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.
Compliance Officer - New Jersey Centene Corporation GroupCompliance Officer - New JerseyNJRemote$148,000–$274,200 / yearDevelop strategic relationships with agencies within the New Jersey Department of Human Services and other state regulatory policymakers with oversight responsibility for Managed Care organizations, Medicare and Medicaid initiatives. Chair or support market compliance committees and provide regular reporting to market and enterprise leadership regarding risks, trends and remediation activities.
Chief Risk & Compliance Officer Michael Page InternationalChief Risk & Compliance OfficerNew York, New York$300,000–$400,000 / yearFull timeTrack record of building and leading high-performing teams in evolving organisations. Design and implement a firmwide risk management architecture, including governance, appetite setting, and reporting.
Senior Compliance Officer Franklin ResourcesSenior Compliance OfficerNew York, NY$150,000–$200,000 / yearWe also offer a comprehensive benefits package, which includes a range of competitive healthcare options, insurance, and disability benefits, employee stock investment program, learning resources, career development programs, reimbursement for certain education expenses, paid time off (vacation / holidays / sick / leave / parental & caregiving leave / bereavement / volunteering / floating holidays) and a motivational wellbeing program. The successful candidate will support the firm's compliance program across registered private equity funds, private debt funds, and exchange-traded funds (ETFs), ensuring adherence to applicable regulatory requirements and internal policies.
Compliance & Grant Reporting Officer Sre Engineering DpcCompliance & Grant Reporting OfficerNew York, New York$115,000–$150,000 / yearCore Responsibilities BABA Mastery: Ensure all procurement adheres to the Build America, Buy America Act , specifically managing the 55% domestic content rules and navigating complex EPA Clean Ports Waivers (including the 5% De Minimis and 15% Supplemental waivers). Audit Readiness: Manage the project’s digital "Paper Trail" using ArcGIS Hub or similar Project Management Information Systems (PMIS) to ensure all documentation is centralized and audit-ready at a moment's notice.
Junior Compliance Officer (Operations, Junior Analyst) The MIL CorporationJunior Compliance Officer (Operations, Junior Analyst)New York, NY$35,000–$48,000 / yearAssociates degree in Business, Accounting, Finance, Information Systems, Criminal Justice, or a related field is required; Bachelors degree in Business, Accounting, Finance, Information Systems, Criminal Justice, or a related discipline is preferred. The role assists in reviewing employment eligibility documentation, conducting database research, and preparing audit-ready case files and reports that support administrative enforcement actions and related determinations.
Compliance Officer CareerscapeCompliance OfficerNew York City, NY$95,000–$145,000 / yearFull timeThis role is ideal for candidates looking to grow in compliance, risk management, internal audit, regulatory operations, legal operations, financial services compliance, corporate governance, or business controls. This role will support compliance operations, regulatory monitoring, internal policies, documentation, risk controls, audits, and day-to-day compliance processes for a growing U.S.-based organization.
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.
Svp, Chief Credit Risk Officer Cross RiverSvp, Chief Credit Risk OfficerFort Lee, NJ$280,000–$350,000 / yearReporting to the Chief Risk and Compliance Officer, this leader will be responsible for enhancing and maintaining the credit risk framework, setting risk appetite, and ensuring sound credit decision-making as we scale our lending products and partnerships. Cross River is seeking a seasoned and strategic Chief Credit Risk Officer to lead and oversee all aspects of credit risk management across the Bank including Fintech Banking, Commercial Banking, and Principal Finance Group.
SVP, Chief Credit Risk Officer Cross RiverSVP, Chief Credit Risk OfficerFort Lee, NJ$280,000–$350,000 / yearReporting to the Chief Risk and Compliance Officer, this leader will be responsible for enhancing and maintaining the credit risk framework, setting risk appetite, and ensuring sound credit decision-making as we scale our lending products and partnerships. Cross River is seeking a seasoned and strategic Chief Credit Risk Officer to lead and oversee all aspects of credit risk management across the Bank including Fintech Banking, Commercial Banking, and Principal Finance Group.
Compliance Auditor Talkspace IncCompliance AuditorNew York, NYRemote$77,000–$92,000 / yearWe encourage you to apply, even if you don't meet every qualification or if your path has been nontraditional - such as not completing a formal degree program, taking a career break, or having a prior criminal record - if you believe you could make a great addition to this team. Combining our passion for innovation along with our desire to help others overcome the stigma behind "getting help," we are transforming the way patients find the right care provider, making an otherwise impossible feat easily conquerable.
NewCompliance Analyst - Mutual Funds Neuberger Berman Group LLCCompliance Analyst - Mutual FundsNew York, NY$80,000–$110,000 / yearAn employee's pay position within the salary range will be based on several factors including, but limited to, relevant education, qualifications, certifications, experience, skills, seniority, geographic location, business sector, performance, shift, travel requirements, sales or revenue-based metrics, market benchmarking data, any collective bargaining agreements, and business or organizational needs. Assist in the administration of compliance programs adopted pursuant to Rule 38a-1 of the Investment Company Act and Rule 206(4)-7 of the Investment Advisers Act; assist the Chief Compliance Officer - Registered Funds with the implementation of the programs, related quarterly and annual assessments, preparation of reports and summaries.
NewProject Manager, Compliance Guild Mortgage CompanyProject Manager, ComplianceNY$70,000–$100,000 / yearThe Project Manager ensures complex, multi-workstream compliance programs including regulatory change implementation, examination and audit readiness, and issue remediation are organized, tracked, and executed with rigor. Audio/Visual: Regularly required to accurately perceive, distinguish and interpret information received visually and through audio; e.g., words, numbers and other data broadcasted aloud/viewed on a screen, as well as print and other media.
Compliance Ethics & Advisory Lead Metropolitan Bank Holding Corp.Compliance Ethics & Advisory LeadNew York, NY$150,000–$215,000 / yearYou will administer the bank's conflict of interest program; oversee compliance with regulatory requirements around conflicts of interest including pay-to-play; promote ethical behavior and decision-making across all levels of the organization ("culture of compliance"); manage the ethics reporting process (including anonymous reporting mechanisms); deliver practical, role-based compliance and ethics training to employees; provide day-to-day compliance guidance to frontline staff and management; develop clear, concise communications on regulatory and ethical expectations; oversee processes for employee self-reporting of gifts received, outside business activities, and applicable political contributions; and conduct or support internal investigations into ethics or conduct-related concerns. Metropolitan Commercial Bank offers a comprehensive suite of commercial, business, and personal banking products and services to small businesses, middle-market and corporate enterprises, private and public institutions, municipalities, and local government entities.
Senior Compliance Associate - Policies & Procedures Lord Abbett.comSenior Compliance Associate - Policies & ProceduresJersey City, New Jersey$185,000–$210,000 / yearWithout prior written agreement, Lord Abbett does not accept unsolicited submissions from employment agencies, search firms, placement services, or any similar provider (“Search Firms”) for employment opportunities. We have been ranked #1 in Barron’s Best Fund Families for 2024 and have earned recognition as one of the Best Places to Work in Money Management by Pensions & Investments for five consecutive years.
Director, Compliance Futu Securities International (Hong Kong) LtdDirector, ComplianceJersey 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.
Director, Compliance Regulatory Futu SecuritiesDirector, Compliance RegulatoryJersey City, NJThe Director of Compliance will play a critical leadership role within the Compliance Department and will be responsible for managing regulatory examinations, inquiries, and investigations involving FINRA, the SEC, state securities regulators, and other regulatory agencies. The successful candidate must possess extensive knowledge of broker-dealer clearing operations, regulatory requirements applicable to clearing firms, and experience in compliance investigations, trade surveillance, anti-money laundering, and regulatory reporting.
Associate General Counsel of Compliance Hunter DouglasAssociate General Counsel of ComplianceNew York City, NY$168,000–$228,000 / yearInternal Investigations and Reporting: Lead internal investigations into potential compliance issues, respond to complex regulatory or governmental inquiries, manage helpline reports and caseload, ensure effective implementation of remediation plans, and report progress to HD leadership. Global Compliance Advice: Provide expert counsel to business stakeholders on a variety of global compliance issues, including data privacy and security, anti-corruption, sanctions, whistleblowing, and general third-party risk management.
Director Ethics & Compliance - Ethics & Compliance - Akron FirstEnergy Headquarters FirstEnergy CorpDirector Ethics & Compliance - Ethics & Compliance - Akron FirstEnergy HeadquartersNewark, NJLeading or advising on sensitive, complex, or high-risk investigations; ensuring investigations are timely, objective, well-documented, and conducted with appropriate confidentiality, non-retaliation safeguards, and coordination with Legal, Human Resources, Audit, Security, and other functions as needed. Headquartered in Akron, Ohio, FirstEnergy includes one of the nation''s largest investor-owned electric systems, more than 24,000 miles of transmission lines that connect the Midwest and Mid-Atlantic regions, and a generating fleet with a total capacity of more than 5,000 megawatts.
Vice President, Senior Compliance Manager - Regulatory Counsel Antares CapitalVice President, Senior Compliance Manager - Regulatory CounselNew York, NY$200,000–$230,000 / yearThe successful candidate will help advance the firm's compliance framework by: (1) Providing thoughtful, practical guidance on the application of global regulations, evolving industry developments, and best practices in support of our private credit strategy and fund structures and the general growth of the firm's asset management transactional activities; (2) Interpreting and operationalizing compliance policies and procedures to align with the firm's existing and newly developing products and business activities and the firm's expanding jurisdictional reach; (3) Leading and coordinating the implementation of new regulatory requirements and enhancements to existing frameworks; and (4) Partnering cross-functionally to represent Compliance in enterprise-wide initiatives, while supporting day-to-day matters and broader program oversight. Strategic thinking and decision making: Applies strong business and market insight and expertise to shape functional/team strategy, solves complex problems, recommends best practices, makes high quality decisions, anticipates future needs and delivers stakeholder aligned value.