Director, Bank & Prudential Regulatory Compliance The Bank of New York Mellon CorpDirector, Bank & Prudential Regulatory ComplianceNew York, NY$130,000–$211,500 / yearSupporting with the identification and management of issues, developing and overseeing remediation plans to ensure resolution efforts proceed timely and effectively; Advising, guiding and providing credible challenge to business lines and corporate functions in cooperation with Business Compliance Officers; Providing expert opinion on the impact of applicable regulations to the design and implementation of key corporate initiatives, products, and services; Participating in the development and execution of the BNYs Compliance risk assessment and Compliance testing routines; Drive the performance of regular compliance testing across the above referenced regulations. In this role, youll make an impact in the following ways: Lead implementation and recommend enhancements to BNYs Compliance frameworks, programs, and policies related to key safety and soundness regulations including, but not limited to FRB regulations K, O, R, W, Y and the Volcker Rule; Support with the development of the regulatory process to identify, implement and assess ongoing compliance for global market and credit risk related regulation.
ED, Regional Compliance Officer (Northeast) Morgan StanleyED, Regional Compliance Officer (Northeast)Purchase, NY$165,000–$275,000 / yeargifts, non-cash compensation, outside business activities, trading, etc.); > Ability to challenge the Business where there is a potential for regulatory or reputational risk; > The ideal candidate will be proactive, have strong verbal and written communications skills, and the ability to prioritize and handle multiple tasks in a fast-paced environment; > Ability to analyze data and identify and escalate key trends, patterns, and root causes; > Evidence strong leadership capabilities or previous supervisory experience; > Ability to work within a team and act independently; > Relevant Wealth Management Business experience; > Proven ability to interact with Financial Advisors and Branch staff in a professional and productive manner; > Excellent judgment and the ability to be discreet in all matters; > Bachelor's Degree required; > Preference for FINRA SIE, Series 7, 9/10, 24, and/or 65/66. What you'll do in the role: > Provide Compliance guidance and advice to Regional Management and Market management on Firm and regulatory policies and procedures; > Participate in senior Compliance management meetings as well as meetings and coordination with senior business leaders in Wealth Management; > Collaborate with Regional Management on high-risk matters identified within the Region (e.g., sales practice issues, conduct matters, outside business activities, and recruits); > Engage with senior stakeholders in Field Management on various issues, including conduct-related matters, policy enhancements, and supervisory functions.
Manager, Futures Regulatory Compliance moomooManager, Futures Regulatory ComplianceJersey City, NJ$135,000–$165,000 / yearServe as a primary Compliance coordinator and subject matter expert for regulatory examinations, audits, investigations, and information requests involving the firm’s futures business, including matters involving the CFTC, NFA, CME Group and other applicable exchanges and regulatory authorities. The Manager will coordinate regulatory responses, support examination readiness, maintain required documentation, and partner with Compliance, Futures Operations, Risk, Technology, Finance, Legal, AML, and business teams to address futures regulatory obligations.
Svp, Associate General Counsel - Broker-Dealer Regulatory Compliance LPL Financial ServicesSvp, Associate General Counsel - Broker-Dealer Regulatory ComplianceNew York, NY$213,313–$355,453 / yearThe firm provides a wide range of advisor affiliation models, investment solutions, fintech tools and practice management services, ensuring that advisors and institutions have the flexibility to choose the business model, services, and technology resources they need to run thriving businesses. As a leader in the financial advisor-mediated marketplace(6), LPL supports over 32,000 financial advisors and the wealth management practices of approximately 1,100 financial institutions, servicing and custodying approximately $2.3 trillion in brokerage and advisory assets on behalf of approximately 8 million Americans.
Lead Auditor, Vice President - Regulatory Compliance Credit Agricole SALead Auditor, Vice President - Regulatory ComplianceNEW YORK, NY$150,000–$185,000 / yearSummary The Lead Auditor conducts audit assignments primarily in 2nd line corporate regulatory compliance from planning to issuance of the final report. Key ResponsibilitiesII - Conduct of assignmentThe Lead Auditor conducts audit assignments from planning to issuance of the final report.
Senior Compliance Manager TrovySenior Compliance ManagerNew York City, New YorkVendor Risk Management: Own Trovy's third-party risk management program — conducting initial and ongoing vendor due diligence, maintaining the vendor inventory, assessing compliance and regulatory risk in vendor relationships, and ensuring contractual compliance obligations are appropriately reflected and monitored. Licensing & Regulatory Relations: Manage NMLS licensing across Trovy's state footprint, including new license applications, renewals, amendments, and MU filings; coordinate regulatory examination preparation and response; and support regulatory correspondence and supervisory interactions.
Regulatory Compliance, Vice President Blue Owl Capital IncRegulatory Compliance, Vice PresidentNJ$215,000–$225,000 / yearThe candidate will report to the team lead and be responsible for managing key workstreams focused on compliance with the Investment Company Act of 1940, including compliance support for Blue Owl's Business Development Companies (BDCs), registered closed-end funds, and other 1940 Act products, among other areas. Anchored by a strong permanent capital base, we provide businesses with private capital solutions to drive long-term growth and offer institutional investors, individual investors, and insurance companies differentiated alternative investment opportunities that aim to deliver strong performance, risk-adjusted returns, and capital preservation.
Trade Surveillance Associate - Equities/Exchange Traded Products (Compliance) - TD Securities (US) TD BankTrade Surveillance Associate - Equities/Exchange Traded Products (Compliance) - 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.
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.
Vice President, Insurance Compliance The Lightstone Group LLCVice President, Insurance ComplianceNew York, NY$175,000–$200,000 / yearThe group includes an Arizona-domiciled P&C insurer, an international insurer operating under the Puerto Rico International Insurance Center, a recently acquired 50% interest in a Kansas City-based life and retirement company, and a new life and annuity insurance company currently being formed in either Oklahoma or Arizona. With nearly $12 billion in assets under management, Lightstone's portfolio currently includes over 15 million square feet of industrial, logistics, life sciences, and commercial properties, over 25,000 residential units, and over 5,100 hotel keys.
Executive Director, Global Fin Ops and Compliance - NYC Comcast CorpExecutive Director, Global Fin Ops and Compliance - NYCNew York, NY$206,514.70–$309,772.05 / yearWe drive financially informed decision-making in support of leadership's strategic priorities, while continuously improving processes to deliver an efficient transactional infrastructure for both internal and external customers. That's why we provide an array of options, expert guidance and always-on tools, that are personalized to meet the needs of your reality - to help support you physically, financially and emotionally through the big milestones and in your everyday life.
Senior Director of Financial Aid Oversight and Compliance Long Island UniversitySenior Director of Financial Aid Oversight and ComplianceNY$120,000–$125,000 / yearAssist with the development and maintenance of strategic analysis and reporting tools to budget and monitor trends or projections in tuition and fee revenue; program pricing and discounting; institutional aid; campus-based Title IV aid programs (i.e., FWS, SEOG, APTS); New York State HESC program management; private loan management, restricted and endowed awards; revolving student loan funds; student accounts receivables; bad debt expense; and student payment options. Oversee the centralized bursar and financial aid operations, including student account management; general ledger integration and reconciliation; billing, collections, and cashiering; wire transfer and drawdown management; tuition remission; direct and campus-based loan management; external file management; 1098T processing; credit card processing; and help desk support.
Consultant - Compliance Data Science & AI Sia Partners SASConsultant - Compliance Data Science & AINew York, NY$95,000–$116,000 / yearAI-powered regulatory intelligence: Designing and deploying a GenAI-driven system that monitors regulatory change in real time, structures obligations, maps them automatically to internal policies and controls, scores compliance gaps, and orchestrates remediation workflows - all with a full source-of-truth audit trail for compliance, risk, and legal teams. Sia maintains offices and coworking arrangements across multiple U.S. markets, including New York City, Charlotte, Greater Seattle, San Francisco Greater Bay Area, Los Angeles, Houston, Atlanta, Baltimore, Chicago, Washington D.C. Work Authorization.
Security Risk & Engineering - Tech and Cyber Risk & Compliance -Manager PricewaterhouseCoopers LLPSecurity Risk & Engineering - Tech and Cyber Risk & Compliance -ManagerNew York, NY$99,000–$232,000 / yearAs a Security Risk & Engineering - Tech and Cyber Risk & Compliance - Manager, you will play a pivotal role in guiding organizations through complex regulatory landscapes, enhancing their internal controls, and mitigating risks effectively. PwC does not intend to hire experienced or entry level job seekers who will need, now or in the future, PwC sponsorship through the H-1B lottery, except as set forth within the following policy: https://pwc.to/H-1B-Lottery-Policy .
Security Risk & Engineering - Tech And Cyber Risk & Compliance -Manager PwCSecurity Risk & Engineering - Tech And Cyber Risk & Compliance -ManagerNew York, NY$99,000–$232,000 / yearAs a Security Risk & Engineering- Tech and Cyber Risk & Compliance- Manager, you will play a pivotal role in guiding organizations through complex regulatory landscapes, enhancing their internal controls, and mitigating risks effectively. PwC does not intend to hire experienced or entry level job seekers who will need, now or in the future, PwC sponsorship through the H-1B lottery, except as set forth within the following policy: https://pwc.to/H-1B-Lottery-Policy .
Security Risk & Engineering - Tech And Cyber Risk & Compliance - Senior Manager PwCSecurity Risk & Engineering - Tech And Cyber Risk & Compliance - Senior ManagerNew York, NY$124,000–$280,000 / yearAs a Security Risk & Engineering- Tech and Cyber Risk & Compliance- Senior Manager, you will play a pivotal role in guiding clients through complex regulatory landscapes, enhancing their internal controls, and mitigating risks effectively. PwC does not intend to hire experienced or entry level job seekers who will need, now or in the future, PwC sponsorship through the H-1B lottery, except as set forth within the following policy: https://pwc.to/H-1B-Lottery-Policy .
Director, Customs & Trade Compliance Kiss Nail ProductsDirector, Customs & Trade CompliancePort Washington, New YorkThe Director serves as the primary internal expert on customs and international trade matters and partners with customs brokers, freight forwarders, suppliers, logistics providers, and regulatory agencies to support the uninterrupted movement of goods. Bachelor's degree in International Business, Supply Chain Management, Business Administration, Logistics, Finance, or a related field.
US Compliance Officer LMAX Exchange Group LtdUS Compliance OfficerNew York, NY$150,000–$250,000 / yearYou will play a key role in navigating US regulatory frameworks, designing and implementing compliance infrastructure, and supporting licensing efforts including potential: CFTC SEF (Swap Execution Facility) registration. This is a hands on role, requiring a willingness to roll up sleeves across policy drafting, regulatory engagement, operational implementation, and ongoing compliance execution.
Financial Services - Global Compliance and Reporting - Real estate -Tax Services Manager-EDGE Ernst & Young Global LtdFinancial Services - Global Compliance and Reporting - Real estate -Tax Services Manager-EDGENew York, NY$104,600–$191,600 / yearIf you have a disability and either need assistance applying online or need to request an accommodation during any part of the application process, please call 1-800-EY-HELP3, select Option 2 for candidate related inquiries, then select Option 1 for candidate queries and finally select Option 2 for candidates with an inquiry which will route you to EY's Talent Shared Services Team (TSS) or email the TSS at ssc.customersupport@ey.com. Our focused model and bold ambition have put us at the center of the events that continue to reshape and redefine our industry, working side by side with a range of clients from our most venerable institutions to dynamic new entrants across Banking and Capital Markets, Wealth and Asset Management, Insurance, and Real Estate, Hospitality and Construction.
Sr. Specialist, 880 Non Sterile Safety & Quality Compliance Operations (Onsite) Merck & Co IncSr. Specialist, 880 Non Sterile Safety & Quality Compliance Operations (Onsite)Rahway, NJ$117,000–$184,200 / yearRequired Skills: Clinical Trials Operations, Cross-Functional Collaboration, Detail-Oriented, Engineering Processes, Equipment Qualification, GMP Compliance, Good Manufacturing Practices (GMP), Operational Excellence, Performance Improvements, Process Hazard Analysis (PHA), Process Optimization, Regulatory Compliance, Regulatory Compliance Consulting, Risk Analysis, Risk Assessments, Root Cause Analysis (RCA), Strategic Thinking, Technical Leadership, Technical Problem-Solving. This role supports Building 880 in maintaining and continuously improving GMP compliance, safety performance, quality system governance, audit and inspection readiness, deviation and CAPA management, training compliance, risk management, and continuous improvement initiatives that support reliable execution of the clinical supply pipeline.