NewCorporate Compliance Officer (Mandarin Speaking) ExperisCorporate Compliance Officer (Mandarin Speaking)New York, NY$70,000–$90,000ManpowerGroup® (NYSE: MAN), the leading global workforce solutions company, helps organizations transform in a fast-changing world of work by sourcing, assessing, developing, and managing the talent that enables them to win. We are recognized consistently for our diversity - as a best place to work for Women, Inclusion, Equality and Disability and in 2023 ManpowerGroup was named one of the World's Most Ethical Companies for the 14th year - all confirming our position as the brand of choice for in-demand talent.
NewAI 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. The contractor will be expected to make an immediate impact by improving AI use case intake, strengthening risk review workflows, maintaining clear documentation, and helping align AI activities with evolving legal, regulatory, privacy, security, and compliance expectations.
NewChief Ethics and Compliance Officer Naval Nuclear LaboratoryChief Ethics and Compliance OfficerWest Milton, NY$193,800–$314,900 / 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.
Senior Environmental, Safety & Health Compliance Engineer Naval Nuclear LaboratorySenior Environmental, Safety & Health Compliance EngineerNiskayuna, NY$95,700–$149,600 / yearBachelors degree from an accredited college or university in a related technical, engineering or science field and a minimum of 6 years of relevant experience; or Masters degree from an accredited college or university in a related technical, engineering or science field and a minimum of 4 years of relevant experience; or Doctorate degree from an accredited college or university in a related technical, engineering or science field and a minimum of 1 year of relevant experience; or Currently an Senior Reactor Training Engineer, Refueling Engineer, or Field (RPCO) Engineer at the Company. Responsibilities include: Ensure compliance with Federal/State regulations and applicable DOE Orders, e.g., Consolidated State Facility Air Permit (CASFP), State Pollution Discharge Elimination System (SPDES), Municipal Separate Storm Sewer System (MS4), Resource Conservation and Recovery Act (RCRA), Sanitary Sewage, Petroleum Bulk Storage (PBS), Asbestos NESHAP Notifications, National Environmental Policy Act (NEPA), and PCBs.
NewLead Fiduciary Compliance Specialist City National BankLead Fiduciary Compliance SpecialistNew York, NYRemote$120,000–$200,000 / yearBenefits and PerksAt City National, we strive to be the best at whatever we do, including the benefits and perks we offer our colleagues including:Comprehensive healthcare coverage, including Medical, Dental and Vision plans, available the first of the month following start date. In addition, the role serves as a liaison between compliance and business teams to identify process improvements, drive consistency in execution, and support business initiatives within a controlled and compliant environment.
Principal Environmental, Safety & Health Compliance Engineer Naval Nuclear LaboratoryPrincipal Environmental, Safety & Health Compliance EngineerWest Milton, NY$106,200–$166,000 / yearBachelors degree from an accredited college or university in a related technical, engineering or science field and a minimum of 9 years of relevant experience; or Masters degree from an accredited college or university in a related technical, engineering or science field and a minimum of 7 years of relevant experience; or Doctorate degree from an accredited college or university in a related technical, engineering or science field and a minimum of 3 years of relevant experience; or Currently an Principal Reactor Training Engineer, Refueling Engineer, or Field (RPCO) Engineer at the Company. Naval 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.
NewHead of Wealth Management Compliance City National Bank City National BankHead of Wealth Management Compliance City National BankNew York, NYRemote$200,000–$340,000 / yearAdvanced 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.
NewCompliance Specialist Senior Wealth Management City National BankCompliance Specialist Senior Wealth ManagementNew York, NYRemote$85,000–$145,000 / yearFunctions as an internal consultant to colleagues throughout City National Bank (CNB) related to operational compliance issues and concerns, utilizing their internal and external organizational agility to ascertain and deliver sound interpretation and advice. Benefits and PerksAt City National, we strive to be the best at whatever we do, including the benefits and perks we offer our colleagues including:Comprehensive healthcare coverage, including Medical, Dental and Vision plans, available the first of the month following start date.
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).
NewSenior Trust Officer Midland States BankSenior Trust OfficerTarrytown, NY$106,250–$177,050 / yearThe Senior Trust Officer is responsible to develop, deepen, and maintain relationships with investment management clients, trust clients, beneficiaries, and other interested parties for an assigned book of business and is expected to build a network of centers of influence. If you require reasonable accommodation in completing this application, interviewing, completing any pre-employment testing, or otherwise participating in the employee selection process, please direct your inquiries to Midland States Bank Human Resources at HR@midlandsb.com.
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.
Principal Environmental, Safety & Health Compliance Engineer Environmental Company ConfidentialPrincipal Environmental, Safety & Health Compliance Engineer EnvironmentalWest Milton, NY$105,200–$164,400 / yearFull time
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.
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.
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.
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.
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.
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 / yearWho 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.
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.
NewChief Legal & Compliance Officer African American Planning CommissionChief Legal & Compliance OfficerBrooklyn, NYThe CLCO may be asked to advise on a wide range of day-to-day organizational, programmatic and transactional matters, including legal issues related to employment, 501(c)(3) compliance, board governance, real estate, contracts and other matters. Reporting directly to the CEO, and, as/needed, directly to the Board, the Chief Legal & Compliance Officer ("CLCO") will provide the board of directors, senior management, program directors, and other staff with practical legal advice and support.
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 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.
NewTrade 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.
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.
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.
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.
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.
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 / yearSpecifically, 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.
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.
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.
NewChief Compliance Officer, RHD Robin HoodChief Compliance Officer, RHDNew York, NY$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 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.
Vice President, Registered Fund Compliance Officer Wilshire Advisors, LLCVice President, Registered Fund Compliance OfficerNY$180,000–$240,000 / yearThe Vice President, Registered Fund Compliance Officer will be responsible for maintaining and enhancing the compliance program for Wilshire's registered fund complex, including mutual funds, a variable insurance trust (VIT), and an interval fund. This role serves as a key compliance resource to the fund boards and works closely with internal stakeholders and sub-advisors to ensure adherence to the Investment Company Act of 1940 (the "40 Act") and applicable SEC regulations.
Senior 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 / 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.
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.
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 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.
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.
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.
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.
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.
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.