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).
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.
Lead Armed Transportation Officer PARAGON PROFESSIONAL SERVICES LLCLead Armed Transportation OfficerNewark, NJ$94,300 / yearMinimum two (2) years’ experience as a Law Enforcement Officer and/or Military Police Officer or six (6) months experience as a security officer engaged in functions related to detailing civil or administrative detainees or, two (2) years active-duty military service with an honorable discharge. Essential and marginal functions may require maintaining physical condition necessary for bending, stooping, sitting, walking, or standing for prolonged periods of time; most of the time spent sitting will be in a transportation vehicle with limited opportunity to move about.
Armed Security Transportation Officer PARAGON PROFESSIONAL SERVICES LLCArmed Security Transportation OfficerNew York, NY$37.15 / hourParagon offers a wide range of environmental investigation, consulting, compliance, and remediation services as well as IT solutions, Facility O&M, Materiel Support, Supply and Security to both private- and public-sector clients throughout Alaska and the Continental U.S. Paragon’s experienced professional staff is dedicated to producing high-quality documentation and providing safe field execution to support its clients’ projects in line with local, state and federal guidelines and regulations. · Level of Experience Requirements: Minimum two (2) years’ experience as a Law Enforcement Officer and/or Military Police Officer or six (6) months experience as a security officer engaged in functions related to detailing civil or administrative detainees or, two (2) years active-duty military service with an honorable discharge.
Product Management and Enablement Lead Brains Workgroup, Inc.Product Management and Enablement LeadNew York, NY$180,000–$200,000 / yearFull timeData Product Enablement Lead team of Data Product Coaches that will coach Business Data Product Managers in live delivery, not classroom theory. The Product Manager will work cross-functionally with engineering, data, business, and compliance teams to deliver world-class solutions that address complex data governance challenges.
["Compliance - Senior Compliance Officer - New Jersey","Compliance - Senior Compliance Officer - New Jersey"] B2C2["Compliance - Senior Compliance Officer - New Jersey","Compliance - Senior Compliance Officer - New Jersey"]PassaicAs B2C2 continues its rapid growth across global markets, we are seeking an execution-focused senior compliance leader to strengthen regulatory engagement discipline, drive operational rigor across core compliance programs, and ensure structured delivery in a fast-evolving supervisory environment. Regulatory program leadership includes: Serve as a senior point of contact for U.S. regulatory bodies, including NYDFS, FinCEN, SEC, CFTC, and state regulators, and be capable of stepping in on global matters if needed.
Head of Broker Dealer Compliance Americas and Chief Compliance Officer VN2908 MAREX Group LimitedHead of Broker Dealer Compliance Americas and Chief Compliance Officer VN2908New 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.
Head of Broker Dealer Compliance, Americas and Chief Compliance Officer (VN2908) MarexHead of Broker Dealer Compliance, Americas and Chief Compliance Officer (VN2908)New 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.
Head Of Broker Dealer Compliance, Americas And Chief Compliance Officer (Vn2908) Marex Group, Plc.Head Of Broker Dealer Compliance, Americas And Chief Compliance Officer (Vn2908)New 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.
Deputy Chief Compliance Officer StoneX Group IncDeputy Chief Compliance OfficerNew York, NY$120,000–$170,000 / yearInstitutional: Immerse yourself in the best-in-class institutional-grade technology, working alongside industry experts and gaining exposure to various asset classes, such as equities, options, fixed income securities, and advanced trading, research, and management technology. As a Fortune 100, Nasdaq-listed provider, we connect clients to the global markets - focusing on innovation, human connection, and providing world-class products and services to all types of investors.
Chief Compliance Officer MomentChief Compliance OfficerNew York City, New York$260,000–$290,000 / yearExpand 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.
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.
Chief Compliance Officer, Swap Dealer FalconXChief Compliance Officer, Swap DealerNew York City, NY$191,000–$252,000 / yearOperating at the intersection of traditional finance and cutting-edge technology, FalconX addresses the industry's foremost challenges: Navigating the digital asset market can be complex and fragmented, with limited products and services that support trading strategies, structures, and liquidity found in conventional financial markets. This person will advise internal stakeholders on implementation and development of CFTC, and NFA swap dealer requirements, including day-to-day oversight and program enhancements relating to policies and procedures, employee training, risk assessments, issues management, governance and management reporting, and metrics.
Deputy Chief Compliance Officer, Corporate Vice President New York Life Insurance CoDeputy Chief Compliance Officer, Corporate Vice PresidentNew York, NY$160,000–$228,500 / yearNYLIFE Securities and Eagle Strategies sit at the heart of New York Life's retail distribution strategy-delivering a broad product platform that includes variable annuities and variable life insurance, mutual funds, alternative investments, 529 plans, managed account programs through our advisory platform, and comprehensive fee-based financial planning-through a nationwide career agency distribution system. The Deputy CCO will lead the core elements of the compliance program, including compliance risk assessments, policy and procedure design, controls testing, supervisory oversight coordination, and the modernization of how compliance is delivered across one of the largest career agency distribution systems in the industry, with over 12,000 insurance agents, 6,500 registered representatives, and 1,700 investment adviser representatives.
NewChief Compliance Officer Moment Technology IncChief Compliance OfficerNew York, NY$260,000–$290,000 / yearExpand 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.
Deputy Chief Compliance Officer Stonex GroupDeputy Chief Compliance OfficerNew York, NY$120,000–$170,000 / yearInstitutional: Immerse yourself in the best-in-class institutional-grade technology, working alongside industry experts and gaining exposure to various asset classes, such as equities, options, fixed income securities, and advanced trading, research, and management technology. As a Fortune 100, Nasdaq-listed provider, we connect clients to the global markets – focusing on innovation, human connection, and providing world-class products and services to all types of investors.
Chief Compliance Officer NovigChief Compliance OfficerNew York City, New York$275,000–$325,000 / yearEnergized by partnering cross-functionally with Information Security (cybersecurity and systems controls), Surveillance (market monitoring and abuse prevention), Finance and Regulatory Finance (financial resource requirements and reporting), Legal (regulatory interpretation and external counsel coordination), and Engineering and Product to embed regulatory requirements directly into systems and workflows. Prepared to serve as the primary internal owner of the compliance framework, with the authority and judgment to identify issues, recommend solutions, and escalate matters to the Chief Regulatory Officer when appropriate.
Compliance Officer - Trade Surveillance Chicago Trading CompanyCompliance Officer - Trade SurveillanceNew York, NY$150,000–$200,000 / yearAs a Compliance Officer, you will report to the Chief Compliance Officer and handle various tasks supporting the firm's global compliance operations, focusing on securities and futures trade surveillances for all CTC trading affiliates globally. Candidates should have at least 8 years of experience in a compliance function that directly supports a professional trading business, or at least 3 years in a compliance function that supports a professional trading business and 5 additional years in non-compliance roles in financial services.
Compliance 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.
Private Markets Compliance Officer - Senior Analyst/Associate KKR & Co IncPrivate Markets Compliance Officer - Senior Analyst/AssociateNew York, NY$115,000–$150,000 / yearMonitoring compliance with regulatory guidance for all aspects of the KKR's private markets investing business, including assisting with transactional due diligence and managing anti-bribery, anti-corruption and anti-money laundering processes for fund transactions, trading (including best execution), investor reporting, and regulatory filings. The successful candidate will support Firm-wide compliance operations and initiatives by managing policies, processes, controls, disclosure obligations, technology systems, and partnering with business leaders to identify and mitigate legal, regulatory, operational and reputational risks.