AI Risk & Compliance Analyst JobotAI Risk & Compliance AnalystNew York, NY$70–$80 / hourAs AI adoption continues to expand across the business, our Governance, Risk & Compliance team plays a critical role in helping teams evaluate, document, and manage AI use cases in a practical, thoughtful, and compliant way. 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.
Senior Associate, Compliance Monitoring and Risk Assessment Daiichi Sankyo, Inc.Senior Associate, Compliance Monitoring and Risk AssessmentBasking Ridge, NJ$92,160–$138,240 / yearFull timep style="margin:0in;line-height:normal;font-size:12pt;font-family:'aptos' , sans-serif">Download Our Benefits Summary PDF. This position also provides project management support for strategic compliance initiatives, contributes to the development of policies and training materials, and prepares content for senior leadership communications and governance forums.
NewHead of Wealth Management Compliance City National Bank City National BankHead of Wealth Management Compliance City National BankNew York, NYRemote$200,000–$340,000 / yearli>Advanced knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Act of 1933, and Securities Exchange Act of 1934 is required, with knowledge of bank non-deposit investment product requirements, OCC Regulation 9, and ERISA regulations. Advance compliance programs that focus on regulatory requirements across applicable regulatory regimes, including: the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Act of 1933, Securities Exchange Act of 1934, and OCC Regulation 9.
CFO JobotCFOBrooklyn, NY$275,000–$300,000 / yearInformation 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. Reporting to the CEO and ownership group, the CFO is responsible for financial reporting, controls, systems, compliance, and team leadership to support company growth and performance.
Global Customs Compliance Manager Page GroupGlobal Customs Compliance ManagerParsippany-Troy Hills, NJ$130,000–$145,000 / yearFull timeThe Global Customs Compliance Manager will oversee and ensure adherence to international trade regulations, focusing on customs compliance and trade facilitation within the industrial and manufacturing industry. Collaborate with internal departments, including logistics and supply chain, to streamline processes and ensure regulatory compliance.
Regultory Compliance Consultant Page GroupRegultory Compliance ConsultantIselin, NJ$112,320–$137,280 / yearContractorAs a Regultory Compliance Consultant in the Financial Services industry, you will lead and manage legal projects, ensuring successful delivery within scope, budget, and timeline. This temporary role is an excellent opportunity to contribute your expertise in project management to a fast-paced and challenging environment.
Trust, Estates, & Tax Associate JobotTrust, Estates, & Tax AssociateMorristown, NJ$170,000–$200,000 / yearInformation 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. The ideal candidate will possess a strong background in both advisory and litigation aspects of trusts, estates, and tax law, providing strategic counsel to clients ranging from individuals to corporations.
NewChief Financial Officer - IPO IPO Kforce Inc.Chief Financial Officer - IPO IPONew York, NYRemote$300,000–$373,750li> Demonstrated government and regulatory experience, such as engaging with government agencies, navigating public policy, securing incentives/grants, or managing relations with regulatory bodies (e.g., experience in sectors with heavy government oversight like infrastructure, defense, energy, or regulated industries). Experience leading/contributing to an IPO process, including f S-1 filings, SEC compliance, roadshows, and transition to public company reporting (prior successful IPO as CFO highly preferred; experience in pre-IPO readiness or public company finance acceptable).
Chief Financial Officer Vaco LLCChief Financial OfficerNew Brunswick, NJ$275,000–$300,000p> Determining compensation for this role (and others) at Vaco by Highspring depends upon a wide array of factors including but not limited to: the individual’s skill sets, experience and training; licensure and certification requirements; office location and other geographic considerations; other business and organizational needs. Canadian residents may access our policies in English here and in French here.
NewSr. Compliance Officer (Associate) - Compliance Oversight Program - TD Securities (US) TD BankSr. Compliance Officer (Associate) - Compliance Oversight Program - 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. Assist with developing, implementing, and coordinating the Compliance Oversight program, including evaluating program design elements, analyzing Risk Owner testing and monitoring routines contributing to Compliance coverage plans, and enhancing and implementing key program elements.
NewSenior 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.
NewCompliance Officer, Global Markets Compliance Bank of MontrealCompliance Officer, Global Markets ComplianceNew York, NY$90,000–$100,000 / yearOur team is a growing Fixed Income, Currencies, and Commodities ("FICC") Compliance group in New York, with this role focused on Swap Dealer and Security-Based Swap Dealer requirements and corresponding oversight. Conduct and challenge risk assessments and perform or oversee monitoring and testing to ensure controls are effective and aligned with requirements, and ascertain/develop training based on identified gaps.
Director - Bank Regulatory Compliance Officer, TD Securities (US) TD BankDirector - Bank Regulatory Compliance Officer, 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. Client service skills – experience demonstrating sound judgment and close partnership with senior managers and other stakeholders globally, as well as relationship and network building that fosters advancement of collaborative working relationships.
Director - Bank Regulatory Compliance Officer The Toronto-Dominion BankDirector - Bank Regulatory Compliance OfficerNY$180,000–$225,000 / yearTotal 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. • Client service skills - experience demonstrating sound judgment and close partnership with senior managers and other stakeholders globally, as well as relationship and network building that fosters advancement of collaborative working relationships.
US Global Markets Fixed Income Compliance Officer Canadian Imperial Bank of CommerceUS Global Markets Fixed Income Compliance OfficerNY$150,000–$180,000 / yearAs a Compliance Officer, this job is accountable for reviewing the work of others in the business unit to ensure adherence with all CIBC and LOB governance requirements; As an employee of CIBC, the incumbent must complete all annual training requirements Authorities/Decision Rights: As a key contributor to the business unit, this job has the authority to recommend changes to business processes in order to enhance operational efficiency and effectiveness Who You Are Strong interpersonal and written/verbal communication skills Bachelor's degree; J.D. preferred Strong technical skills in Microsoft Excel, PowerPoint, SharePoint, Word; Strong interpersonal skills in order to maintain working relationships; Excellent verbal and writing skills; Series 7, 63 preferred (24 license a plus); Understanding of U.S. financial regulatory landscape, with an emphasis on U.S. broker-dealer regulations; In depth understanding of the U.S. Auction process and requirements.
Compliance - New York - Associate, Regulatory Compliance - 9338281 The Goldman Sachs Group IncCompliance - New York - Associate, Regulatory Compliance - 9338281New York, NY$89,000–$157,000 / yearMust have two (2) years of experience with: broad knowledge of financial products and markets, as well as laws, rules and regulations, such as FINRA and SEC rules; and experience in the financial services industry, either working for an investment manager, broker dealer, law firm, accounting firm, or regulator. Support and contribute to creating and executing detailed testing to assess compliance with regulations and firm policies, working closely with Compliance and business management to identify compliance, conduct, and reputational risks, and refine firm controls as appropriate.
Vice President, Legal and Compliance - CFTC Compliance Galaxy Digital IncVice President, Legal and Compliance - CFTC ComplianceNY$180,000–$240,000 / yearp>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 Galaxys related compliance program for the relevant activities. We 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. .
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.
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.
Trade Surveillance - Data Quality Associate (Sr. Compliance Officer) - TD Securities (US) The Toronto-Dominion BankTrade Surveillance - Data Quality Associate (Sr. Compliance Officer) - TD Securities (US)New York, NY$100,000–$135,000 / yearp>Specifically, the Data Quality Team works with TDS Chief Data Officer (CDO), Data and Delivery Initiatives (DDI) team, Compliance Technology, First-Line Risk and Control, and Front Office Technology to deliver a Surveillance data quality framework that includes: policies and procedures for effective data governance. 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.
NewCompliance Officer Career Launch AICompliance OfficerNew York, NY$140,000–$185,000p>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. It 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.
Senior Compliance Officer - Trade Surveillance - VN2849 MarexSenior Compliance Officer - Trade Surveillance - VN2849New York, NY$125,000–$175,000ul>Provide Trade Surveillance , E-communications, and Voice review services to US Broker Dealer (BD) and FCM (Futures) business linesReview alerts with due consideration in a timely fashion, maintaining queues within guidelinesUse 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.
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.
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.
Senior Compliance Officer II Popular IncSenior Compliance Officer IINY$160,000–$175,000 / yearli>Serve 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.
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.
Corporate Counsel - Employment Law iRhythm Holdings IncCorporate Counsel - Employment LawNYRemote$158,000–$206,000 / yearThe successful candidate will be primarily responsible for providing legal counsel and strategic advice on all aspects of employment law, including day-to-day HR advisory work, HR related contracts, onboarding and offboarding, policy review and development and workplace compliance across U.S. and international locations. Advise on executive employment agreements, offer letters, severance arrangements, and non-competition and non-solicitation agreements and draft, review, and negotiate general commercial contracts and vendor agreements in support of HR and business operations.
NewSenior 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.
NewSr. Compliance Officer - Monitoring & Testing (Associate) - TD Securities (US) TD BankSr. Compliance Officer - Monitoring & 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.
Senior Compliance Officer (Associate) - Conflicts Management, Global Control Room (NY) - TD Securities (US) The Toronto-Dominion BankSenior Compliance Officer (Associate) - Conflicts Management, Global Control Room (NY) - TD Securities (US)New York, NY$100,000–$135,000 / yearTotal 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. Key Responsibilities: Identify, assess, and resolve potential and actual conflicts of interest across TDS Securities with a primary focus on Corporate and Investment Banking, Capital Markets, Commercial Banking, Mergers and Acquisitions, and other business units within TD Securities and TD Bank as needed.
Relationship Manager - Law Firms Moody's CorpRelationship Manager - Law FirmsNew York, NY$113,200–$164,050 / yearp>• 5-10 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.
Surveillance Compliance Officer Fortress Investment Group LLCSurveillance Compliance OfficerNY$90,000–$150,000 / yearFounded in 1998, Fortress manages assets on behalf of approximately 2,000 institutional clients and private investors worldwide across a range of credit and real estate, private equity and permanent capital investment strategies. The investment model emphasizes deep industry and asset class specific research along with substantial data analysis as a backdrop to formulating opinions on attractive transactions and deal structures.
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.
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 - Surveillance - VN2849 MAREX Group LimitedCompliance Officer - Surveillance - VN2849New York, NY$125,000–$175,000 / yearThe role will primarily focus on 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.
Compliance Officer - Trade Surveillance - VN2849 MAREX Group LimitedCompliance Officer - Trade Surveillance - VN2849NY$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 - 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.
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.
Deputy General Counsel, Employment Law Alto IncDeputy General Counsel, Employment LawNJRemote$235,000–$280,000 / yearPhysical requirements for this role include the ability to work at a computer terminal with monitor, keyboard and mouse for extended periods of time, stoop, bend, and reach for equipment and supplies, make frequent repetitive motions required to operate a computer that include the wrists, hands and fingers, and lift, carry, push, pull, and move light objects up to 20 pounds. Employees are also provided flexible vacation time, accrued paid sick time, 10 paid holidays, (2 floating holidays for full time non-exempt employees) , and eight weeks of paid parental leave for eligible employees, additional paid weeks for the birthing parent, 4 weeks paid caregiver leave, and a Lifestyle Spending Account allowance each month.
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.
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.
Senior Corporate Counsel, Litigation, Regulatory & Compliance Clear Secure IncSenior Corporate Counsel, Litigation, Regulatory & ComplianceNew York, NY$225,000–$275,000 / yearp>CLEAR's Legal team is seeking an experienced and talented attorney to help manage commercial and regulatory litigation, oversee corporate and operational compliance, and support other aspects of CLEAR's secure identity business, including its consumer aviation product (CLEAR+), B2B secure identity platform (CLEAR1), and TSA PreCheck enrollment service. This newly created Senior Corporate Counsel, Litigation, Regulatory & Compliance role will report to the Senior Vice President, Chief Compliance Officer & Head of Litigation & Regulatory, and will play a key role supporting CLEAR's continued growth.
Compliance Officer CareerscapeCompliance OfficerNew York City, NY$95,000–$145,000 / yearFull timep>This role is ideal for candidates looking to grow in compliance, risk management, internal audit, regulatory operations, legal operations, financial services compliance, corporate governance, or business controls. This role will support compliance operations, regulatory monitoring, internal policies, documentation, risk controls, audits, and day-to-day compliance processes for a growing U.S.-based organization.
Compliance Officer Broker-Dealer Advisor Equities and Options - VN2750 MAREX Group LimitedCompliance Officer Broker-Dealer Advisor Equities and Options - VN2750NY$150,000–$185,000 / yearp>Purpose 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.
Commercial Compliance Officer Merck & Co IncCommercial Compliance OfficerRahway, NJ$173,200–$272,600 / yearThe CCO will proactively support client teams in the effective execution of business practices by partnering with them in creating policies and providing relevant consultation regarding said policies, promoting compliant behaviors, raising issues, and supporting corrective action. Understanding the business needs, strategic objectives, and operational practices of the client organizations (Digital Human Health, and Analytics; Commercial Excellence and Innovation; US-Marketing and Sales teams; relevant HH Business Functions).
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.
NewSecurity 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 Yorkul>Ensure 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.
Compliance Officer Centene Corporation GroupCompliance OfficerNJRemote$148,000–$274,200 / yearDevelop strategic relationships with agencies within the New Jersey Department of Human Services and other state regulatory policymakers with oversight responsibility for Managed Care organizations, Medicare and Medicaid initiatives. Chair or support market compliance committees and provide regular reporting to market and enterprise leadership regarding risks, trends and remediation activities.
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.