidate will have extensive regulatory asset management experience with a focus on U.S. domiciled insurance companies and will work closely with the Chief Compliance Officer in the day-to-day execution of the compliance program.
Compliance Officer FLOW TRADERSCompliance OfficerNew York, NY$95,000–$130,000 / yearSupport the broader employee compliance program, including in the areas of employee onboardings/terminations, personal trading, outside business activities, gifts and entertainment, political contributions, exchange registrations, social media, electronic communications, and continuing education. All resumes, and any other information identifying potential candidates, submitted to any employee at Flow Traders via-email, the Internet or directly without a valid and signed search agreement will be deemed free to contact by Flow Traders without any restrictions and no placement fee of any kind will be paid in the event the candidate is hired by Flow Traders.
Compliance Officer - Trade Surveillance Chicago Trading CompanyCompliance Officer - Trade SurveillanceNew York, NY$150,000–$200,000 / yearAs a Compliance Officer, you will report to the Chief Compliance Officer and handle various tasks supporting the firm's global compliance operations, focusing on securities and futures trade surveillances for all CTC trading affiliates globally. Candidates should have at least 8 years of experience in a compliance function that directly supports a professional trading business, or at least 3 years in a compliance function that supports a professional trading business and 5 additional years in non-compliance roles in financial services.
Compliance Officer FirstService ResidentialCompliance OfficerHighland Lakes, NJ$18–$20 / hourFull timeRequesting Information About the AEDT - NYC Local Law 144: Candidates who reside in New York City and are subject to NYC Local Law 144 may request information about the AEDT, including details on the type of data collected, the sources of such data, and our data retention policies. May participate in any variety of meetings and work groups to integrate activities, communicate issues, obtain approvals, resolve problems and maintain specified level of knowledge pertaining to new developments, requirements, policies, and regulatory guidelines.
NewRemote Public Compliance Officer TuringRemote Public Compliance OfficerNew York, New YorkRemote$100–$150Turing supports customers in two ways: first, by accelerating frontier research with high-quality data, advanced training pipelines, plus top AI researchers who specialize in coding, reasoning, STEM, multilinguality, multimodality, and agents; and second, by applying that expertise to help enterprises transform AI from proof of concept into proprietary intelligence with systems that perform reliably, deliver measurable impact, and drive lasting results on the P&L. Turing is looking for candidates with strong experience in government and regulatory compliance, particularly at the level expected for compliance officers, auditors, legal analysts, or public policy professionals working within or alongside public institutions.
Security Officer Patrol Compliance Allied UniversalSecurity Officer Patrol ComplianceNewark, NJAs an Unarmed Security Officer at a financial institution, you will monitor and patrol assigned areas, maintain a visible presence to help deter security-related incidents, and deliver exceptional customer service. Conduct regular and random unarmed patrols of office spaces, entry points, parking areas, and the surrounding perimeter to help to deter unauthorized activity and identify security-related concerns.
Corporate Vice President - Compliance Officer New York Life Insurance CoCorporate Vice President - Compliance OfficerNew York, NY$135,000–$160,000 / yearThe AML function supports a diverse portfolio of businesses, including life and annuity products, retail broker-dealer and investment advisory services through NYLIFE Securities and Eagle Strategies, mutual funds and distributor relationships, and oversight of affiliated U.S. and international asset management businesses. The AML Compliance Officer will serve as a key member of the AML leadership team - supporting the Enterprise AML Compliance Officer across program strategy, policy, sanctions compliance, transaction monitoring, training, and regulatory readiness, while taking meaningful ownership of key program components.
Deputy Chief Compliance Officer StoneX Group IncDeputy Chief Compliance OfficerNew York, NY$120,000–$170,000 / yearInstitutional: Immerse yourself in the best-in-class institutional-grade technology, working alongside industry experts and gaining exposure to various asset classes, such as equities, options, fixed income securities, and advanced trading, research, and management technology. As a Fortune 100, Nasdaq-listed provider, we connect clients to the global markets - focusing on innovation, human connection, and providing world-class products and services to all types of investors.
Compliance Officer Sixth Street Specialty Lending IncCompliance OfficerNew York, NY$175,000–$200,000 / yearOur firm is designed for cross-platform collaboration at scale: we build businesses, invest for growth, acquire assets, provide direct financing, identify value in public markets, purchase royalty streams, and regularly develop first-of-their-kind structures to meet the strategic objectives of management teams. The Compliance Officer will also drive key compliance-related projects and initiatives, including those pertaining to Sixth Street's Global Capital Markets platform, compliance testing, training, regulatory filings, and designing, implementing and advising on policies and procedures.
Director, Compliance Columbia UniversityDirector, ComplianceNew York, NY$150,000–$160,000 / yearThe Director contributes to the success of CUIMC's mission provides strategic direction and operational leadership for a team of compliance professionals, supports provider education and dispute resolution, and partners closely with Revenue Cycle, Clinical Departments, Legal, and Leadership to mitigate risk and promote compliant billing practices across a large academic medical center. Expert knowledge of the General Compliance Program Guidance issued by the HHS OIG and the DOJ's Evaluation of Corporate Compliance Programs, as well as fraud, waste, and abuse laws (Stark Law, Anti-Kickback Statute, False Claims Act).
Chief Compliance Officer, Swap Dealer FalconXChief Compliance Officer, Swap DealerNew York City, NY$191,000–$252,000 / yearOperating at the intersection of traditional finance and cutting-edge technology, FalconX addresses the industry''s foremost challenges: Navigating the digital asset market can be complex and fragmented, with limited products and services that support trading strategies, structures, and liquidity found in conventional financial markets. This person will advise internal stakeholders on implementation and development of CFTC, and NFA swap dealer requirements, including day-to-day oversight and program enhancements relating to policies and procedures, employee training, risk assessments, issues management, governance and management reporting, and metrics.
Deputy Chief Compliance Officer Stonex GroupDeputy Chief Compliance OfficerNew York, NY$120,000–$170,000 / yearInstitutional: Immerse yourself in the best-in-class institutional-grade technology, working alongside industry experts and gaining exposure to various asset classes, such as equities, options, fixed income securities, and advanced trading, research, and management technology. As a Fortune 100, Nasdaq-listed provider, we connect clients to the global markets – focusing on innovation, human connection, and providing world-class products and services to all types of investors.
Chief Compliance Officer NovigChief Compliance OfficerNew York City, New York$275,000–$325,000 / yearEnergized by partnering cross-functionally with Information Security (cybersecurity and systems controls), Surveillance (market monitoring and abuse prevention), Finance and Regulatory Finance (financial resource requirements and reporting), Legal (regulatory interpretation and external counsel coordination), and Engineering and Product to embed regulatory requirements directly into systems and workflows. Prepared to serve as the primary internal owner of the compliance framework, with the authority and judgment to identify issues, recommend solutions, and escalate matters to the Chief Regulatory Officer when appropriate.
Senior Compliance Officer - Capital Markets PJT PartnersSenior Compliance Officer - Capital MarketsNew York, NY$175,000–$200,000 / yearOur team of senior professionals delivers a wide array of strategic advisory, shareholder advisory, restructuring and special situations and private fund advisory and placement services to corporations, financial sponsors, institutional investors and governments around the world. We also provide, through PJT Park Hill, private fund advisory and fundraising services for alternative investment managers, including private equity funds, real estate funds and hedge funds.
Senior Compliance Officer - Monitoring and Testing (Associate) - TD Securities (US) TD BankSenior Compliance Officer - Monitoring and Testing (Associate) - TD Securities (US)New York, New YorkTotal Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions.
NewDirector, Compliance Regulatory Futu SecuritiesDirector, Compliance RegulatoryJersey City, NJstands at the forefront of financial services, housing two SEC registered broker-dealers alongside a cryptocurrency brokerage - all operating under the reputable wing of Futu Holdings Limited (Nasdaq: FUTU). Maintain a thorough understanding of clearing and settlement processes, securities movements, securities lending, customer account activity, margin requirements, books and records requirements, and operational controls.
US Analyst - AML / OFAC Compliance Officer Credit Agricole SAUS Analyst - AML / OFAC Compliance OfficerNEW YORK, NYThe position's main responsibilities are centered on the following: reviewing and validating high risk KYC files, and providing AML and/or sanctions related guidance to the Bank's staff on proposed transactions. Assist to provide guidance to Front Office and Support staff on AML specific queries concerning proposed customers and/or transactions.