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 OversightJersey City, 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.
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.
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.
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.
NewSenior 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.
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) 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.
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.
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.
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.
NewChief Compliance Officer New Jersey Institute of TechnologyChief Compliance OfficerNewark, NJ$130,000–$150,000 / yearAt the university's discretion, the education and experience prerequisites may be exempted where the candidate can demonstrate to the satisfaction of the university, an equivalent combination of education and experience specifically preparing the candidate for success in the position. NJIT considers factors such as (but not limited to) scope and responsibilities of the position, candidate's work experience, education/training, key skills, internal peer equity, as well as, market and organizational considerations when extending an offer.
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.
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.
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.
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.
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.
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.
US Compliance Officer LMAX Exchange Group LtdUS Compliance OfficerNY$150,000–$250,000 / yearYou will play a key role in navigating US regulatory frameworks, designing and implementing compliance infrastructure, and supporting licensing efforts including potential: CFTC SEF (Swap Execution Facility) registration. This is a hands on role, requiring a willingness to roll up sleeves across policy drafting, regulatory engagement, operational implementation, and ongoing compliance execution.
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.
NewCompliance Officer FirstService CorpCompliance OfficerNJ$18–$20 / hourRequesting Information About the AEDT - NYC Local Law 144: Candidates who reside in New York City and are subject to NYC Local Law 144 may request information about the AEDT, including details on the type of data collected, the sources of such data, and our data retention policies. May participate in any variety of meetings and work groups to integrate activities, communicate issues, obtain approvals, resolve problems and maintain specified level of knowledge pertaining to new developments, requirements, policies, and regulatory guidelines.
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.
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 Valley National BancorpSenior Compliance OfficerMorristown, NJPrepare and lead monitoring programs and may instruct junior officers or other staff conducting monitoring. Responsibilities include but are not limited to: Develop and maintain current knowledge of bank regulations.
Compliance Officer Vise IncCompliance OfficerNY$110,000–$130,000 / yearVise is the outsourced sub-advisor, doing trading, rebalancing, and managing client portfolios fully automated on the advisors behalf; Vise charges an AUM fee for its services. Our platform empowers advisors to create institutional-grade, personalized portfolios, automate their management, and explain valuable insights that enhance their expertise and service to clients.
Compliance Officer Broker-Dealer Advisor Equities and Options - VN2750 MAREX Group LimitedCompliance Officer Broker-Dealer Advisor Equities and Options - VN2750NY$150,000–$185,000 / yearPurpose of Role: Marex is a seeking a Broker-Dealer Compliance Advisor (focusing on Equities and Options) who is meant to be a subject matter expert in U.S. Broker-Dealer regulation providing compliance advisory services, with a strong background on Equities and Listed Options trading activities, as well as knowledge of various regulatory reporting requirements. The depth of knowledge amongst its teams and divisions provides its customers with clear advantage, and its technology-led service provides access to all major exchanges, order-flow management via screen, voice and DMA, plus award-winning data, insights, and analytics.
Compliance Officer - Testing Valley National BancorpCompliance Officer - TestingMorristown, NJUpdate relevant systems (e.g., AuditBoard) with testing workpapers, results, and status updates, ensuring records are organized and accessible for review. Collaborate with Compliance and business stakeholders to provide guidance on Compliance processes, gather information and discuss compliance issues and related opportunities for process improvements.
Compliance Officer PhaxisCompliance OfficerNew York, NY$125,000This role is instrumental in conducting trading and communication surveillance, investigating potential compliance issues, and working with business and technology partners to drive enhancements in surveillance processes. Experience reviewing and analyzing trading activity in one or more asset classes such as equities, options, fixed income, FX, futures, commodities, swaps.
Branch Examiner / Compliance Officer MindlanceBranch Examiner / Compliance OfficerJersey City, NJThe employee is expected to hold discussions either in-person or virtually with applicable branch or location personnel, summarize reviews in a written final report, maintain appropriate documentation to support reviews and findings/issues, and escalate any areas where concerns were noted. Daily Responsibilities:The Branch Inspection Program is one pillar of the US Broker-Dealer Shared Services team responsible for reviewing for compliance with FINRA Rules 3110 and 3120, NFA Rule 2-9, MSRB Rule G-27, and various internal Firm policies and procedures.
Compliance Officer Millennium Management LLCCompliance OfficerNY$160,000–$250,000 / yearKeep local Senior Management constantly appraised of the overall compliance landscape and exposures within the CLO and illiquid Credit businessProvide Compliance coverage for relevant regulatory examinations, internal investigations, regulatory inquiries, and internal and external audits and inspectionsTrack relevant regulatory developmentsParticipate in working groups and projects as neededProvide support with regulatory reporting as requiredPeriodic regional travel may be requiredQualifications/Skills RequiredLaw degree and legal background is preferred but not essentialStrong knowledge of CLO manager, illiquid credit and general credit businessesStrong knowledge and experience of Compliance monitoring and surveillanceStrong regulatory background US marketsComprehensive understanding of and experience working with the rules and regulations and compliance processes and systemsQuick learner, Detail oriented; Demonstrable thoroughness and strong ownership of work. Compliance OfficerThis role will provide Compliance coverage to the Credit Business and Infrastructure groups in US with a focus on CLO Manager, illiquid credit, operating in close partnership with the existing Compliance teams globally as well as the Global FIC Business Management team, and the various CLO & Credit Portfolio Managers.
Marketing Compliance Officer Oppenheimer Holdings IncMarketing Compliance OfficerNY$90,000–$125,000 / yearWith roots tracing back to 1881, the Company is engaged in a broad range of activities in the financial services industry, including retail securities brokerage, institutional sales and trading, investment banking (both corporate and public finance), equity & fixed income research, market making, trust services and investment advisory and asset management services. Understanding of wealth management and investment advisory products, including wrap fee separate account programs, private and registered investment funds, as well as the regulatory landscape of investment advisers and broker-dealers.
Compliance Risk Assessment Officer - VP Credit Agricole SACompliance Risk Assessment Officer - VPNY$140,000–$180,000 / yearKey Responsibilities: • Risk Assessment Framework • Design and continuously improve the Compliance Risk Assessment (CRA) methodology • Execute the annual CRA exercise across Bank businesses and Support Functions • Manage comprehensive data collection processes and implement quality controls • Provide credible challenge to first line of defense (LoD1) CRA results. • Cross-Functional Collaboration • Partner with relevant divisions on new tools implementation • Support methodological improvements across compliance processes • Liaise between business units and compliance teams to ensure alignment • Assist in working with Operational Risk Management on Compliance related controls and reporting.
NewCompliance Officer FirstService ResidentialCompliance OfficerHighland Lakes, NJ$18–$20 / hourFull timeRequesting Information About the AEDT - NYC Local Law 144: Candidates who reside in New York City and are subject to NYC Local Law 144 may request information about the AEDT, including details on the type of data collected, the sources of such data, and our data retention policies. May participate in any variety of meetings and work groups to integrate activities, communicate issues, obtain approvals, resolve problems and maintain specified level of knowledge pertaining to new developments, requirements, policies, and regulatory guidelines.
Junior Compliance Officer (Operations, Junior Analyst) The Mil CorpJunior Compliance Officer (Operations, Junior Analyst)NY$35,000–$48,000 / yearAssociates degree in Business, Accounting, Finance, Information Systems, Criminal Justice, or a related field is required; Bachelors degree in Business, Accounting, Finance, Information Systems, Criminal Justice, or a related discipline is preferred. 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.
Commercial Compliance Officer Merck & Co IncCommercial Compliance OfficerRahway, NJ$173,200–$272,600 / yearThe CCO will proactively support client teams in the effective execution of business practices by partnering with them in creating policies and providing relevant consultation regarding said policies, promoting compliant behaviors, raising issues, and supporting corrective action. Understanding the business needs, strategic objectives, and operational practices of the client organizations (Digital Human Health, and Analytics; Commercial Excellence and Innovation; US-Marketing and Sales teams; relevant HH Business Functions).
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.
Compliance-Surveillance-Senior-Officer - Associate JPMorgan Chase & CoCompliance-Surveillance-Senior-Officer - AssociateJersey City, NJAs a Surveillance Officer Senior Associate supporting the Compliance Conduct and Operational Risk (CCOR) organization, you will play a crucial role in Risk Management by conducting reviews of trade surveillance alerts related to Market Manipulation and Misconduct, Sales Practice, and Customer Suitability risks. JPMorganChase, one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the world's most prominent corporate, institutional and government clients under the J.P.
NewCompliance Product Officer Wealth Markets Citigroup IncCompliance Product Officer Wealth MarketsJersey City, NJ$142,320–$213,480 / yearThe role supports Wealth Markets desks by partnering with business management, Legal and other control functions to design, implement and maintain a robust compliance risk management framework that is aligned with Citi's risk appetite and protects the franchise. The successful candidate will serve as a trusted advisor to the business, providing day‑to‑day Compliance guidance on complex products and transactions, with a particular focus on structured notes, FX and Commodities products, and related regulatory requirements.
Regulatory Compliance Analyst - Investigations and Data Analysis NjtransitRegulatory Compliance Analyst - Investigations and Data AnalysisNewark, NJResearch and track trends and developments in the public transportation industry to enable NJTRANSIT to stay abreast of any changes to industry best practices and implement changes to streamline corporate oversight and operating efficiencies. Creates, tracks and maintains internal databases and reports regarding departmental and company-wide compliance initiatives and produces reports analyzing compliance data.
Legal & Compliance - Infrastructure - Compliance Attorney, AVP Blackstone IncLegal & Compliance - Infrastructure - Compliance Attorney, AVPNJWork 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.
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.
Compliance Associate Millennium Management LLCCompliance AssociateNY$70,000–$160,000 / yearThe Compliance Department at Millennium serves to adopt, implement, and carry out a compliance program, including policies and procedures, processes, systems, controls, surveillance, testing and reporting, which is designed to prevent or detect violations of applicable laws, rules and regulatory requirements and Firm policies. Additionally, possessing excellent verbal and written communication skills and having prior experience working in a highly regulated environment is required.
Director - Compliance Coordination and Regulatory Affairs Credit Agricole SADirector - Compliance Coordination and Regulatory AffairsNY$190,000–$240,000 / yearThe Director- Compliance Coordination and Regulatory Affairs is a senior role within the Compliance Team responsible for the following functions:Regulatory Engagement & Examination ManagementServe as Compliance primary point of contact for U.S. regulatory agencies during examinations, inquiries, and ongoing supervisory activities;Coordinate and manage end-to-end regulatory examinations, including preparation, document production, regulatory meetings, and remediation efforts;Develop and maintain examination response protocols and methodology;Track and manage regulatory requests to ensure timely, accurate, and complete responses;Review and challenge regulatory deliverables;Support regulatory inquiries and examinations in the Americas and across business lines as needed;Internal Audit CoordinationPartner with Internal Audit to coordinate compliance-related audit reviews;Manage audit response processes, including deliverables validation and review;Strategic Project LeadershipLead and contribute to high-priority compliance projects and department-wide initiatives;Collaborate with cross-functional teams to implement compliance program enhancements;Drive process improvements and automation opportunities within the compliance function;Stakeholder ManagementBuild and maintain productive relationships with regulatory agencies;Partner with other divisions (business lines/support functions) on compliance matters;Provide regular updates to senior leadership on regulatory developments and examination status. This team has a number of different functions, but its primary functions are the management of interactions with US Regulators, management of compliance projects, tracking and reporting of issues, quality assurance, regulatory watch and support to regulatory changes, compliance communication, and regulatory coordination.
Head of Legal & Compliance, PIMCO Investments Pacific Investment Management Co LLCHead of Legal & Compliance, PIMCO InvestmentsNY$265,000–$305,000 / yearYou will partner with PI's Chief Compliance Officer in engaging with FINRA and related regulatory matters and will take the lead in drafting, reviewing, and negotiating a broad array of fund-related agreements-from intermediary and fund participation agreements to ETF authorized participant arrangements and contracts with essential service providers. Our flexible capital base and deep relationships with issuers have helped us become one of the world's largest providers of traditional and nontraditional solutions for companies that need financing and investors who seek strong risk-adjusted returns.
Compliance Director - Equity Sales & Trading Piper Sandler CompaniesCompliance Director - Equity Sales & TradingNY$150,000–$200,000 / yearLead risk assessments, identifying control gaps and driving the remediation of issues identified in partnership with internal audit, exam staff, supervision team members, business partners, and through compliance supervisor control testing activities. This is reflected in our commitment to engage, hire, and retain bright, committed people to work in partnership within an inclusive environment that allows each person to achieve personal success and add value to our teams and communities.
Director of Compliance- New York City Group One Trading LPDirector of Compliance- New York CityNY$175,000–$200,000 / yearRESPONSIBILITIES Oversee full department operations including surveillance, investigations, regulatory reporting, testing, and training programs Design and implement compliance processes that balance regulatory requirements with business practicality Lead complex investigations and matters requiring senior-level involvement Provide expertise on novel compliance situations and ambiguous regulatory matters Lead cross-departmental initiatives requiring compliance input or oversight Ensure quality assurance for all compliance deliverables and work product Monitor team capacity and performance metrics to maintain program effectiveness Coordinate regulatory examinations and serve as primary working-level contact with regulators Manage vendor relationships for compliance systems. WHAT WE DO Group One Trading was founded in San Francisco in 1989 and weve become one of the largest privately held options trading firms in the United States with brilliant people on our team in New York, Chicago, Philadelphia, and San Francisco.