Compliance Officer ViseCompliance OfficerNew York, NY$110,000–$130,000 / yearVise is the outsourced sub-advisor, doing trading, rebalancing, and managing client portfolios fully automated on the advisor's behalf; Vise charges an AUM fee for its services. Our platform empowers advisors to create institutional-grade, personalized portfolios, automate their management, and explain valuable insights that enhance their expertise and service to clients.
Compliance Officer Vise AICompliance OfficerNew York, NY$110,000–$130,000 / yearVise is the outsourced sub-advisor, doing trading, rebalancing, and managing client portfolios fully automated on the advisor's behalf; Vise charges an AUM fee for its services. Our platform empowers advisors to create institutional-grade, personalized portfolios, automate their management, and explain valuable insights that enhance their expertise and service to clients.
Compliance Officer - AI Lab Support MercorCompliance Officer - AI Lab SupportNew York, New YorkRemoteDiagnose and solve real issues in your domain to advance research and infrastructure for next-generation machine learning systems . For details about the interview process and platform information, please check: https://talent.docs.mercor.com/welcome.
Avp, Fixed Income Compliance Officer Jefferies Financial Group Inc.Avp, Fixed Income Compliance OfficerNew York, NY$120,000–$140,000 / yearThe successful candidate will assist with compliance reporting, metrics, dashboards, monitoring, data analysis, and process improvements, while supporting the broader team on regulatory and advisory matters. Assist with compiling and analyzing data related to U.S. Rates, Credit products, primary dealer activities, Treasury auctions, certifications, disclosures, and other fixed income regulatory requirements.
Senior Lead Compliance Officer - Prime Brokerage & Equities Wells Fargo & CoSenior Lead Compliance Officer - Prime Brokerage & EquitiesNew York, NY$191,000–$305,000 / yearDeep expertise in broker-dealer compliance frameworks with a strong focus on Equities Finance activities, including Knowledge of rules and regulations applicable to short sales, securities lending, portfolio margining, listed options position limits, Large Options Position Reporting, electronic blue sheets, Regulation T, and SEC Rule 15c3-3. The Senior Lead Compliance Officer will provide compliance coverage for Prime Brokerage, while extending support across Cash Equities and broader broker-dealer activities, partnering closely with business leadership to deliver regulatory guidance, governance oversight, and strategic direction as the platform scales.
Marketing Compliance Officer Oppenheimer & Co. Inc.Marketing Compliance OfficerNew York, NY$90,000–$125,000 / yearWith roots tracing back to 1881, the Company is engaged in a broad range of activities in the financial services industry, including retail securities brokerage, institutional sales and trading, investment banking (both corporate and public finance), equity & fixed income research, market making, trust services and investment advisory and asset management services. Understanding of wealth management and investment advisory products, including “wrap fee” separate account programs, private and registered investment funds, as well as the regulatory landscape of investment advisers and broker-dealers.
Compliance Officer Schonfeld Strategic Advisors LLCCompliance OfficerNew York, NY$200,000–$250,000 / yearYou will need to be familiar with non-equity market mechanics, including trading venue rules and operations across asset classes such as futures, fixed income, credit, rates, FX, commodities, volatility, and equity index derivatives. Providing compliance advice and training to investment personnel on their activities; including managing the flow of live trading queries and responding in a timely risk-based fashion.
NewFixed Income Compliance Officer, Vice President - Securitized Products and Rates Morgan StanleyFixed Income Compliance Officer, Vice President - Securitized Products and RatesNew York, New YorkIn-depth understanding of Securitized Products suite including agency and non-agency securities (ABS, RMBS, CMBS, CLO, CMO), swaps and security-based swaps, residential mortgage loan trading and securitization, commercial mortgage origination and securitization and consumer loans. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren’t just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries.
Fixed Income Compliance Officer, Vice President - Securitized Products And Rates Morgan StanleyFixed Income Compliance Officer, Vice President - Securitized Products And RatesNew York, NY$120,000–$205,000 / yearIn-depth understanding of Securitized Products suite including agency and non-agency securities (ABS, RMBS, CMBS, CLO, CMO), swaps and security-based swaps, residential mortgage loan trading and securitization, commercial mortgage origination and securitization and consumer loans. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren't just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries.
Senior Lead Compliance Officer - CIB Wells Fargo & CoSenior Lead Compliance Officer - CIBNew York, NY$191,000–$305,000 / yearThey are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. Expert-level knowledge of compliance program operations including compliance risk assessment, compliance monitoring programs, compliance issues management, and compliance risk data architecture and technology platforms commensurate with large financial institution independent risk management programs.
Senior Compliance Officer, FCM Advisor (Vn2537) Marex Group, Plc.Senior Compliance Officer, FCM Advisor (Vn2537)New York, NY$150,000–$180,000 / yearThe 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. Purpose of Role: Marex is seeking a Senior Compliance Officer - FCM Advisor who will provide compliance advisory services for FCM as well as related Introducing Brokers (IBs), Guaranteed Introducing Broker (GIBs), and Swap Dealers.
AVP, Fixed Income Compliance Officer Jefferies Financial Group IncAVP, Fixed Income Compliance OfficerNew York, NY$120,000–$140,000 / yearThe successful candidate will assist with compliance reporting, metrics, dashboards, monitoring, data analysis, and process improvements, while supporting the broader team on regulatory and advisory matters. Jefferies is a leading global, full-service investment banking and capital markets firm that provides advisory, sales and trading, research, and wealth and asset management services.
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.
Compliance Officer Michael Page InternationalCompliance OfficerNew York, New York$90,000–$110,000 / yearFull timeAssess sanctions screening alerts arising from international wire activity, SWIFT messages, correspondent and intermediary banking transactions, cover payments, applicable trade finance activity, and parties associated with correspondent banking relationships. Detect and assess indicators that may point to sanctions evasion or circumvention, including opaque ownership arrangements, connections to sanctioned jurisdictions, complicated payment routes, intermediary entities, unusual payment descriptions, and vessel or trade-related warning signs.
Capital Markets, Senior Compliance Officer Bank of MontrealCapital Markets, Senior Compliance OfficerNew York, NY$81,400–$151,800 / yearThe role provides compliance advisory services, coordinates and performs ongoing risk assessment, monitoring and surveillance activities to ensure that the Compliance Program remains current and aligned with the Firm's Enterprise-wide Compliance Program. This role provides real-time guidance to Capital Markets management on implications of new regulatory policies or Bank products and assists in the implementation of new or revised policies and programs to address them.
Compliance Officer, Broker-Dealer Advisor (Equities And Options) (Vn2750) Marex Group, Plc.Compliance Officer, Broker-Dealer Advisor (Equities And Options) (Vn2750)New York, NY$150,000–$185,000 / yearPurpose of Role: Marex is a seeking a Broker-Dealer Compliance Advisor (focusing on Equities and Options) who is meant to be a subject matter expert in U.S. Broker-Dealer regulation providing compliance advisory services, with a strong background on Equities and 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.
Co-Founder & CEO - AI Clinical Documentation Compliance FutureSight VenturesCo-Founder & CEO - AI Clinical Documentation ComplianceNew York, New York$80–$85 / hourYou’ll co-create with a proven studio team, led by John Carbrey (4x entrepreneur, $100M ARR), Krista LaRiviere (3x exited, E&Y Top Women Entrepreneur), Alan Smith (Strategyzer co-founder, $120M in products built), Prathna Ramesh (former MD of Maple Leaf Angels, $275M in follow-on capital), and Johnny Tong (0-to-1 builder, acquired by SAP and Stripe) bring a rare combination of operator exits, institutional investing, and AI product depth. The market signal is incredibly strong: Unprompted Product Pull: Every single lead described the exact product we want to build: a pre-billing, real-time, EHR-integrated flagging layer that checks documentation against payer-specific rules before claims are submitted.
Legal & Compliance Department - COO Office Intern Bank of ChinaLegal & Compliance Department - COO Office InternNew York, New YorkInternOur long-term outlook, institutional weight and global breadth provide our clients with a stable and reliable financial partner, whether in Corporate or Personal Banking or our Trade Services, Commodities, Financial Institutions and Global Markets lines of business. Responsibilities: Job responsibilites include but are not limited to: Resources management – fixed assets related, including purchase, write off, replacement, annual check, relocation, etc.
Legal & Compliance Department - COO Office Intern Bank of China Limited, New York BranchLegal & Compliance Department - COO Office InternNew York, New YorkInternOur long-term outlook, institutional weight and global breadth provide our clients with a stable and reliable financial partner, whether in Corporate or Personal Banking or our Trade Services, Commodities, Financial Institutions and Global Markets lines of business. Responsibilities: Job responsibilites include but are not limited to: Resources management – fixed assets related, including purchase, write off, replacement, annual check, relocation, etc.
Marketing Compliance Officer Oppenheimer Holdings IncMarketing Compliance OfficerNew York, NY$90,000–$125,000 / yearWith roots tracing back to 1881, the Company is engaged in a broad range of activities in the financial services industry, including retail securities brokerage, institutional sales and trading, investment banking (both corporate and public finance), equity & fixed income research, market making, trust services and investment advisory and asset management services. Understanding of wealth management and investment advisory products, including wrap fee separate account programs, private and registered investment funds, as well as the regulatory landscape of investment advisers and broker-dealers.