Temp Senior Compliance Officer Page GroupTemp Senior Compliance OfficerManhattan, NY$80–$89 / hourContractorIf this Temp Senior Compliance Officer role in New York aligns with your skills and career goals, we encourage you to apply and take the next step in your professional journey. The Temp Senior Compliance Officer will play a key role in ensuring adherence to regulatory requirements within the financial services industry.
NewChief Risk & Compliance Officer Page GroupChief Risk & Compliance OfficerNew York, NY$300,000–$400,000 / yearFull timeThis position represents a critical leadership hire, responsible for developing a cohesive framework spanning regulatory compliance, enterprise risk, governance, and operational resilience. The role blends advisory and execution, requiring strong judgement, regulatory expertise, and the ability to scale systems and teams in a dynamic environment.
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.
NewEntry Level Environmental, Safety & Health Compliance Engineer Safety Naval Nuclear LaboratoryEntry Level Environmental, Safety & Health Compliance Engineer SafetyNiskayuna, NY$63,900–$97,800 / yearNaval Nuclear Laboratory personnel are FMP employees who work at four DOE facilities: Bettis Atomic Power Laboratory, Knolls Atomic Power Laboratory, Kenneth A. Kesselring Site, and Naval Reactors Facility, and at the U.S. Department of Defense-owned Nuclear Power Training Unit-Charleston. For nearly 70 years, the Naval Nuclear Laboratory has developed advanced nuclear propulsion technology, provided technical support, and trained world-class nuclear operators to ensure the safe and reliable operation of our nation's submarine and aircraft carrier Fleets.
NewChief Financial Officer Peckham IndustriesChief Financial OfficerBrewster, NYThe Chief Financial Officer (CFO) has a critical role in providing leadership on all matters relating to the finance function ranging from budgeting and forecasting, business analysis, investment, tax and banking operations as well as strategic planning to deliver on growth strategies. Through our extensive network of hot mix asphalt and ready-mix concrete plants, quarries, and liquid asphalt terminals, PII delivers the highest quality materials and custom solutions to thousands of road construction and road maintenance customers.
NewChief Financial Officer - IPO IPO Kforce Inc.Chief Financial Officer - IPO IPONew York, NYRemote$300,000–$373,750Demonstrated 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).
Principal, Legal Compliance (Ethics & Compliance Officer) L3Harris Technologies IncPrincipal, Legal Compliance (Ethics & Compliance Officer)Rochester, NY$133,000–$247,000 / yearGlobal Trade Technical Senior Specialist Legal Port Hueneme, California, Fort Wayne, Indiana, Herndon, Virginia, Northampton, Massachusetts, Camden, New Jersey, Greenville, Texas, Anaheim, California, Fall River, Massachusetts, Clifton, New Jersey, Rockwall, Texas, Colorado Springs, Colorado, North Amityville, New York, Waco, Texas, Rochester, New York. Essential Functions: Internal Investigations: Conduct thorough internal investigations, including document reviews, interviews, and data analysis, including privileged internal investigations conducted under the supervision and direction of in-house and/or outside counsel; strategically plan each phase of investigations and effectively manage the logistics of travel, appointment scheduling, and timely escalation and reporting.
Senior Compliance Officer, Prudential Regulation Compliance (Reg W, Reg O, Anti-tying) KeyCorpSenior Compliance Officer, Prudential Regulation Compliance (Reg W, Reg O, Anti-tying)NYThe Senior Compliance Officer, Horizontal Compliance is responsible for assisting the applicable Compliance Executive in overseeing compliance risk mitigation and discouraging actions that may expose KeyCorp and its subsidiaries to regulatory, compliance, or reputational risks in excess of Keys risk tolerance. This position will be responsible for compliance oversight of Regulation W, Regulation O, and Anti-tying regulations, including serving as the second line of defense point of contact for Finance and Law Group Material Business Units.
Compliance Officer - Home Lending Compliance KeyCorpCompliance Officer - Home Lending ComplianceNYThey will provide consultative advice to applicable lines of business related to compliance, perform oversight activities and assume responsibility for mitigating and discouraging actions that may expose KeyCorp and its affiliates to risk outside its desired risk appetite. They will provide support to the Mortgage and Home Equity Origination lines of business by researching, interpreting, and assisting with applying the assigned laws and regulations to each applicable line of business processes and systems.
Assistant Regulatory Compliance Officer SUNY Upstate Medical UniversityAssistant Regulatory Compliance OfficerSyracuse, NYMust have comprehensive knowledge of pertinent state and federal rules and regulations applicable to a healthcare organization in an academic medical center, including but not limited to, Anti-Kickback Statute, Stark Law, False Claims Act, Civil Monetary Penalties, Fraud and Abuse, etc. Job Summary: The Assistant Regulatory Compliance Officer will support the duties of the Regulatory Compliance Officer (RCO) in enforcing and providing guidance on compliance with pertinent fraud and abuse laws and regulations that apply to all employees of the organization.
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.
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.
NewCompliance Officer - Commercial Servicing Key BankCompliance Officer - Commercial ServicingAlbany, NY$71,000–$125,000 / yearAs subject matter expert, the Commercial Compliance Officer – Servicing, will provide consultative advice, perform oversight activities and assume responsibility for mitigating and discouraging actions that may expose KeyCorp and its affiliates to risk outside its desired risk appetite. The Commercial Compliance Officer – Servicing, will provide loanservicing support to business and commercial lines of business by researching, interpreting and assisting with applying the related laws and 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.
Senior Corporate Counsel, Litigation, Regulatory & Compliance Clear Secure IncSenior Corporate Counsel, Litigation, Regulatory & ComplianceNew York, NY$225,000–$275,000 / yearCLEAR'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.
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.
Regulatory Compliance Associate CXG HoldingsRegulatory Compliance AssociateSmithtown, New YorkThis position works directly with senior leadership and legal professionals to prepare regulatory submissions, coordinate licensing applications, manage compliance documentation, and support interactions with FINRA, the SEC, state regulators, and other industry stakeholders. The ideal candidate has experience working within a broker-dealer, registered investment adviser, compliance consulting firm, or securities law practice and is interested in building expertise in financial services regulation and corporate transactions.
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 Fresenius KabiCompliance OfficerGrand Island, New YorkCompletes Complaint and Event Investigations, including performing risk assessment, impact to product in the field and field safety, facilitating SME discussions, gathering an analyzing relevant data, performing root cause analysis and CA/PA determination. The incumbent provides expertise in Deviation investigations, Complaints, Annual Product Review, and helps maintain the compliance of the CAPA system, as well as, reviewing and approving necessary documentation for regulatory correspondence.
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.
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.
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.
NewCompliance 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.
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.
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.
NewCompliance Officer Fresenius Kabi AGCompliance OfficerGrand Island, NY$73,614–$103,528 / yearCompletes Complaint and Event Investigations, including performing risk assessment, impact to product in the field and field safety, facilitating SME discussions, gathering an analyzing relevant data, performing root cause analysis and CA/PA determination. The incumbent provides expertise in Deviation investigations, Complaints, Annual Product Review, and helps maintain the compliance of the CAPA system, as well as, reviewing and approving necessary documentation for regulatory correspondence.
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.
Chief Risk and Compliance Officer Syracuse UniversityChief Risk and Compliance OfficerSyracuse, NYEducation, Reporting and Engagement - Prepares and delivers risk, ethics, and compliance dashboards; annual compliance plans; investigation and trend analyses; program maturity and effectiveness assessments; emerging regulatory updates; performance metrics; and written reports for the Audit and Risk Committee of the Board of Trustees and senior leadership, ensuring clear, accurate, and timely communication of key institutional risks and compliance obligations. The Chief Risk and Compliance Officer works with University leadership and internal stakeholders to evaluate strategic, operational, reputational, and compliance risks and to advance effective mitigation strategies that strengthen institutional resilience.
NewSenior Compliance Officer Albany MedSenior Compliance OfficerAlbany, NY$146,542–$234,467 / yearIn that regard each Senior must: implement a written compliance program and plan of sufficient detail to insure the detection of group or individual instances of noncompliance, provide each staff person with clearly delineated duties, responsibilities and expectations to complete their tasks, insure each person is able to perform their duties by virtue of education, training or other skills required of the position, monitor individual performance in sufficient detail to assess individual competence and effectiveness, and enforce compliance with Center directives and other applicable laws, rules, and regulations. The Senior Compliance Officer will provide independent and objective review of evidence that either supports or refutes the Center's claim of compliance as it relates to these areas; will identify potential areas of compliance vulnerability and risk as it relates to these missions; will develop corrective action plans for resolution of problematic matters; and will provide guidance on how to prevent the re-occurrence of non-compliance or reduce the risk to Center operations.
Senior Corporate Counsel, Litigation, Regulatory & Compliance CLEAR (clearme.com)Senior Corporate Counsel, Litigation, Regulatory & ComplianceNew York, NY$225,000–$275,000 / yearCLEAR’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 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.
Compliance Officer LE_ICMA-RC International City Management Association Retirement CorporationCompliance OfficerColumbia, District of ColumbiaWe focus on delivering results-oriented retirement and retiree health savings plans, education, investment options, personalized guidance, and related services to public sector participants in more than 9,200 plans and nearly 2 million participant accounts. 2+ years of experience in Broker‑Dealer, Investment Adviser, or mutual fund compliance, Financial services compliance, supervision, audit, or risk management, Direct work with federal and state securities regulations and SRO requirements.
Deputy General Counsel, Employment Law Alto IncDeputy General Counsel, Employment LawNYRemote$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.
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.
NewCompliance Officer- Risk Evaluation and Assurance KeyCorpCompliance Officer- Risk Evaluation and AssuranceAlbany, NY$71,000–$125,000 / yearGeneral Office - Prolonged sitting, ability to communicate face to face in person or on the phone with teammates and clients, frequent use of PC/laptop, occasional lifting/pushing/pulling of backpacks, computer bags up to 10 lbs. They may sit in the first or second line of defense and are expected to resolve complex problems or transactions, often owning one or more processes, reports, or procedures and serving as a subject matter expert on cross-functional projects.
NewCompliance Officer - Risk Evaluation and Assurance KeyCorpCompliance Officer - Risk Evaluation and AssuranceAlbany, NY$71,000–$125,000 / yearGeneral Office - Prolonged sitting, ability to communicate face to face in person or on the phone with teammates and clients, frequent use of PC/laptop, occasional lifting/pushing/pulling of backpacks, computer bags up to 10 lbs. They may sit in the first or second line of defense and are expected to resolve complex problems or transactions, often owning one or more processes, reports, or procedures and serving as a subject matter expert on cross-functional projects.
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.
Private Bank Americas – Senior Compliance Officer - Vice President Deutsche BankPrivate Bank Americas – Senior Compliance Officer - Vice PresidentNew YorkYou will provide leadership across control functions by working closely with Legal, Audit, Divisional Control, and supervisory teams to ensure comprehensive and consistent compliance coverage. In addition, your responsibilities will involve providing Compliance support, including advising and providing guidance to other Private Bank areas of business of a sophisticated full-service broker/dealer and banking business.
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.
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.
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.
NewSenior Compliance Officer Albany Medical CenterSenior Compliance OfficerAlbany, NY$146,542–$234,467 / yearIn that regard each Senior must: implement a written compliance program and plan of sufficient detail to insure the detection of group or individual instances of noncompliance, provide each staff person with clearly delineated duties, responsibilities and expectations to complete their tasks, insure each person is able to perform their duties by virtue of education, training or other skills required of the position, monitor individual performance in sufficient detail to assess individual competence and effectiveness, and enforce compliance with Center directives and other applicable laws, rules, and regulations. The Senior Compliance Officer will provide independent and objective review of evidence that either supports or refutes the Center's claim of compliance as it relates to these areas; will identify potential areas of compliance vulnerability and risk as it relates to these missions; will develop corrective action plans for resolution of problematic matters; and will provide guidance on how to prevent the re-occurrence of non-compliance or reduce the risk to Center operations.
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.
Enterprise Regulatory Compliance Audit & Monitoring Program Admin I/II/III Lifetime Benefit SolutionsEnterprise Regulatory Compliance Audit & Monitoring Program Admin I/II/IIIBuffalo, New YorkSummary: This role performs audits to ensure the organization is in compliance with federal, state and Association regulatory requirements (Centers for Medicare and Medicaid Services, Department of Health, Department of Financial Services, Department of Labor, Blue Cross Blue Shield Association, Federal Employee Plan, Office of Inspector General, Office of Medicaid Inspector General). NOTE: We include multiple levels of classification differentiated by demonstrated knowledge, skills, and the ability to manage increasingly independent and/or complex assignments, broader responsibility, additional decision making, and in some cases, becoming a resource to others.
Director Regulatory Compliance Nascentia Health IncDirector Regulatory ComplianceSyracuse, NY$108,599–$135,363 / yearThe Director of Regulatory Compliance is responsible for the operational oversight and execution of the organizations compliance, regulatory, audit, and monitoring activities across the Managed Long Term Care (MLTC), Medicare Advantage Dual Eligible Special Needs Plan (MAPD/D-SNP), Certified Home Health Agency (CHHA), Licensed Home Care Services Agency (LHCSA), Article 28 Clinic and other lines of business as applicable. We can address immediate needs, help support positive long term medical and lifestyle choices that provide for better outcomes, leverage cutting edge in-home care technologies, and help avoid unnecessary visits to busy healthcare facilities.
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.
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.