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 Manager, Asset Management Compliance - Alternatives Manager Oversight Fidelity InvestmentsSenior Manager, Asset Management Compliance - Alternatives Manager OversightNewark, NJRemote$85,000–$171,000Please be advised that Fidelity’s business is governed by the provisions of the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, numerous state laws governing securities, investment and retirement-related financial activities and the rules and regulations of numerous self-regulatory organizations, including FINRA, among others. These benefits include comprehensive health care coverage and emotional well-being support, market-leading retirement, generous paid time off and parental leave, charitable giving employee match program, and educational assistance including student loan repayment, tuition reimbursement, and learning resources to develop your career.
Chief Financial Officer Vaco LLCChief Financial OfficerNew Brunswick, NJ$275,000–$300,000Determining 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. Vaco by Highspring values a diverse workplace and strongly encourages women, people of color, LGBTQ+ individuals, people with disabilities, members of ethnic minorities, foreign-born residents, and veterans to apply.
CFO Vaco LLCCFOMonmouth Junction, NJ$200,000–$300,000Determining 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. Determining compensation for this role (and others) at Vaco/Highspring depends upon a wide array of factors including but not limited to the individual’s skill sets, experience and training, licensure and certifications, office location and other geographic considerations, as well as other business and organizational needs.
NewREMOTE - Controller - CFO Services / Outsourced Accounting JobotREMOTE - Controller - CFO Services / Outsourced AccountingCranford, NJRemote$160,000–$175,000 / 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. This is a high-impact role for an experienced accounting professional who is passionate about leveraging cutting-edge technology to deliver controller and CFO-level services to a diverse client portfolio.
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.
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.
Lead Armed Transportation Officer PARAGON PROFESSIONAL SERVICES LLCLead Armed Transportation OfficerNewark, NJ$94,300–$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 OfficerNewark, NJ$37.60–$37.60 / 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.
NewProject Officer II / III The LiRo GroupProject Officer II / IIILong Island City, NY$100,000–$139,000 / yearRecently, Global Infrastructure Solutions Inc. (GISI), the parent company of The LiRo Group and Hill International, Inc. consolidated a portion of the highly experienced staff of both LiRo and Hill in the Northeast to create a larger, more efficient, and cost-effective team to serve clients. Work with architect/engineer of record regarding change orders, interpretation of contract documents, shop drawing submittals/approvals and other technical matters as required to ensure a structurally sound, code compliant and aesthetic facility.
NewDocument Control Specialist / Project Officer Associate The LiRo GroupDocument Control Specialist / Project Officer AssociateLong Island City, NY$60,000–$80,000 / yearRecently, Global Infrastructure Solutions Inc. (GISI), the parent company of The LiRo Group and Hill International, Inc. consolidated a portion of the highly experienced staff of both LiRo and Hill in the Northeast to create a larger, more efficient, and cost-effective team to serve clients. We work hard to build a corporate culture that empowers all our employees to freely share their ideas, know their presence, and contributions are truly valued, fostering a climate where our employees are enabled to maximize their full potential.
NewSalesforce QA Analyst - COO Office Page GroupSalesforce QA Analyst - COO OfficeManhattan, NY$50–$63 / hourContractorWe are hiring a Salesforce QA Analyst to support Front Office initiatives, with strong experience in manual testing for Salesforce CRM, including test plans, test cases, and UAT with business stakeholders. Advanced analytical capabilities, including proficiency in Excel and SQL, with experience supporting change management initiatives.
VP Project Finance Credit Officer Page GroupVP Project Finance Credit OfficerNew York, NY$165,000–$240,000 / yearFull timeThis role focuses on independent credit oversight, partnering closely with front-office teams to evaluate, structure, and approve complex financings. Knowledge of infrastructure and energy markets, including evolving trends in renewables and digital assets.
NewPhysical Therapist Assistant - 6 TalentBurst, Inc.Physical Therapist Assistant - 6Fair Lawn, NJ$41–$42 / hourProvides individualized physical therapy treatments including but not limited to: Therapeutic exercise including aerobic capacity conditioning, balance coordination, agility training, body mechanics and postural stabilization, flexibility exercises, gait and locomotion training, neuromotor development training, relaxation, strength, power, and endurance training Functional training. Puts Patient Service First: Ensures that patients and families receive the highest quality of service in a caring and compassionate atmosphere which recognizes the individuals' needs and rights.
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.
NewSenior Compliance Officer, Investments Compliance American International GroupSenior 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.
Deputy Chief Compliance Officer, Corporate Vice President New York Life Insurance CoDeputy Chief Compliance Officer, Corporate Vice PresidentNY$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.
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.
Chief Compliance Officer (CCO) eToroChief Compliance Officer (CCO)New York, NY$270,000–$300,000 / yearProven people leadership and people-management skills — the ability to build, motivate, and develop a high-performing compliance team, hold people accountable in a constructive way, and create an environment where talent wants to grow. Strong AI literacy and genuine enthusiasm for working in an organisation where AI is central to the product and operational model — the CCO must be comfortable engaging with AI tools directly, forming views on their regulatory implications, and shaping how AI is deployed responsibly.
Executive Assistant - Chief Compliance Officer Americas Credit Agricole SAExecutive Assistant - Chief Compliance Officer AmericasNEW YORK, NY$90,000–$105,000 / yearWe are seeking a highly organized, proactive, and versatile professional to serve as Executive Assistant to Chief Compliance Officer for Credit Agricole CIB Americas (CCO). • Oversee daily office operations, ensuring the office runs smoothly and efficiently by handling tasks such as managing supplies, workstations, and coordinating maintenance.
Senior Vice President, Compliance Officer The Bank of New York Mellon CorpSenior Vice President, Compliance OfficerJersey City, NJ$102,000–$171,500 / yearIn this role, you'll make an impact in the following ways: Experienced Senior Compliance Officer to act as a strategic partner to business leaders responsible for development of advisory tech for the wealth management industry. Every day, our teams harness cutting-edge AI and breakthrough technologies to collaborate with clients, driving transformative solutions that redefine industries and uplift communities worldwide.
Chief Compliance Officer (CCO) eToro Group LtdChief Compliance Officer (CCO)Hoboken, NJ$270,000–$300,000 / yearProven people leadership and people-management skills - the ability to build, motivate, and develop a high-performing compliance team, hold people accountable in a constructive way, and create an environment where talent wants to grow. Strong AI literacy and genuine enthusiasm for working in an organisation where AI is central to the product and operational model - the CCO must be comfortable engaging with AI tools directly, forming views on their regulatory implications, and shaping how AI is deployed responsibly.
Chief Compliance Officer (CCO) – US FinTech MastarRecChief Compliance Officer (CCO) – US FinTechNew Jersey, NYRemoteThis role ensures compliance with federal and state financial regulations including AML/BSA, UDAAP, SEC/FINRA (where applicable), and multi state licensing requirements. The Chief Compliance Officer (CCO) provides enterprise wide regulatory governance and oversight across US FinTech operations.
Compliance Officer SpecialtyRxCompliance OfficerRidgefield Park, New Jersey$120,000–$130,000Tasks will include visiting pharmacy sites for mock inspection, authoring and updating internal policies and manuals, completing annual attestations for all locations, answering compliance and regulatory questions, and helping to obtain and maintain JCAHO accreditation for all sites. SpecialtyRx is an innovative, full-service pharmacy who partners with subacute and long-term care facilities throughout the United States, transforming drug care by facilitating the complete medication dispensing process.
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.
Financial Crime Compliance Officer Tradeweb Markets IncFinancial Crime Compliance OfficerJersey City, NJ$115,000–$150,000 / yearWorking closely with the Global Head of Financial Crime and US Chief Compliance Officers, you will support the delivery of financial crime compliance initiatives across Tradeweb's global business lines, helping to ensure the firm meets its regulatory obligations and manages financial crime risk effectively. Tradeweb 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.
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.
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.
Compliance Testing and Monitoring Officer Credit Agricole SACompliance Testing and Monitoring OfficerNY$145,000–$160,000 / yearYou'll gain unparalleled visibility through regular senior leadership presentations, develop sophisticated regulatory expertise across banking compliance domains, and build executive communication skills that accelerate career advancement into Compliance, Risk, or Internal Audit leadership roles. The combination of strategic impact, cross-functional exposure, investigative problem-solving, and the professional development infrastructure of a global banking platform like CACIB makes this the ideal next step for building a high-trajectory career in financial services compliance.
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.
Junior Compliance Officer/Auditor SGI Global, LLCJunior Compliance Officer/AuditorNewark, NJAssist with drafting audit reports and associated administrative fine paperwork to support the issuance of Notices of Intent to Fine, Final Orders, Warning Notices and other related documentation for HSI audits related to the employment eligibility verification process. The role assists in reviewing employment eligibility documentation, conducting database research, and preparing audit-ready case files and reports that support administrative enforcement actions and related determinations.
Compliance Officer North Yorkshire County CouncilCompliance OfficerNY$29,064–$31,537 / yearIntegrated Passenger Transport is responsible for the delivery of the following services across North Yorkshire: Home to School Transport and Health and Social Care Transport, Local & Community Transport Bus Services, Bus Information and Infrastructure, Transport Policy, ENCTS, Transport Operator Performance and Contract Compliance. As a North Yorkshire Council employee, you will have access to some great benefits via our everybody benefit's scheme such as shopping discounts, home technology and green car salary sacrifice schemes, financial wellbeing and health assured and our employee assistance programme to assist with your health and wellbeing.
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.
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.
Chief Compliance Officer US Computershare LtdChief Compliance Officer USNew York, NY$156,625–$223,190 / yearComputershare (ASX: CPU) is a global market leader in transfer agency and share registration, employee equity plans, mortgage servicing, proxy solicitation and stakeholder communications. Founded in 1978, Computershare is renowned for its expertise in high integrity data management, high volume transaction processing and reconciliations, payments and stakeholder engagement.
Futures Compliance Officer Phaxis LLCFutures Compliance OfficerNew York, NY$150,000–$175,000 / yearSenior Compliance Officer A global financial services firm is seeking a Senior Compliance Officer to provide real-time advisory support to its Futures Commission Merchant (FCM) business, including Introducing Brokers (IBs), Guaranteed Introducing Brokers (GIBs), and Swap Dealer activities. This role partners closely with front office teams, delivering practical, risk-based compliance guidance across trading and business operations.
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.
Senior Compliance Officer - Asset Management PhaxisSenior Compliance Officer - Asset ManagementNY, NY$150,000Growing Asset Management client is seeking a Senior Compliance Officer that will lead its trade compliance function and provide real-time advisory support to trading teams across products, strategies, and regions. Provide on-desk advisory guidance on Rule 105 of Regulation M, Regulation SHO, cross trades, trade allocations, best execution, MNPI, and ERISA considerations.
Senior Lead Compliance Officer - Prime Brokerage & Equities Wells Fargo & CoSenior Lead Compliance Officer - Prime Brokerage & EquitiesNY$191,000–$305,000 / yearDeep expertise in broker-dealer compliance frameworks with a strong focus on Equities Finance activities, including Knowledge of rules and regulations applicable to short sales, securities lending, portfolio margining, listed options position limits, Large Options Position Reporting, electronic blue sheets, Regulation T, and SEC Rule 15c3-3. The Senior Lead Compliance Officer will provide compliance coverage for Prime Brokerage, while extending support across Cash Equities and broader broker-dealer activities, partnering closely with business leadership to deliver regulatory guidance, governance oversight, and strategic direction as the platform scales.
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.
ED, Regional Compliance Officer (Northeast) Morgan StanleyED, Regional Compliance Officer (Northeast)Purchase, New Yorkgifts, 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. > 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 - 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.
Assistant General Counsel/Compliance Officer BestEx Research Group LLCAssistant General Counsel/Compliance OfficerStamford, CTIts cloud-based platform, Algo Management System (AMS), is the first end-to-end algorithmic trading solution for equities and futures that delivers an entire ecosystem around execution algorithms, including transaction cost analysis (TCA), an algo customization tool called Strategy Studio, a trading dashboard, and pre-trade analytics in a single platform. BestEx Research uses leading-edge technology to support its low-latency, highly scalable research, and trading systems with its back end in C++, research libraries in C++/Python and R, and web-based technologies for delivering its front-end platforms.
Vice President, Compliance Officer Cerberus Capital ManagementVice President, Compliance OfficerNew York, New YorkAdvise on Cerberus-related compliance matters including (i) management incentive plan approvals, (ii) management-fee offsets, and (iii) employee matters including moves between Cerberus and portfolio companies, among Cerberus affiliates, and of full-time employees to consulting roles (and vice versa). The role will involve participation in all stages of the investment lifecycle including pre-acquisition diligence, advising companies in the adoption of compliance policies and procedures, monitoring, testing, and mitigation during the course of an investment, and reverse-diligence and sale-readiness on exit.
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.
Compliance Officer - Surveillance - VN2849 MAREX Group LimitedCompliance Officer - Surveillance - VN2849New York, NY$125,000–$175,000 / yearThe role will primarily focus on Surveillance (Trade Activity and Communications) across a range of asset classes (Cash Equity, Fixed Income, Commodities, Derivatives (Futures, Options, Swaps)) on multiple exchanges, trading platforms and venues with an opportunity to gain exposure to a wider range of compliance activities at a market-leading firm. The depth of knowledge amongst its teams and divisions provides its customers with clear advantage, and its technology-led service provides access to all major exchanges, order-flow management via screen, voice and DMA, plus award-winning data, insights and analytics.
Compliance Officer - Trade Surveillance - VN2849 MAREX Group LimitedCompliance Officer - Trade Surveillance - VN2849NY$125,000–$175,000 / yearThe role will primarily focus on Trade Surveillance (Trade Activity and Communications) across a range of asset classes (Cash Equity, Fixed Income, Commodities, Derivatives (Futures, Options, Swaps)) on multiple exchanges, trading platforms and venues with an opportunity to gain exposure to a wider range of compliance activities at a market-leading firm. The depth of knowledge amongst its teams and divisions provides its customers with clear advantage, and its technology-led service provides access to all major exchanges, order-flow management via screen, voice and DMA, plus award-winning data, insights and analytics.
Senior Compliance Officer - Trade Surveillance - VN2849 MAREX Group LimitedSenior Compliance Officer - Trade Surveillance - VN2849New York, NY$125,000–$175,000 / yearThe role will primarily focus on Trade Surveillance (Trade Activity and Communications) across a range of asset classes (Cash Equity, Fixed Income, Commodities, Derivatives (Futures, Options, Swaps)) on multiple exchanges, trading platforms and venues with an opportunity to gain exposure to a wider range of compliance activities at a market-leading firm. The depth of knowledge amongst its teams and divisions provides its customers with clear advantage, and its technology-led service provides access to all major exchanges, order-flow management via screen, voice and DMA, plus award-winning data, insights and analytics.
Senior Compliance Officer - FCM Advisor - VN2537 MAREX Group LimitedSenior Compliance Officer - FCM Advisor - VN2537NY$150,000–$180,000 / yearThe depth of knowledge amongst its teams and divisions provides its customers with clear advantage, and its technology-led service provides access to all major exchanges, order-flow management via screen, voice and DMA, plus award-winning data, insights, and analytics. Purpose of Role: Marex is seeking a Senior Compliance Officer - FCM Advisor who will provide compliance advisory services for FCM as well as related Introducing Brokers (IBs), Guaranteed Introducing Broker (GIBs), and Swap Dealers.