NewHealthcare & Life Sciences Regulatory Partner JobotHealthcare & Life Sciences Regulatory PartnerPine Brook, NJ$200,000–$600,000 / yearThe firm represents stakeholders throughout the healthcare and life sciences industries, including physician groups, hospitals, ambulatory surgery centers, laboratories, pharmacies, pharmaceutical and life sciences companies, ancillary service providers and other healthcare organizations. Information collected and processed as part of your Jobot candidate profile, and any job applications, resumes, or other information you choose to submit is subject to Jobot's Privacy Policy, as well as the Jobot California Worker Privacy Notice and Jobot Notice Regarding Automated Employment Decision Tools which are available at jobot.com/legal.
Regulatory Reporting Change Management Consultant Page GroupRegulatory Reporting Change Management ConsultantManhattan, NY$65–$71 / hourFull timeThis temporary role focuses on ensuring compliance with evolving regulations and streamlining processes within the banking and financial services department. A successful Regulatory Change Management Consultant should have: A strong understanding of the regulatory environment within the financial services industry.
NewBig Law Compliance Attorney Global Firm Mcdermott-Will-Big Law Compliance Attorney Global FirmNew York, NY$127,000–$161,000 / yearThe candidate will collect and organize Outside Counsel Guidelines, research Market Abuse Regulations, and collaborate with various practice areas. Competitive salary ranges from $127,000 to $161,000, with additional performance-based bonuses and comprehensive benefits.#J-18808-Ljbffr.
Senior Compliance Officer, Investments Compliance American International Group Inc (AIG)Senior 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.
Compliance Officer, Trading Compliance Point72, L.P.Compliance Officer, Trading ComplianceStamford, CTThe Point72 Compliance department is an industry-leading team of compliance professionals who support global investment and trading activities by establishing and enforcing the firm's compliance policies, providing real-time advice, and conducting pre- and post-trade surveillance. Investigate trading exceptions and potential breaches, prepare concise findings and remediation plans, and present results to senior compliance leaders.
Vice President, Legal and Compliance - CFTC Compliance Galaxy Digital IncVice President, Legal and Compliance - CFTC ComplianceNY$180,000–$240,000 / yearWe also invest in and operate cutting-edge data center infrastructure to power AI and high-performance computing, addressing the growing demand for scalable energy and compute in the U.S. We work at the intersection of finance and technology, helping institutions, startups, and developers navigate a digitally native economy. Who You Are: The Legal & Compliance Vice President will be a Compliance Officer of both the Swap Dealer and the Commodity Pool Operator/Commodity Trade Advisor and will be responsible for establishing, maintaining and developing Galaxy's related compliance program for the relevant activities.
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.
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.
Trade Compliance Officer Bloomberg LPTrade Compliance OfficerNew York, NY$180,000–$215,000 / yearPartner with Engineering, Product, Chief Technology Office (CTO), Chief Information Security Office (CISO), and other relevant technical teams to ensure accurate export classifications of products and solutions and implement controls to restrict access for prohibited or export-restricted parties. We'll Trust You To: Manage and support regional trade compliance activities, including: o Conduct Export Control Classification Number (ECCN) (particularly with a focus on software, technology, and related items), and Harmonized Tariff Schedule (HTS) determinations.
NewDigital Assets Compliance Officer Framework VenturesDigital Assets Compliance OfficerNew York, NY$93,500–$110,000 / yearTogether with our 170+ partners, we've originated over $17 billion in home equity loans (HELOCs) on our blockchain-native platform, making Figure the largest non-bank provider of home equity financing in the U.S. Figure's ecosystem also includes YLDS, an SEC-registered yield‑bearing stablecoin that operates as a tokenized money market fund, and several other products and platforms that are reshaping consumer finance and capital markets. Familiarity with blockchain technology, from its underlying concepts to its architecture and protocols.3+ years experience coordinating money transmitter licenses with states.2+ years experience coordinating regulatory approvals with FINRA, SEC, CFTC or NFA.FINRA Series 7/24 a plus but not required.
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.
Senior Compliance Officer - FCM Advisor - VN2537 MAREX Group LimitedSenior Compliance Officer - FCM Advisor - VN2537NY$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.
NewCompliance Officer (Business Analyst) Franklin Resources IncCompliance Officer (Business Analyst)Stamford, CT$130,000–$150,000 / 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. This person will achieve this by advocating for and owning key compliance review processes, leading improvements, resolving issues and driving marketing content changes to keep up with evolving regulatory requirements.
Senior Compliance Officer - Trade Surveillance - VN2849 MarexSenior Compliance Officer - Trade Surveillance - VN2849New York, NY$125,000–$175,000Provide Trade Surveillance, E-communications, and Voice review services to US Broker Dealer (BD) and FCM (Futures) business lines Review alerts with due consideration in a timely fashion, maintaining queues within guidelines Use technical expertise and Surveillance toolset to make determinations on whether or not an alert is a true positive or false positive, closing false positives with proper documentation including explanatory reasoning. The 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.
Privacy and AI Governance Compliance Officer Tradeweb Markets IncPrivacy and AI Governance Compliance OfficerNY$105,000–$235,000 / yearTradeweb 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. Tradeweb is seeking a mid level Compliance Officer with expertise in data privacy, privacy by design, and AI governance to lead the organization''s efforts in embedding privacy and privacy related AI practices across business operations.
Compliance Officer Broker-Dealer Advisor Equities and Options - VN2750 MAREX Group LimitedCompliance Officer Broker-Dealer Advisor Equities and Options - VN2750NY$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.
Lead Compliance Officer (Mechanical/Environmental) - 90382237 - Long Island City National Railroad Passenger CorpLead Compliance Officer (Mechanical/Environmental) - 90382237 - Long Island CityLong Island City, NY$94,300–$122,256 / hourProvides direction and manages implementation of environmental programs including planning, development and supervision of the following program elements: Permit compliance for all facility environmental permits, coordinating permit and plan updates and revisions, preparing internal and external reports, and maintaining communications with regulatory agencies. Our values of 'Do the Right Thing, Excel Together and Put Customers First' are at the heart of what matters most to us, and our Core Capabilities, 'Building Trust, Accountability, Effective Communication, Customer Focus, and Proactive Safety & Security' are what every employee needs to know and do to be most impactful at Amtrak.
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.
Relationship Manager - Law Firms Moody's CorpRelationship Manager - Law FirmsNew York, NY$113,200–$164,050 / year5-10 years or more of sales / relationship management experience within the Professional Services sector • Experience working within or selling into law firms, preferably AmLaw 200, and/or Professional Services firms • Data, Information Services or KYC/compliance sales experience preferred but not necessary • Solid demonstrated understanding of the legal/law firm space, their procurement & buying process, and the legal data market players • Entrepreneurial style, drive and sense of urgency, coupled with the ability to work well with others as part of a solution team • Robust problem-solving and influencing skills • Ability to work autonomously with minimal supervision, yet integrate appropriately with sales teams and other areas within MA when necessary • Proven sales track record of capability and ability to influence key decision makers during the sales process • Ability to sell with a consultative approach and manage complex sales processes • Networking skills to identify and develop new business opportunities • Creative problem-solving skills and ability to diagnose issues and develop solutions • Highly organised with strong time management skills • Must have the motivation and ability to excel in an intense, high-energy selling environment • Fluent English is essential; additional language capabilities are advantageous • Education: Degree educated (or equivalent), preferably in finance, business, or economics. For US-based roles only: the anticipated hiring base salary range for this position is $113,200.00-$164,050.00, depending on factors such as experience, education, level, skills, and location.
Senior Compliance Officer II Popular IncSenior Compliance Officer IINY$160,000–$175,000 / yearServe as a compliance resource and SME (subject matter expert) to business units, internal team members, and management providing a range of support and analysis on regulatory compliance requirements, issues, and/or best practices, including the provision of guidance in the design, development and/or enhancement of processes and controls to manage compliance risks. The right candidate will support the consumer regulatory compliance functions for Popular Bank, including the development, implementation, and maintenance of a consumer regulatory compliance program through compliance activities across various lines of business, branches, and operating departments.
Compliance Officer Mizuho Financial Group IncCompliance OfficerNY$125,000–$165,000 / yearConduct various day-to-day compliance surveillance activities including Code of Ethics and Code of Conduct supervision and enforcement (including personal trade review and monitoring, distribution and review of quarterly and annual Code of Ethics reporting, requesting, collecting and reviewing third party statements as necessary, maintaining restricted lists, gift and entertainment reviews, and political contribution reviews), conflicts management, electronic communications reviews, best execution reviews, broker reviews, account list maintenance, and AML/OFAC due diligence reviews, etc. Vice President (Compliance) Job Description: Provide compliance support to ensure that the firm's compliance programs are implemented, maintained and enforced in accordance with the applicable rules and regulations including the Investment Adviser Act of 1940 and the Commodity Exchange Act.
Compliance Officer Career Launch AICompliance OfficerNew York, NY$140,000–$185,000It is intended to help job seekers understand the responsibilities and qualifications typically associated with compliance, regulatory oversight, and risk management roles within financial services, trading, and investment management. The Career Launch AI Talent Network helps professionals pursue opportunities similar to this role through: Skills-based role matching for compliance, regulatory, and risk positions.
Capital Markets, Senior Compliance Officer Bank of MontrealCapital Markets, Senior Compliance OfficerNY$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.
NewSenior Corporate Counsel, Regulatory, Compliance & Litigation Clear Secure IncSenior Corporate Counsel, Regulatory, Compliance & LitigationNew York, NY$225,000–$275,000 / yearAs Senior Corporate Counsel, Litigation, Regulatory & Compliance, you''ll manage commercial and regulatory litigation, oversee corporate and operational compliance, and provide strategic legal guidance across CLEAR's secure identity business, including its consumer aviation product (CLEAR+), B2B secure identity platform (CLEAR1), and TSA PreCheck enrollment service. Reporting to the Senior Vice President, Chief Compliance Officer & Head of Litigation & Regulatory, you''ll partner closely with leaders to manage legal and regulatory risk and enable CLEAR''s continued growth through practical, business-focused counsel.
Compliance Officer US Central Functions Philip Morris International IncCompliance Officer US Central FunctionsCT$202,400–$253,000 / yearThe Compliance Officer, U.S. Central Functions, together with the entire U.S. Compliance team, is also responsible for driving the mission of Global PMI Compliance to: Empower and enable management, employees, and close third parties to meet applicable external (legal, regulatory, and industry) and internal (policy) requirements by providing them with the tools, knowledge and advice to do their jobs in an ethical and compliant way. Since 2008, PMI has invested $12.5 billion globally to develop, scientifically substantiate and commercialize innovative smoke-free products for adults who would otherwise continue to smoke with the goal of transitioning legal-age consumers who smoke to better alternatives.
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.
NewLead Compliance Officer (Mechanical/Environmental) - 90382237 - Long Island City (Long Island City, NY, US, 11101) AmtrakLead Compliance Officer (Mechanical/Environmental) - 90382237 - Long Island City (Long Island City, NY, US, 11101)Long Island City, NY$94,300–$122,256 / hourProvides direction and manages implementation of environmental programs including planning, development and supervision of the following program elements: Permit compliance for all facility environmental permits, coordinating permit and plan updates and revisions, preparing internal and external reports, and maintaining communications with regulatory agencies. Our values of ‘Do the Right Thing, Excel Together and Put Customers First’ are at the heart of what matters most to us, and our Core Capabilities, ‘Building Trust, Accountability, Effective Communication, Customer Focus, and Proactive Safety & Security’ are what every employee needs to know and do to be most impactful at Amtrak.
Regulatory Compliance Analyst - Investigations and Data Analysis NjtransitRegulatory Compliance Analyst - Investigations and Data AnalysisNewark, NJResearch 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.
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.
Compliance Officer Sixth Street Specialty Lending IncCompliance OfficerNY$175,000–$200,000 / yearOur firm is designed for cross-platform collaboration at scale: we build businesses, invest for growth, acquire assets, provide direct financing, identify value in public markets, purchase royalty streams, and regularly develop first-of-their-kind structures to meet the strategic objectives of management teams. The Compliance Officer will also drive key compliance-related projects and initiatives, including those pertaining to Sixth Street's Global Capital Markets platform, compliance testing, training, regulatory filings, and designing, implementing and advising on policies and procedures.
Security Screening Officer – Military AND/OR Law Enforcement experience REQUIRED Johnson Security Bureau, Inc.Security Screening Officer – Military AND/OR Law Enforcement experience REQUIREDManhattan, NY$25We are seeking vigilant, focused individuals who are passionate about maintaining security, following procedures, and operating with integrity. Key Responsibilities : As a Security Screener, you will play a critical role in identifying potential threats and ensuring the safety of the premises.
Chief 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.
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.
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.
Security Director (Ability to obtain F-89 & Law Enforcement Required)-37482 Harvard Protection Services, LLCSecurity Director (Ability to obtain F-89 & Law Enforcement Required)-37482New York, New YorkFull timeEnsure quality services are provided to meet customer expectations and contract requirements by regularly managing, directing, inspecting, training, coaching, mentoring, and leading security personnel assigned to the facility/building. Oversee and ensure team participation in hospitality training programs, including initial onboarding and ongoing refresher sessions focused on dynamic guest engagement, professionalism, and situational awareness.
Legal Engineer (Law Firm, Litigation/Regulatory) Counsel AI CorpLegal Engineer (Law Firm, Litigation/Regulatory)NY$270,000–$320,000 / yearAt least 3 years of experience in a litigation or regulatory practice such as complex commercial litigation, government or internal investigations, antitrust and competition regulation, intellectual property litigation, or other regulatory, compliance, enforcement, or related practice areas at a top-tier law firm, government agency, or sophisticated in-house legal team. Work directly with litigation and regulatory lawyers at current and prospective customers to uncover workflow pain points, recommend solutions, and demonstrate how Harvey fits into real legal work.
Legal Engineer (Law Firm, Litigation/Regulatory) HarveyLegal Engineer (Law Firm, Litigation/Regulatory)New York, New YorkAt least 3 years of experience in a litigation or regulatory practice such as complex commercial litigation, government or internal investigations, antitrust and competition regulation, intellectual property litigation, or other regulatory, compliance, enforcement, or related practice areas at a top-tier law firm, government agency, or sophisticated in-house legal team. Work directly with litigation and regulatory lawyers at current and prospective customers to uncover workflow pain points, recommend solutions, and demonstrate how Harvey fits into real legal work.
Compliance Officer Millennium Management LLCCompliance OfficerNew York, NY$160,000–$250,000 / yearOur people are empowered with both independence and support: the autonomy to pursue ideas with conviction and the backing of a global network committed to collaboration, disciplined risk management and continuous learning. The team works to help prevent and detect violations of applicable laws, rules, regulatory requirements, and firm policies through a disciplined and well-controlled framework.
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.
NewChief Risk & Compliance Officer Michael Page InternationalChief Risk & Compliance OfficerNew York, NY$300,000–$400,000 / yearEnterprise Risk Management Design and implement a firmwide risk management architecture, including governance, appetite setting, and reporting. Regulatory Leadership & Compliance Oversight Define and manage a forward-looking compliance strategy across multiple jurisdictions.
NewSenior Counsel - Employment and Labor Law StubHub Holdings IncSenior Counsel - Employment and Labor LawNew York, NY$200,000–$235,000 / yearWith more than 300 million tickets available annually on our platform to events around the world -- from sports to music, comedy to dance, festivals to theater -- StubHub offers the safest, most convenient way to buy or sell tickets to the most memorable live experiences. Ensure compliance with wage-and-hour law (FLSA and state equivalents), exempt/non-exempt classification, meal-and-rest-break requirements, and independent contractor/worker classification rules across all jurisdictions where StubHub operates.
Senior Compliance Officer Franklin Resources IncSenior 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 Officer, Broker-Dealer Advisor (Equities and Options) - VN2750 MarexCompliance Officer, Broker-Dealer Advisor (Equities and Options) - VN2750New 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.
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 / yearRIA 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.
IT Security Manager Law Firm / Big 4 Professional Services Phaxis LLCIT Security Manager Law Firm / Big 4 Professional ServicesNew York, NY$160,000–$175,000 / yearDemonstrated ability to manage security initiatives, lead technical teams, and provide strategic guidance to senior stakeholders on complex security challenges. The ideal candidate will have direct experience in a law firm or a Big 4 advisory firm , bringing deep familiarity with protecting sensitive client data and navigating compliance obligations.
NewAssistant Professor of Law and Director of Legal Externships and Public Interest Seton Hall University, New JerseyAssistant Professor of Law and Director of Legal Externships and Public InterestNewark, New JerseyThe Director works collaboratively with the Office of Career Services and the Associate Dean for Experiential Education, while maintaining primary responsibility for the academic integrity, assessment, and accreditation of the Externship Program. • Develop and maintain relationships with judges, government agencies, public interest organizations, prosecutors' offices, public defenders, corporate legal departments, and law firms to expand and diversify externship opportunities for students.
Junior Compliance Officer/Auditor SGI Global, LLCJunior Compliance Officer/AuditorNewark, NJAssist with drafting audit reports and associated administrative fine paperwork to support the issuance of Notices of Intent to Fine, Final Orders, Warning Notices and other related documentation for HSI audits related to the employment eligibility verification process. 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.
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.
NewCompliance 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.
Consultant-State Regulatory Tax Compliance Verizon Communications IncConsultant-State Regulatory Tax ComplianceBasking Ridge, NJ$80,500–$141,000 / yearThis position is responsible for State and Local Regulatory compliance, including the Video Franchise and PEG(Public Education Grants) filings with various Local Franchise Authorities, utilizing financial systems to analyze data, compute payments for an end-to-end compliance cycle while adhering to compliance laws and contractual agreements. RESPONSIBILITIES: Prepare State and Local Regulatory compliance, including Video Franchise and PEG filings, and Business Licenses in an accurate and timely manner in accordance with the applicable laws and regulations for all Verizon-owned companies.