Chief 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.
NewLead Fiduciary Compliance Specialist City National BankLead Fiduciary Compliance SpecialistNew York, NYRemote$175,000–$225,000 / yearThe Lead Bank Fiduciary Compliance Specialist supports the execution, oversight, and continuous improvement of compliance programs within Wealth Management with specific focus on OCC 12 CFR 9 Fiduciary Activities and state fiduciary regulations including Delaware. Support the execution and ongoing enhancement of Wealth Management compliance programs, ensuring alignment with regulatory requirements and internal policies with specific focus on OCC 12 CFR 9 fiduciary compliance program requirements.
NewGeneral Counsel-Risk and Compliance Payarc LLCGeneral Counsel-Risk and ComplianceGreenwich, CTWe are backed by a team of world-class experts and the best technology talent, and we are committed to helping more new businesses get started, increase the revenues of our customers, and bridge the gap between online merchants and payment solutions. Serve as the company's primary point of accountability for regulatory examinations, audits, and inquiries from card brands (Visa, Mastercard, Discover, Amex), sponsor banks, and regulatory bodies.
NewManager, Business Tax Services - Employee Benefits Compliance KPMGManager, Business Tax Services - Employee Benefits ComplianceStamford, CT$107,160–$226,320 / yearBachelor's degree from an accredited college or university; Licensed CPA, JD/LLM or EA, in addition to others on KPMG's approved credential listing; any individual who does not possess at least one of the approved designations/credentials when their employment commences, has one year from their date of hire to obtain at least one of the approved designations/credentials; should you like to see the complete list of currently approved designations/credentials for the hiring practice/service line, your recruiter can provide you with that list. Work with KPMGs extensive network of specialists; enjoy access to our Ignition Centers, where deep industry knowledge merges with cutting-edge technologies to create innovative tax solutions.
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. Working knowledge of OCC Retail Non-Deposit Investment Products (RNDIP), Regulation R, associated investment products and services including associated ERISA compliance requirements.
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.
NewCompliance Audit Consultant Page GroupCompliance Audit ConsultantNew York, NY$60–$75 / hourThis international banking institution serves clients in both the United States and LATAM, operating regulated banking offices in New York and Miami while maintaining strong oversight across financial, operational, and compliance functions. The organization offers a broad range of employee benefits and emphasizes a robust risk management, internal audit, and regulatory compliance framework within a bilingual environment.
Director of LIHTC Compliance Page GroupDirector of LIHTC ComplianceYonkers, NY$120,000–$140,000 / yearFull timeThis role requires a strategic leader capable of implementing policies and managing risk effectively. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.
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.
Healthcare & Life Sciences Regulatory Partner JobotHealthcare & Life Sciences Regulatory PartnerPine Brook, NJ$200,000–$600,000 / yearThe firm represents stakeholders throughout the healthcare and life sciences industries, including physician groups, hospitals, ambulatory surgery centers, laboratories, pharmacies, pharmaceutical and life sciences companies, ancillary service providers and other healthcare organizations. Information collected and processed as part of your Jobot candidate profile, and any job applications, resumes, or other information you choose to submit is subject to Jobot's Privacy Policy, as well as the Jobot California Worker Privacy Notice and Jobot Notice Regarding Automated Employment Decision Tools which are available at jobot.com/legal.
Senior FDA Attorney JobotSenior FDA AttorneyPine Brook, NJRemote$250,000–$400,000 / yearThis is a senior-level opportunity for an attorney with at least 10 years of substantive FDA experience who is prepared to advise clients on sophisticated regulatory, compliance, transactional, and enforcement matters involving pharmaceuticals, compounding pharmacies, drug and device manufacturers, clinical trials, dietary supplements, veterinary products, and other FDA-regulated businesses. The firm is focused exclusively on healthcare and life sciences and represents clients across the full healthcare ecosystem, including pharmacies, physician groups, hospitals, ambulatory surgery centers, laboratories, manufacturers, suppliers, ancillary service providers, and emerging healthcare businesses.
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).
NewSVP, Chief Credit Risk Officer Vaco LLCSVP, Chief Credit Risk OfficerEdgewater, NJ$250,000–$350,000 / yearReporting directly to the Chief Risk and Compliance Officer, this leader will own the end-to-end credit risk framework, establish enterprise risk appetite, and ensure rigorous credit governance as we scale our lending products, commercial portfolios, and tech-driven partner ecosystems. Portfolio Management, CECL & Settlement Risk Multi-Vertical Oversight: Direct credit policy and portfolio performance across Commercial Banking (CRE, C&I, SBA), Structured Finance, Marketplace Lending, and Banking-as-a-Service (BaaS) partnerships.
Chief Accounting Officer Vaco LLCChief Accounting OfficerNew York, NY$130–$150 / hourDetermining 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. Board & Auditor Engagement: Proven track record of direct interaction with Audit Committees, Boards of Directors, and managing Big Four audit relationships.
NewR&D Skin Care Manager JouléR&D Skin Care Manager08512, NJ$92,000–$120,000 / yearKey Skills : Skin care formulation leadership (bench-to-scale), clean ingredient strategy, chassis development (serums /masks/ treatments & sensitive-skin), emulsion / rheology/ sensorial optimization, raw material evaluation & supplier/ CMO partnership, tech transfer/ pilot batches /line trials and scale-up troubleshooting, stability & compatibility testing, claims substantiation and consumer evaluation methods, global cosmetics regulatory & compliance mindset, cross-functional collaboration (Packaging/ QA/ Supply Chain/ Marketing/ NPD), project management/ resource planning, and team mentoring/people leadership System One, and its subsidiaries including Joulé and Mountain Ltd., are leaders in delivering outsourced services and workforce solutions across North America. Lead the development of innovative skin care formulations, focusing on clean ingredients, including serums, masks, treatment products, and sensitive skin products.
NewRegulatory Associate Investment Management City National BankRegulatory Associate Investment ManagementNew York, NYRemote$92,114–$156,880 / yearRBC Rochdale provides investment research, portfolio management, macroeconomic outlook and strategic asset allocation to help clients meet their long-term goals. Project & Problem-Solving: End-to-end project management with demonstrated ability to deconstruct complex problems, prioritize issues, and build quantitative and qualitative analyses.
VP, Commercial Credit Risk Vaco LLCVP, Commercial Credit RiskEdgewater, NJ$200,000–$225,000 / yearDetermining 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. Evaluate complex commercial transactions across Commercial Real Estate (CRE), Construction, Commercial & Industrial (C&I), Lender Finance, SBA, and Healthcare lending portfolios.
Regulatory Reporting Change Management Consultant Page GroupRegulatory Reporting Change Management ConsultantManhattan, NY$65–$71 / hourFull timeThis temporary role focuses on ensuring compliance with evolving regulations and streamlining processes within the banking and financial services department. A successful Regulatory Change Management Consultant should have: A strong understanding of the regulatory environment within the financial services industry.
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. Works with outside legal counsel and other professionals to help establish legal and regulatory compliance in the administration of personal trusts, investment agency, IRA and guardianship accounts.
New["Compliance Officer (Hybrid)","Compliance Officer (Hybrid)"] Atlantic Group["Compliance Officer (Hybrid)","Compliance Officer (Hybrid)"]New York$130,000–$160,000 / yearCollaborate with internal teams and service providers to maintain a robust compliance culture while managing key projects, regulatory filings, and compliance training initiatives. Technical Skills: Strong knowledge of the Investment Advisers Act of 1940 and the Code of Ethics, with required familiarity with the SEC Marketing Rule.
New["Senior Compliance Officer II","Senior Compliance Officer II"] Popular["Senior Compliance Officer II","Senior Compliance Officer II"]New York$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, 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.
New["Compliance Officer (Distribution Marketing)","Compliance Officer (Distribution Marketing)"] Franklin Resources, LLC.["Compliance Officer (Distribution Marketing)","Compliance Officer (Distribution Marketing)"]New York$130,000–$150,000 / yearWe also offer a comprehensive benefits package, which includes a range of competitive healthcare options, insurance, and disability benefits, employee stock investment program, learning resources, career development programs, reimbursement for certain education expenses, paid time off (vacation / holidays / sick / leave / parental & caregiving leave / bereavement / volunteering / floating holidays) and a motivational wellbeing program. This person will achieve this by advocating for and owning key compliance review processes, leading improvements, resolving issues and driving marketing content changes to keep up with evolving regulatory requirements.
NewHead Of Broker Dealer Compliance, Americas And Chief Compliance Officer Marex Group, Plc.Head Of Broker Dealer Compliance, Americas And Chief Compliance OfficerNew York, NY$290,000–$335,000 / yearThe Head of Broker Dealer Compliance is an expert in Broker Dealer regulation that leads a team of compliance officers in providing compliance advisory services for Equities, Fixed Income, Listed Options trading activities as well as knowledge of various regulatory reporting requirements. The depth of knowledge amongst its teams and divisions provides its customers with clear advantage, and its technology-led service provides access to all major exchanges, order-flow management via screen, voice and DMA, plus award-winning data, insights, and analytics.
Compliance Officer, 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.
NewHead of Broker Dealer Compliance, Americas and Chief Compliance Officer MarexHead of Broker Dealer Compliance, Americas and Chief Compliance OfficerNew York, NY$290,000–$335,000 / yearThe Head of Broker Dealer Compliance is an expert in Broker Dealer regulation that leads a team of compliance officers in providing compliance advisory services for Equities, Fixed Income, Listed Options trading activities as well as knowledge of various regulatory reporting requirements. The depth of knowledge amongst its teams and divisions provides its customers with clear advantage, and its technology-led service provides access to all major exchanges, order-flow management via screen, voice and DMA, plus award-winning data, insights, and analytics.
Compliance Officer, Trading Compliance Point72, L.P.Compliance Officer, Trading ComplianceStamford, CTThe Point72 Compliance department is an industry-leading team of compliance professionals who support global investment and trading activities by establishing and enforcing the firm's compliance policies, providing real-time advice, and conducting pre- and post-trade surveillance. Investigate trading exceptions and potential breaches, prepare concise findings and remediation plans, and present results to senior compliance leaders.
Compliance Officer, Trading Compliance Point72Compliance Officer, Trading ComplianceStamford, CTThe Point72 Compliance department is an industry-leading team of compliance professionals who support global investment and trading activities by establishing and enforcing the firm's compliance policies, providing real-time advice, and conducting pre- and post-trade surveillance. Investigate trading exceptions and potential breaches, prepare concise findings and remediation plans, and present results to senior compliance leaders.
New["Senior Analyst, Regulatory Compliance, Registration and Licensing","Senior Analyst, Regulatory Compliance, Registration and Licensing"] Macquarie Global Services["Senior Analyst, Regulatory Compliance, Registration and Licensing","Senior Analyst, Regulatory Compliance, Registration and Licensing"]New York$92,000–$105,000 / yearJoin our Compliance team within the Risk Management Group, as we support an exciting strategic program of work that aligns our risk management strategy and manages global individual licensing processes for US-based regulators (FINRA, NFA, CFTC, SEC) across regions, ensuring compliance through request review, workflow management and employment verification. Our Risk Management Group works as an independent, and centralised function, responsible for independent and objective review and challenge, oversight, monitoring and reporting in relation to Macquarie's material risks.
Vice President, Legal And Compliance - Cftc Compliance Galaxy DigitalVice President, Legal And Compliance - Cftc ComplianceNew York, NY$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.
New["Compliance Officer","Compliance Officer"] D. E. Shaw &["Compliance Officer","Compliance Officer"]New York$140,000–$180,000 / yearThe D. E. Shaw group may collect, use, hold, transfer, and process candidates' resumes and associated information (including personal information contained therein) for purposes reasonably related to their application, including without limitation: review and management of employment applications and supporting materials; administration and management of offers to and communication with candidates; and administration, management, and improvement of the recruiting operations of the D. E. Shaw group; and/or where reasonably required in connection with a proposed sale, spin-out, reorganization, or outsourcing of all or some of the business of the D. E. Shaw group. The D. E. Shaw group may transfer such personal information within and outside the country and jurisdiction of the locations where the D. E. Shaw group maintains offices, to other D. E. Shaw group affiliates, to government and regulatory authorities, and to third parties which provide or may provide support and/or services to the D. E. Shaw group and for the purposes set forth above.
Legal & Compliance - Infrastructure - Compliance Attorney, AVP Blackstone IncLegal & Compliance - Infrastructure - Compliance Attorney, AVPNewark, NJWork 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.
New["Compliance Officer","Compliance Officer"] Man Group["Compliance Officer","Compliance Officer"]New York$130,000–$150,000 / yearThe Compliance team provides a second line of defense, their role includes providing oversight and guidance on the Firm's compliance with applicable rules, regulations and internal policies and procedures including working with other areas of the Firm to devise and maintain appropriate systems and controls for the Firm. Powered by talent and advanced technology, our single and multi-manager investment strategies are underpinned by deep research and span public and private markets, across all major asset classes, with a significant focus on alternatives.
New["Regulatory Compliance Analyst","Regulatory Compliance Analyst"] Ripple["Regulatory Compliance Analyst","Regulatory Compliance Analyst"]New York$72,000–$90,000 / yearPrepare and submit state license renewal applications, annual reports, and other maintenance filings; manage surety bond renewals and adjustments; and coordinate change notifications - working across Finance, Legal, and other internal teams to meet deadlines. Assist in preparing for regulatory examinations-managing information requests, coordinating cross-functionally to gather and prioritize responsive documentation, and drafting correspondence in close collaboration with senior team members.
Vice President, Legal and Compliance - CFTC Compliance GalaxyVice President, Legal and Compliance - CFTC ComplianceNew York, NY$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. Led by CEO and Founder Michael Novogratz, our team blends deep crypto expertise with institutional experience and a shared commitment to shaping the future of Web3 and AI.Galaxy is headquartered in New York City, with offices across North America, Europe, the Middle East, and Asia.
Mortgage Compliance Officer - Remote Longbridge Financial, LLCMortgage Compliance Officer - RemoteParamus, NJRemote$130,000–$135,000 / yearMonitor federal and state regulatory sources (CFPB, HUD, TILA, HMDA, RESPA, UDAAP state agencies) for new rules, guidance, and legislative updates affecting mortgage lending. As a leading provider of home equity solutions for seniors, we're committed to helping older homeowners make the most of what they've worked hard to build, so they can live the retirement they imagined.
Vice President, Legal and Compliance - CFTC Compliance Galaxy Digital IncVice President, Legal and Compliance - CFTC ComplianceNew York, NY$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.
Senior Compliance Officer, Trade Surveillance - Vn2849 Marex Group, Plc.Senior 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 Corporate Counsel, Regulatory, Compliance & Litigation Clear Secure IncSenior Corporate Counsel, Regulatory, Compliance & LitigationNew York, NY$225,000–$275,000 / yearAs Senior Corporate Counsel, Litigation, Regulatory & Compliance, you''ll manage commercial and regulatory litigation, oversee corporate and operational compliance, and provide strategic legal guidance across CLEAR's secure identity business, including its consumer aviation product (CLEAR+), B2B secure identity platform (CLEAR1), and TSA PreCheck enrollment service. Reporting to the Senior Vice President, Chief Compliance Officer & Head of Litigation & Regulatory, you''ll partner closely with leaders to manage legal and regulatory risk and enable CLEAR''s continued growth through practical, business-focused counsel.
Vice President, Registered Fund Compliance Officer Wilshire Advisors, LLCVice President, Registered Fund Compliance OfficerNew York, NY$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.
NewCompliance Officer Flow Traders LtdCompliance OfficerNew York, NY$95,000–$130,000 / yearSupport the broader employee compliance program, including in the areas of employee onboardings/terminations, personal trading, outside business activities, gifts and entertainment, political contributions, exchange registrations, social media, electronic communications, and continuing education. All resumes, and any other information identifying potential candidates, submitted to any employee at Flow Traders via-email, the Internet or directly without a valid and signed search agreement will be deemed free to contact by Flow Traders without any restrictions and no placement fee of any kind will be paid in the event the candidate is hired by Flow Traders.
Senior Compliance Officer - FCM Advisor - VN2537 MAREX Group LimitedSenior Compliance Officer - FCM Advisor - VN2537New York, NY$150,000–$180,000 / yearThe depth of knowledge amongst its teams and divisions provides its customers with clear advantage, and its technology-led service provides access to all major exchanges, order-flow management via screen, voice and DMA, plus award-winning data, insights, and analytics. Purpose of Role: Marex is seeking a Senior Compliance Officer - FCM Advisor who will provide compliance advisory services for FCM as well as related Introducing Brokers (IBs), Guaranteed Introducing Broker (GIBs), and Swap Dealers.
NewSenior 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.
NewSenior Compliance Officer, Trade Surveillance - VN2849 MarexSenior Compliance Officer, Trade Surveillance - VN2849New York, NY$125,000–$175,000 / yearProvide 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 Flow TradersCompliance OfficerNew York, NY$95,000–$130,000 / yearSupport the broader employee compliance program, including in the areas of employee onboardings/terminations, personal trading, outside business activities, gifts and entertainment, political contributions, exchange registrations, social media, electronic communications, and continuing education. All resumes, and any other information identifying potential candidates, submitted to any employee at Flow Traders via-email, the Internet or directly without a valid and signed search agreement will be deemed free to contact by Flow Traders without any restrictions and no placement fee of any kind will be paid in the event the candidate is hired by Flow Traders.
Senior Compliance Officer II Popular IncSenior Compliance Officer IINew York, NY$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.
NewCompliance Officer 1 Halifax Regional CouncilCompliance Officer 1New York, NYAs a member of the Parking Services Team, reporting to Supervisor, Parking Enforcement, the Compliance Officer I (COI) is primarily responsible for enforcing Municipal Legislation related to parking enforcement and front-line compliance in a range of legislation including but not limited to: Pay-Station By-law. To ensure a fair and equitable hiring process, candidates are expected to complete all parts of the recruitment process, including assessments, assignments, and interviews independently and without the use of artificial intelligence (AI) tools or other forms of external assistance.
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.
Chief Risk & Compliance Officer Michael Page InternationalChief Risk & Compliance OfficerNew York, New York$300,000–$400,000 / yearFull timeEnterprise Risk ManagementDesign and implement a firmwide risk management architecture, including governance, appetite setting, and reporting. Regulatory Leadership & Compliance OversightDefine and manage a forward-looking compliance strategy across multiple jurisdictions.
Compliance Officer (Business Analyst) Franklin Resources IncCompliance Officer (Business Analyst)New York City, NY$130,000–$150,000 / yearWe also offer a comprehensive benefits package, which includes a range of competitive healthcare options, insurance, and disability benefits, employee stock investment program, learning resources, career development programs, reimbursement for certain education expenses, paid time off (vacation / holidays / sick / leave / parental & caregiving leave / bereavement / volunteering / floating holidays) and a motivational wellbeing program. This person will achieve this by advocating for and owning key compliance review processes, leading improvements, resolving issues and driving marketing content changes to keep up with evolving regulatory requirements.