Chief Compliance Officer US Computershare LtdChief Compliance Officer USNew York, NY$156,625–$223,190 / yearComputershare (ASX: CPU) is a global market leader in transfer agency and share registration, employee equity plans, mortgage servicing, proxy solicitation and stakeholder communications. Founded in 1978, Computershare is renowned for its expertise in high integrity data management, high volume transaction processing and reconciliations, payments and stakeholder engagement.
Chief Compliance Officer, RHD Robinhood Markets IncChief Compliance Officer, RHDNY$255,000–$300,000 / yearAdvise business teams on regulatory requirements related to futures, event contracts, and options on futures, including new product launches and updates to existing offerings. The team ensures adherence to Commodity Futures Trading Commission (CFTC) and National Futures Association (NFA) requirements while supporting the compliant launch of new products.
Deputy Chief Compliance Officer, Corporate Vice President New York Life Insurance CoDeputy Chief Compliance Officer, Corporate Vice PresidentNY$160,000–$228,500 / yearNYLIFE Securities and Eagle Strategies sit at the heart of New York Life's retail distribution strategy-delivering a broad product platform that includes variable annuities and variable life insurance, mutual funds, alternative investments, 529 plans, managed account programs through our advisory platform, and comprehensive fee-based financial planning-through a nationwide career agency distribution system. The Deputy CCO will lead the core elements of the compliance program, including compliance risk assessments, policy and procedure design, controls testing, supervisory oversight coordination, and the modernization of how compliance is delivered across one of the largest career agency distribution systems in the industry, with over 12,000 insurance agents, 6,500 registered representatives, and 1,700 investment adviser representatives.
NewChief Compliance Officer MomentChief Compliance OfficerNew York City, New YorkExpand and own the RIA and BD compliance programs end to end: own written policies and supervisory procedures, Code of Ethics, registration and licensing, regulatory filings, marketing and advertising review, best execution, net capital, books and records, and the annual compliance review. Provide Effective Risk Assessment and Management: proactively identify and asses inherent risks of the various business units, and implement mitigating controls to address and minimize regulatory risk exposure.
Chief Compliance Officer (CCO) – US FinTech MastarRecChief Compliance Officer (CCO) – US FinTechNew Jersey, NYRemoteThis role ensures compliance with federal and state financial regulations including AML/BSA, UDAAP, SEC/FINRA (where applicable), and multi state licensing requirements. The Chief Compliance Officer (CCO) provides enterprise wide regulatory governance and oversight across US FinTech operations.
Chief Compliance Officer (CCO) eToroChief Compliance Officer (CCO)New York, NY$270,000–$300,000 / yearProven people leadership and people-management skills — the ability to build, motivate, and develop a high-performing compliance team, hold people accountable in a constructive way, and create an environment where talent wants to grow. Strong AI literacy and genuine enthusiasm for working in an organisation where AI is central to the product and operational model — the CCO must be comfortable engaging with AI tools directly, forming views on their regulatory implications, and shaping how AI is deployed responsibly.
Executive Assistant - Chief Compliance Officer Americas Credit Agricole SAExecutive Assistant - Chief Compliance Officer AmericasNEW YORK, NY$90,000–$105,000 / yearp>We are seeking a highly organized, proactive, and versatile professional to serve as Executive Assistant to Chief Compliance Officer for Credit Agricole CIB Americas (CCO). • Oversee daily office operations, ensuring the office runs smoothly and efficiently by handling tasks such as managing supplies, workstations, and coordinating maintenance.
Co-Founder & CEO - HealthTech - AI Clinical Documentation Compliance FutureSightCo-Founder & CEO - HealthTech - AI Clinical Documentation ComplianceNew York, NYThe 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. Concordance AI audits 100% of healthcare charts in real-time, catches payer-specific gaps before they hit billing, and eliminates the manual QA overhead that costs organizations millions in denials and clawbacks every year.
Chief Compliance Officer (CCO) eToro Group LtdChief Compliance Officer (CCO)Hoboken, NJ$270,000–$300,000 / yearProven people leadership and people-management skills - the ability to build, motivate, and develop a high-performing compliance team, hold people accountable in a constructive way, and create an environment where talent wants to grow. Strong AI literacy and genuine enthusiasm for working in an organisation where AI is central to the product and operational model - the CCO must be comfortable engaging with AI tools directly, forming views on their regulatory implications, and shaping how AI is deployed responsibly.
Chief Compliance Officer (CCO) for Truist Investment Services, Inc. and Truist Advisory Services, Inc. Truist Financial CorpChief Compliance Officer (CCO) for Truist Investment Services, Inc. and Truist Advisory Services, Inc.NY$200,000–$290,000 / yearli>RIA expertise and coordination: Provide compliance leadership for advisory activities within an SEC-registered RIA framework (including Advisers Act obligations such as disclosures, conflicts management, Code of Ethics oversight, and best execution), and coordinate broker-dealer/RIA requirements to promote consistent client outcomes and a cohesive control environment. Please review the following job description: The Chief Compliance Officer (CCO) for Truist Investment Services, Inc. and Truist Advisory Services, Inc. is responsible for leading an integrated broker-dealer and SEC-registered registered investment adviser (RIA) compliance program and serving as the primary regulatory-facing executive for the firms.
NewSenior Compliance Officer, Investments Compliance American International GroupSenior 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.
Vice President, Chief Medical Officer - Palisades Medical Center Hackensack University Medical CenterVice President, Chief Medical Officer - Palisades Medical CenterNorth Bergen, NJThe CMO will work closely with hospital leadership, medical staff, community stakeholders and HMH executives to improve clinical outcomes, operational performance, and enhance physician alignment while addressing the unique healthcare needs of the local population and ensure that Palisades Medical Center provides high-quality, accessible, and cost-effective healthcare to the surrounding community. The Vice President, Chief Medical Officer, Palisades Medical Center, is a key part of Hackensack Meridian Health (HMH) leadership, serves as the site's senior physician executive, responsible for clinical leadership, quality improvement, patient safety, and medical staff engagement.
Technology Policy Writer - Engineering COO Office Contract Bloomberg LPTechnology Policy Writer - Engineering COO Office ContractNew York, NY$1,700–$2,000 / yearThis often means working across Engineering Security and Technology Product Owners, collaborating closely with Legal Compliance and Risk, engaging Product and Data teams on technology risk considerations, and translating complex regulatory expectations into approaches that engineers can actually use. Youll work closely with the Global Head of Policy, engineering leadership, Risk, and Compliance partners, and subject matter experts across the organization to draft, socialize, and publish documentation.
Chief Operating Officer Human Rights WatchChief Operating OfficerNY$340,000–$375,000 / yearEstablishing a close partnership with the Executive Director and leading a clearly articulated operational strategy in support of HRW's short- and long-term goals; Focusing on outcomes and improvement to ensure that the management, staffing and culture of the organization's operational backbone are aligned with HRW's mission and values; Working closely with the Executive Committee and senior leadership to ensure a culture of open and direct communication in a positive, fair and accountable workplace; Ensuring consistent application of policies and practices, aligned with best practices, with the authority to assure appropriate accountability across the organization; Working closely with the Deputy Executive Director and Chief Programs Officer (CPO) and Chief Development Officer, ensuring strong communication and collaboration between the operations, programmatic, development teams and implementation of all structures, systems and processes; Optimizing resource allocations to drive organizational priorities while managing long-term financial stability of the organization, including investments; Supporting the development and delivery of a technology strategy that delivers for both programmatic and operational needs in a cost-efficient manner; Overseeing a modern and agile financial architecture to facilitate the optimization of annual financial planning; Being accountable for leading the identification, evaluation, monitoring, and mitigation of organization-wide risk; Ensuring that the organization attracts, supports, and retains a skilled, diverse, and high performing workforce. The Deputy Executive Director and Chief Operating Officer (COO) reports to the Executive Director and is responsible for ensuring that HRW's mission is implemented efficiently, effectively, and with maximal impact by managing day-to-day internal operations, translating strategy into action, optimizing processes, managing resources, and ensuring highly effective and professional internal communications throughout the organization.
Deputy Chief Technology Officer, Infrastructure and Operations Metropolitan Transportation AuthorityDeputy Chief Technology Officer, Infrastructure and OperationsNY$172,834–$248,881 / yearThe DCTO, Infrastructure & Operations ensures the reliability, resilience, security, scalability, and financial sustainability and accountability of the MTA's technology infrastructure, including enterprise networks, cloud and data center platforms, end-user computing environments, service operations, and core technology platforms. As a key member of the CTO leadership team, this role drives enterprise infrastructure modernization and transformation initiatives, including cloud adoption, platform engineering practices, automation, DevSecOps enablement, and improved operational models that support modern product delivery and digital services.
NewChief Medical Officer Clinilabs IncChief Medical OfficerNY$250,000–$300,000 / yearli>Initiate and enhance relationships with customers, participate in professional conferences, networking events, discovery calls, pre-award meetings, project team meetings, and bid defense meetings. The CMO leads and contributes to strategic initiatives and special projects, including-but not limited to-the company's placebo response mitigation, rater training, protocol compliance, and accelerator site programs.
Financial Crime Compliance Officer Tradeweb Markets IncFinancial Crime Compliance OfficerJersey City, NJ$115,000–$150,000 / yearWorking closely with the Global Head of Financial Crime and US Chief Compliance Officers, you will support the delivery of financial crime compliance initiatives across Tradeweb's global business lines, helping to ensure the firm meets its regulatory obligations and manages financial crime risk effectively. Tradeweb plays a central role in modernizing market structure by developing innovative trading protocols, embedding analytics into execution, and building technology infrastructure that supports the convergence of traditional and digitally native financial markets.
Chief Financial Officer Metrocare ServicesChief Financial OfficerHillside, New YorkIn addition to behavioral health care, Metrocare provides primary care centers for adults and children, services for veterans and their families, accessible pharmacies, housing, and supportive social services. The Chief Financial Officer (CFO) is a vital component of Metrocare's Executive Management, assisting with mission critical, highly visible and complex duties to assure the effective administration and evolution of the agency.
Vice President, Registered Fund Compliance Officer Wilshire Advisors, LLCVice President, Registered Fund Compliance OfficerNY$180,000–$240,000 / yearThe Vice President, Registered Fund Compliance Officer will be responsible for maintaining and enhancing the compliance program for Wilshire's registered fund complex, including mutual funds, a variable insurance trust (VIT), and an interval fund. This role serves as a key compliance resource to the fund boards and works closely with internal stakeholders and sub-advisors to ensure adherence to the Investment Company Act of 1940 (the "40 Act") and applicable SEC regulations.
Senior Vice President, Compliance Officer The Bank of New York Mellon CorpSenior Vice President, Compliance OfficerJersey City, NJ$102,000–$171,500 / yearp>In this role, you'll make an impact in the following ways: Experienced Senior Compliance Officer to act as a strategic partner to business leaders responsible for development of advisory tech for the wealth management industry. Every day, our teams harness cutting-edge AI and breakthrough technologies to collaborate with clients, driving transformative solutions that redefine industries and uplift communities worldwide.
Compliance Testing and Monitoring Officer Credit Agricole SACompliance Testing and Monitoring OfficerNY$145,000–$160,000 / yearYou'll gain unparalleled visibility through regular senior leadership presentations, develop sophisticated regulatory expertise across banking compliance domains, and build executive communication skills that accelerate career advancement into Compliance, Risk, or Internal Audit leadership roles. The combination of strategic impact, cross-functional exposure, investigative problem-solving, and the professional development infrastructure of a global banking platform like CACIB makes this the ideal next step for building a high-trajectory career in financial services compliance.
NewCompliance Testing and Monitoring Officer Credit Agricole Cib LimitedCompliance Testing and Monitoring OfficerNew York, NY$145,000–$160,000 / yearYou'll gain unparalleled visibility through regular senior leadership presentations, develop sophisticated regulatory expertise across banking compliance domains, and build executive communication skills that accelerate career advancement into Compliance, Risk, or Internal Audit leadership roles. • Strong knowledge of areas such as capital markets, debt capital markets, investment banking, and corporate banking coverage as well as broker-dealer / swap dealer regulatory framework such as SEC, FINRA, NFA, CFTC rules .
Senior Executive Assistant: CFO + Sr Finance Leadership Boulevard Labs IncSenior Executive Assistant: CFO + Sr Finance LeadershipNYRemote$91,600–$114,500 / yearThis role is responsible for protecting and sequencing the CFO''s time, improving meeting readiness and follow-through, coordinating Board, investor, and financing logistics, and ensuring CFO-related Finance leadership and planning moments are well prepared from a logistics and information-flow standpoint. Capture and track action items, owners, deadlines, open questions, and follow-ups from CFO-related meetings, Board prep sessions, investor touchpoints, Finance leadership forums, and selected cross-functional meetings.
Executive Assistant to the CEO Russell Investments Group, LLCExecutive Assistant to the CEONew York, NY$110,000–$180,000 / yearStrong organizational skills with the ability and experience to multi-task, handle and prioritize multiple assignments and conflicting deadlines, deal with ambiguity, and reprioritize tasks in response to unexpected changes in priorities/requests whilst providing a flawless level of client service. In addition to directly supporting the CEO, this role works closely with the EA team, including back-up support for the President/Chief Investment Officer and Chief Human Resources Officer's EAs as required.
Compliance Officer SpecialtyRxCompliance OfficerRidgefield Park, New Jersey$120,000–$130,000Tasks will include visiting pharmacy sites for mock inspection, authoring and updating internal policies and manuals, completing annual attestations for all locations, answering compliance and regulatory questions, and helping to obtain and maintain JCAHO accreditation for all sites. SpecialtyRx is an innovative, full-service pharmacy who partners with subacute and long-term care facilities throughout the United States, transforming drug care by facilitating the complete medication dispensing process.
Chief Medical Officer, Clara Maass Medical Center RWJ Barnabas Health Medical IncChief Medical Officer, Clara Maass Medical CenterBelleville, NJ$375,000–$500,000 / yearEssential Functions: Clinical Leadership: In close partnership with the hospital Chief Nursing Officer, CNO, and other key hospital leaders and key functions, including Safety, Quality, and Patient Experience, the CMO leads efforts to ensure optimal outcomes for all patients. Academics: Facilitate and collaborate with other hospitals and system leadership to promote the academic mission including supporting the research environment, including clinical trials and translational research activities, and supporting the medical education environment through engagement with learners and promotion of continuing medical education.
UMP Chief Clinical Officer University Medical PartnersUMP Chief Clinical OfficerNewark, New JerseyHe/she will also partner with the Chief Operating Officer (COO), Chief Finance Officer (CFO), and other UMP senior leaders, and the Board of Directors to develop and implement clinical strategies across the organization, including policies and plans to meet UMP’s short and long-term objectives. The Clinical Chief Officer would oversee medical group transformation, including the adoption of AI-based systems to improve care, enhance patient experience and outcomes, in collaboration with Stanford University School of Medicine (SOM) and Stanford Health Care (SHC), and rebuild joy in practice.
Assistant General Counsel/Compliance Officer BestEx Research Group LLCAssistant General Counsel/Compliance OfficerStamford, CTIts cloud-based platform, Algo Management System (AMS), is the first end-to-end algorithmic trading solution for equities and futures that delivers an entire ecosystem around execution algorithms, including transaction cost analysis (TCA), an algo customization tool called Strategy Studio, a trading dashboard, and pre-trade analytics in a single platform. BestEx Research uses leading-edge technology to support its low-latency, highly scalable research, and trading systems with its back end in C++, research libraries in C++/Python and R, and web-based technologies for delivering its front-end platforms.
Legal & Compliance - Infrastructure - Compliance Attorney, AVP Blackstone IncLegal & Compliance - Infrastructure - Compliance Attorney, AVPNJWork with legal and compliance colleagues to (i) respond to requests from regulators, (ii) develop proactive responses to regulatory developments that impact the business (including ESG-related matters), and (iii) prepare for regulatory examinations, including conducting mock examinations, each in conjunction with external consultants and counsel. Provide second-tier support for review of fundraising materials (e.g., fund pitchbooks, co-investment decks, business unit overviews), limited partner communications, investment summaries, and investor conference materials to ensure compliance with applicable distribution and marketing rules.
Manager- Mt Sinai Hospital Compliance Dept- FT- Hybrid- D Mount Sinai Health SystemManager- Mt Sinai Hospital Compliance Dept- FT- Hybrid- DNew York, NY$79,720–$119,580 / yearWe are consistently ranked by U.S. News & World Report's Best Hospitals, receiving high "Honor Roll" status, and are highly ranked: No. 1 in Geriatrics, top 5 in Cardiology/Heart Surgery, and top 20 in Diabetes/Endocrinology, Gastroenterology/GI Surgery, Neurology/Neurosurgery, Orthopedics, Pulmonology/Lung Surgery, Rehabilitation, and Urology. Mount Sinai advances health for all people, everywhere, by taking on the most complex health care challenges of our time - discovering and applying new scientific learning and knowledge; developing safer, more effective treatments; educating the next generation of medical leaders and innovators; and supporting local communities by delivering high-quality care to all who need it.
Senior Director, Chief of Staff Optimum Communications IncSenior Director, Chief of StaffLong Island City, NY$161,186–$230,265 / yearExceptional organizational intelligence - discerning between short-term priorities and long-term focuses, understanding how decisions get made, where power sits, and how to move things forward without direct authority. Director, Chief of Staff is a senior leadership role embedded within the Office of the CEO, serving as the connective tissue between the CEOs Office and the broader organization.
Chief, Regional Impact KIPP FoundationChief, Regional ImpactNY$312,000–$390,000 / yearSelf-Management: Demonstrated record of setting and achieving ambitious goals at a systems level; co-creates long-term and annual cascading goals with their team, ensures clarity on ownership of goals and priorities, roles and responsibilities, and regularly uses data to plan and move the team towards establishing excellence in goal setting and achievement of goals; builds a positive team culture in which teammates feel ownership and accountability for their own and the broader teams work and results. In alignment with other program leaders (KIPP Forward, Operations, Talent), define the role that the Executive Director plays in driving strong non-academic outcomes and set up Regional Superintendents to develop and support their portfolio of EDS to play that role with consistency across regions.
Compliance Director - Equity Sales & Trading Piper Sandler CompaniesCompliance Director - Equity Sales & TradingCT$150,000–$200,000 / yearLead risk assessments, identifying control gaps and driving the remediation of issues identified in partnership with internal audit, exam staff, supervision team members, business partners, and through compliance supervisor control testing activities. This is reflected in our commitment to engage, hire, and retain bright, committed people to work in partnership within an inclusive environment that allows each person to achieve personal success and add value to our teams and communities.
Regulatory Compliance Analyst - Investigations and Data Analysis NjtransitRegulatory Compliance Analyst - Investigations and Data AnalysisNewark, NJli>Research and track trends and developments in the public transportation industry to enable NJTRANSIT to stay abreast of any changes to industry best practices and implement changes to streamline corporate oversight and operating efficiencies. Creates, tracks and maintains internal databases and reports regarding departmental and company-wide compliance initiatives and produces reports analyzing compliance data.
Director of Compliance Group One TradingDirector of ComplianceNew York, NY$175,000–$200,000 / yearGroup One Trading was founded in San Francisco in 1989, and we've become one of the largest privately held options trading firms in the United States, with brilliant people on our team in New York, Chicago, Philadelphia, and San Francisco. You'll work closely with business leaders, technology teams and the Chief Compliance Officer to build a compliance framework that protects the firm while enabling strategic growth.
Pathology Compliance Spec- Full Time- Day Hackensack University Medical CenterPathology Compliance Spec- Full Time- DayHackensack, NJThe posted rate of pay in this job posting is a reasonable good faith estimate of the minimum base pay for this role at the time of posting in accordance with the New Jersey Pay Transparency Act and does not reflect the full value of our market-competitive total rewards package. Develops and maintains appropriate reports to provide information needed by laboratory management and the Vice President, Chief Compliance Officer to continually assess the effectiveness of the laboratory compliance program.
Environmental Compliance Manager IDEX CorpEnvironmental Compliance ManagerNY$124,000–$186,000 / yearMonitor and understand emerging trends in environmental compliance programs and requirements; identify and communicate potential impacts; develop short and long-term strategies to ensure adequate preparedness and response; implement use of electronic storage and management of key IDEX environmental recordkeeping initiatives. Of critical importance will be the ability to establish credible working relationships with the companys executive leadership team, business and functional leaders throughout the company, the corporate EHS and sustainability teams, and EHS professionals located at IDEXs business units.
Director of Compliance - Product Sezzle IncDirector of Compliance - ProductNYRemote$175,000–$250,000 / yearLeverage AI research tools to maintain current awareness of regulatory developments affecting consumer-facing product features, including changes to FCRA, TILA/Reg Z, EFTA/Reg E, UDAAP, ECOA/Reg B, TCPA, state consumer protection laws, and emerging regulations governing BNPL products. Strong working knowledge of consumer financial protection regulations relevant to product features, including TILA/Reg Z, FCRA, EFTA/Reg E, ECOA/Reg B, UDAAP, TCPA, and applicable state consumer protection laws; familiarity with evolving BNPL regulatory guidance is a significant plus.
Compliance Operations Associate ( Part-time) Hedgeye Risk ManagementCompliance Operations Associate ( Part-time)Stamford, ConnecticutExperience supporting an investment adviser, asset manager, hedge fund, broker-dealer, family office, fund administrator, or similar financial services organization. Experience within compliance, operations, legal support, fund administration, or another regulated financial services environment (education, certificates, advanced trainings and internships may be considered).
Manager, Fintech Compliance Emigrant BankManager, Fintech ComplianceNew York, NY$175,000–$225,000 / yeardiv class="content-pay-transparency">New York pay range$175,000—$225,000 USD Reporting to the Chief Compliance Officer and working closely with senior leadership, this individual will act as a key operator and thought partner, balancing strategic oversight with hands-on execution across the Bank and its Embedded Banking partnerships.
Director of Compliance- New York City Group One Trading LPDirector of Compliance- New York CityNY$175,000–$200,000 / yearRESPONSIBILITIES Oversee full department operations including surveillance, investigations, regulatory reporting, testing, and training programs Design and implement compliance processes that balance regulatory requirements with business practicality Lead complex investigations and matters requiring senior-level involvement Provide expertise on novel compliance situations and ambiguous regulatory matters Lead cross-departmental initiatives requiring compliance input or oversight Ensure quality assurance for all compliance deliverables and work product Monitor team capacity and performance metrics to maintain program effectiveness Coordinate regulatory examinations and serve as primary working-level contact with regulators Manage vendor relationships for compliance systems. WHAT WE DO Group One Trading was founded in San Francisco in 1989 and weve become one of the largest privately held options trading firms in the United States with brilliant people on our team in New York, Chicago, Philadelphia, and San Francisco.
Director - Compliance Coordination and Regulatory Affairs Credit Agricole SADirector - Compliance Coordination and Regulatory AffairsNY$190,000–$240,000 / yearThe Director- Compliance Coordination and Regulatory Affairs is a senior role within the Compliance Team responsible for the following functions:Regulatory Engagement & Examination ManagementServe as Compliance primary point of contact for U.S. regulatory agencies during examinations, inquiries, and ongoing supervisory activities;Coordinate and manage end-to-end regulatory examinations, including preparation, document production, regulatory meetings, and remediation efforts;Develop and maintain examination response protocols and methodology;Track and manage regulatory requests to ensure timely, accurate, and complete responses;Review and challenge regulatory deliverables;Support regulatory inquiries and examinations in the Americas and across business lines as needed;Internal Audit CoordinationPartner with Internal Audit to coordinate compliance-related audit reviews;Manage audit response processes, including deliverables validation and review;Strategic Project LeadershipLead and contribute to high-priority compliance projects and department-wide initiatives;Collaborate with cross-functional teams to implement compliance program enhancements;Drive process improvements and automation opportunities within the compliance function;Stakeholder ManagementBuild and maintain productive relationships with regulatory agencies;Partner with other divisions (business lines/support functions) on compliance matters;Provide regular updates to senior leadership on regulatory developments and examination status. This team has a number of different functions, but its primary functions are the management of interactions with US Regulators, management of compliance projects, tracking and reporting of issues, quality assurance, regulatory watch and support to regulatory changes, compliance communication, and regulatory coordination.
Associate Director - Business Partner, Legal & Compliance Technology Vista Equity Partners Management LLCAssociate Director - Business Partner, Legal & Compliance TechnologyNYRemote$150,000–$220,000 / yearUnderstand L&C workflows and availably technology including legal expense management, fund formation and investors on-boarding, investors and entity (fund management), anti-money laundering, privacy, regulatory reporting , control room management, investment transaction for both PE and credit platforms, contracts review, third-party management, document and data archiving and management, and other legal and compliance workflows. Vista Equity Partners (Vista) is a leading global investment firm that invests exclusively in enterprise software, data and technology-enabled companies across private equity, credit, public equity and permanent capital strategies.
** Global Trade Compliance Manager Dwyer Instruments, Inc.** Global Trade Compliance ManagerNY$80,000–$125,000 / yearThe position serves as the primary authority on trade compliance matters, driving consistency across regions, strengthening internal controls, and embedding compliance into core business operations including product development, sourcing, and distribution. The Global Trade Compliance Manager is responsible for the leadership, governance, and execution of the company's global trade compliance program across a multi-site, international manufacturing environment.
Compliance Operations Associate ( Part-time) Hedgeye Risk Management, LLCCompliance Operations Associate ( Part-time)Stamford, CT$36,000–$40,000 / yearExperience supporting an investment adviser, asset manager, hedge fund, broker-dealer, family office, fund administrator, or similar financial services organization. Experience within compliance, operations, legal support, fund administration, or another regulated financial services environment (education, certificates, advanced trainings and internships may be considered).
Compliance Associate ( Part-time) Hedgeye Risk Management, LLCCompliance Associate ( Part-time)Stamford, CT$35,000–$40,000 / yearExperience supporting an investment adviser, asset manager, hedge fund, broker-dealer, family office, fund administrator, or similar financial services organization. 2-5 years of experience within compliance, operations, legal support, fund administration, or another regulated financial services environment (Education, certificates, advanced trainings and internships may be considered).
Director, Legal and Compliance Ontario Municipal Employees Retirement SystemDirector, Legal and ComplianceNY$170,000–$270,000 / yearSupport the legal and compliance regulatory and reporting requirements to the SEC and other applicable regulators, including: Owning key regulatory filings (Form ADV, Form PF, state filings); Supporting board reporting and other over governance initiatives; Supporting other global compliance initiatives and special projects; Coordinating across deal teams, ESG teams and compliance teams on portfolio company reporting; Supporting the SEC-compliance testing program. A key component of OMERS Infrastructure's strategy includes investing with third-party investors and raising external third-party capital resulting in US SEC, UK FCA and Australian AUSTRAC and AFS registrations/licenses as well as increased complexity and additional critical compliance requirements.
Head of Compliance, Gemini Galactic Markets, LLC Gemini Trust Company LLCHead of Compliance, Gemini Galactic Markets, LLCNY$150,500–$215,000 / yearThis role requires deep expertise across federal securities and commodities regulation, SEC, FINRA, CFTC, and NFA, with hands-on experience building and running compliance programs at a retail-facing brokerage and FCM. Gemini is a global crypto and Web3 platform founded by Cameron and Tyler Winklevoss in 2014, offering a wide range of simple, reliable, and secure crypto products and services to individuals and institutions in over 70 countries.
Director, Annuity Suitability & Compliance The Independent Order of ForestersDirector, Annuity Suitability & ComplianceRemote$121,700–$225,900 / yearAs a fraternal benefit society committed to its members, this role requires a practical problem solver comfortable with combining the organization's commitment to compliance with its passion to better serve its members, customers, and distribution partners. Support the launch and operation of a suitability and compliance function for a new fixed/indexed annuity program launching in 49 states (excluding NY), including supporting the suitability program's design, structure, workflow, execution and reporting.
Compliance Director APluscare LLCCompliance DirectorEast Brunswick, NJFull timeProvide regular compliance updates and formal reports to the CEO, leadership team, and Board of Directors regarding compliance program progress, audit findings, emerging . organization's compliance program across all services, including residential services, day habilitation, wellness programs, and behavioral health operations.