Senior Compliance Officer FCM Advisor VN2537 MAREX Group LimitedSenior Compliance Officer FCM Advisor VN2537New 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.
Senior Compliance Officer Trade Surveillance - VN2849 MAREX Group LimitedSenior 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.
Deputy Chief Global Compliance Officer New York UniversityDeputy Chief Global Compliance OfficerNew York, NY$275,000–$325,000 / yearWorking under the strategic direction of the Chief Global Compliance Officer (CGCO), the Deputy CGCO operationalizes the program''s vision, provides day-to-day administrative oversight to the University's compliance efforts, and ensures adherence with international, federal, state, and local laws, as well as University policies and procedures. Collaborate with the University's Office of Internal Audit and Enterprise Risk Management (IA & ERM) in executing the day-to-day workflows of the Annual Institutional Risk Assessment process, specifically managing collaborative multi-SME panel reviews and assessments across priority compliance risk areas.
Information Compliance Officer North Yorkshire County CouncilInformation Compliance OfficerNew York, NY$36,581–$40,444 / yearThe role acts as a subject matter expert on information governance, managing complex Freedom of Information (FOI), Environmental Information Regulations (EIR) and Subject Access Requests (SARs), providing expert advice across the organisation, supporting Data Protection Impact Assessments (DPIAs), delivering staff training, and helping to maintain robust information security and data governance arrangements. Working closely with the Compliance Manager and key stakeholders, the postholder plays a key role in managing sensitive information matters, promoting best practice and embedding a culture of accountability and compliance throughout the Authority.
NewVice President, Compliance Officer Cerberus Capital ManagementVice President, Compliance OfficerNew York, New York$200,000–$225,000 / yearAdvise on Cerberus-related compliance matters including (i) management incentive plan approvals, (ii) management-fee offsets, and (iii) employee matters including moves between Cerberus and portfolio companies, among Cerberus affiliates, and of full-time employees to consulting roles (and vice versa). The role will involve participation in all stages of the investment lifecycle including pre-acquisition diligence, advising companies in the adoption of compliance policies and procedures, monitoring, testing, and mitigation during the course of an investment, and reverse-diligence and sale-readiness on exit.
NewCompliance Officer, Caymans FalconXCompliance Officer, CaymansNew York City, NY$132,000–$167,000 / 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. Regulatory Oversight: Act as the internal subject matter expert for all regulatory requirements applicable to FalconX's Cayman entities, including the the Proceeds of Crime Act and Cayman Anti-Money Laundering Regulations (AMLRs), Anti-Terrorism Act, and Proliferation Finance (Prohibition) Act.
NewCompliance Officer Fundbox LtdCompliance OfficerNew York, NY$180,000–$200,000 / yearAlong with colleagues across Fundboxs credit, product, engineering and other functions, youll be based out of our office in the heart of Chelsea, steps from the High Line & Chelsea Market and surrounded by some of New Yorks best food, energy, and tech scene, working closely with our product teams on a hybrid schedule, while remaining in sync with the rest of the Compliance team working in other locations. Translate regulatory requirements into concrete, buildable product guardrails and acceptance criteria that engineers and product managers can implement, and document the reasoning for the benefit of other team members, future audits, and bank partner inquiries.
VP, FCM, Tokenization & Stablecoin Compliance Officer DriveWealth LLCVP, FCM, Tokenization & Stablecoin Compliance OfficerNew York, NY$215,000–$225,000 / yearSurveillance Logic: Enhance surveillance and monitoring frameworks covering event contract trading patterns and stablecoin transaction activity by refining detection logic and identifying patterns in large trade and transaction datasets, partnering with the firm's Financial Crimes team on BSA/AML and Travel Rule monitoring. Deep understanding of CFTC and NFA rules governing futures commission merchants, prediction and event contract markets, and derivatives clearing, along with direct, hands-on experience with stablecoin issuance, tokenization, digital asset custody, and related regulatory frameworks (e.g., the GENIUS Act, OCC guidance, and state money transmitter licensing).
Monitoring & Surveillance Compliance Officer (Vice President) Credit Agricole SAMonitoring & Surveillance Compliance Officer (Vice President)NEW YORK, NY$135,000–$165,000 / yearKey Responsibilities:Review and handle communications alerts and pertinent data to assess potential violations of laws, rules, regulations and the Firm's policiesDirect the Monitoring & Surveillance review team, ensuring effective risk identification, escalation, and resolution. Key Internal contacts:All business units;IT Department;Legal department;Audit department;Risk departments; andOperations departments.
Vice President, Compliance Officer Cerberus Capital Management LPVice President, Compliance OfficerNew York, NY$200,000–$225,000 / yearAdvise on Cerberus-related compliance matters including (i) management incentive plan approvals, (ii) management-fee offsets, and (iii) employee matters including moves between Cerberus and portfolio companies, among Cerberus affiliates, and of full-time employees to consulting roles (and vice versa). The role will involve participation in all stages of the investment lifecycle including pre-acquisition diligence, advising companies in the adoption of compliance policies and procedures, monitoring, testing, and mitigation during the course of an investment, and reverse-diligence and sale-readiness on exit.
Compliance Officer Surveillance VN2997 MAREX Group LimitedCompliance Officer Surveillance VN2997NY$75,000–$115,000 / yearThe group provides access to the world's major commodity markets, covering a broad range of clients that include some of the largest commodity producers, consumers and traders, banks, hedge funds and asset managers. Marex Group plc (NASDAQ: MRX) is a diversified global financial services platform providing essential liquidity, market access and infrastructure services to clients across energy, commodities and financial markets.
Compliance Officer Broker-Dealer Advisor Equities and Options - VN2750 MAREX Group LimitedCompliance Officer Broker-Dealer Advisor Equities and Options - VN2750New 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.
Compliance Officer, Broker-Dealer Advisor (Equities and Options) (VN2750) MarexCompliance Officer, Broker-Dealer Advisor (Equities and Options) (VN2750)New York, NY$150,000–$185,000Marex 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.
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.
Co-Founder & CEO - AI Clinical Documentation Compliance FutureSightCo-Founder & CEO - AI Clinical Documentation ComplianceNew York, NY$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.
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.
Compliance Officer, Financial Services and Bank Partnerships | Housing EliseAICompliance Officer, Financial Services and Bank Partnerships | HousingNew York, New YorkLead KYC/KYB processes, oversee transaction-monitoring operations, review escalated alerts and investigations, and prepare Unusual Activity Reports (UARs) and other required reports for financial institution partners. You will work cross-functionally with Legal, Product, Engineering, Operations, and business stakeholders to operationalize compliance efforts, support audits and examinations, and improve KYC and transaction-monitoring workflows.
Compliance Officer - Regulatory Expert MercorCompliance Officer - Regulatory ExpertNew York, New YorkRemote$70–$110 / hourFor details about the interview process and platform information, please check: https://talent.docs.mercor.com/welcome. Evaluate AI-generated compliance assessments , regulatory analyses, and licensing reviews for quality and accuracy.
HR Ethics & Compliance Officer SHI InternationalHR Ethics & Compliance OfficerSomerset, New JerseyThe Compliance Officer will lead corporate governance audits, manage confidential complaint procedures, and stay informed on relevant legal requirements to guide the organization in maintaining a compliant and ethical environment. Teamwork: Can build and lead multiple teams, fostering a cooperative environment and ensuring effective communication between team members.
Senior Compliance Officer - Monitoring and Testing (Associate) - TD Securities (US) The Toronto-Dominion BankSenior Compliance Officer - Monitoring and Testing (Associate) - TD Securities (US)New York, NY$100,000–$130,000 / yearGeneral Job Description The Senior Compliance Office provides advice, guidance and support to business units in adhering to regulatory/compliance requirements and assists in implementing compliance initiatives to help manage regulatory risk. Client service skills - the candidate must demonstrate the judgment and ability to closely partner with and advise senior and line managers and other stakeholders on regulatory interactions.