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 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.
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 (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.
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.
Chief Risk and Compliance Officer Syracuse UniversityChief Risk and Compliance OfficerSyracuse, NYEducation, Reporting and Engagement - Prepares and delivers risk, ethics, and compliance dashboards; annual compliance plans; investigation and trend analyses; program maturity and effectiveness assessments; emerging regulatory updates; performance metrics; and written reports for the Audit and Risk Committee of the Board of Trustees and senior leadership, ensuring clear, accurate, and timely communication of key institutional risks and compliance obligations. The Chief Risk and Compliance Officer works with University leadership and internal stakeholders to evaluate strategic, operational, reputational, and compliance risks and to advance effective mitigation strategies that strengthen institutional resilience.
Compliance Officer - Home Lending Compliance KeyCorpCompliance Officer - Home Lending ComplianceNYThey will provide consultative advice to applicable lines of business related to compliance, perform oversight activities and assume responsibility for mitigating and discouraging actions that may expose KeyCorp and its affiliates to risk outside its desired risk appetite. They will provide support to the Mortgage and Home Equity Origination lines of business by researching, interpreting, and assisting with applying the assigned laws and regulations to each applicable line of business processes and systems.
Principal, Legal Compliance (Ethics & Compliance Officer) L3Harris Technologies IncPrincipal, Legal Compliance (Ethics & Compliance Officer)Rochester, NY$133,000–$247,000 / yearGlobal Trade Technical Senior Specialist Legal Port Hueneme, California, Fort Wayne, Indiana, Herndon, Virginia, Northampton, Massachusetts, Camden, New Jersey, Greenville, Texas, Anaheim, California, Fall River, Massachusetts, Clifton, New Jersey, Rockwall, Texas, Colorado Springs, Colorado, North Amityville, New York, Waco, Texas, Rochester, New York. Essential Functions: Internal Investigations: Conduct thorough internal investigations, including document reviews, interviews, and data analysis, including privileged internal investigations conducted under the supervision and direction of in-house and/or outside counsel; strategically plan each phase of investigations and effectively manage the logistics of travel, appointment scheduling, and timely escalation and reporting.
Trade 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.
Broker Dealer Compliance Officer Remote CXG Holdings IncBroker Dealer Compliance Officer RemoteSmithtown, NYRemote$40–$60 / hourCompliance Exchange Group (CXG) is the market leader in providing a complete turn-key service for Broker Dealers including CMA / NMA services, buying, selling and building Broker Dealers. This includes principal outsourcing on all levels, including CCO, FINOP, CEO, and developing regulatory compliance systems to satisfy FINRA, SEC, state and federal regulators.
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 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.
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.
NewSenior Lead Compliance Officer - Prime Brokerage & Equities Wells Fargo BankSenior Lead Compliance Officer - Prime Brokerage & EquitiesNew York, New YorkDeep 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.
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.
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, NY$165,000–$275,000 / yeargifts, 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. What you'll do in the role: > 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.
NewDigital Assets Compliance Officer Framework VenturesDigital Assets Compliance OfficerNew York, NY$93,500–$110,000 / yearTogether with our 170+ partners, we've originated over $17 billion in home equity loans (HELOCs) on our blockchain-native platform, making Figure the largest non-bank provider of home equity financing in the U.S. Figure's ecosystem also includes YLDS, an SEC-registered yield‑bearing stablecoin that operates as a tokenized money market fund, and several other products and platforms that are reshaping consumer finance and capital markets. Familiarity with blockchain technology, from its underlying concepts to its architecture and protocols.3+ years experience coordinating money transmitter licenses with states.2+ years experience coordinating regulatory approvals with FINRA, SEC, CFTC or NFA.FINRA Series 7/24 a plus but not required.
Compliance Officer Initio CapitalCompliance OfficerNew York, NY$145,000–$185,000It is provided to help job seekers understand the responsibilities and qualifications typically associated with compliance, regulatory, and risk management roles in investment and corporate finance. Estimated Compensation: $145,000 – $185,000 total annual compensation (varies by employer).
Senior Lead Compliance Officer - CIB Wells Fargo & CoSenior Lead Compliance Officer - CIBNew York, NY$191,000–$305,000 / yearThey are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. Expert-level knowledge of compliance program operations including compliance risk assessment, compliance monitoring programs, compliance issues management, and compliance risk data architecture and technology platforms commensurate with large financial institution independent risk management programs.
NewSenior Lead Compliance Officer - Futures Commission Merchant (FCM) - Executive Director Wells Fargo BankSenior Lead Compliance Officer - Futures Commission Merchant (FCM) - Executive DirectorNew York, New YorkThey are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. Expert-level knowledge of compliance program operations including compliance risk assessment, compliance monitoring programs, compliance issues management, and compliance risk data architecture and technology platforms commensurate with large financial institution independent risk management programs.
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.
Assistant Regulatory Compliance Officer SUNY Upstate Medical UniversityAssistant Regulatory Compliance OfficerSyracuse, NYMust have comprehensive knowledge of pertinent state and federal rules and regulations applicable to a healthcare organization in an academic medical center, including but not limited to, Anti-Kickback Statute, Stark Law, False Claims Act, Civil Monetary Penalties, Fraud and Abuse, etc. Job Summary: The Assistant Regulatory Compliance Officer will support the duties of the Regulatory Compliance Officer (RCO) in enforcing and providing guidance on compliance with pertinent fraud and abuse laws and regulations that apply to all employees of the organization.
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.
Monitoring & Surveillance Compliance Officer (Vice President) Credit Agricole SAMonitoring & Surveillance Compliance Officer (Vice President)NEW YORK, NY$135,000–$165,000 / yearKey Responsibilities:Review and handle communications alerts and pertinent data to assess potential violations of laws, rules, regulations and the Firm's policiesDirect the Monitoring & Surveillance review team, ensuring effective risk identification, escalation, and resolution. Key Internal contacts:All business units;IT Department;Legal department;Audit department;Risk departments; andOperations departments.
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.
NewCompliance Officer Surveillance VN2997 MAREX Group LimitedCompliance Officer Surveillance VN2997NY$75,000–$115,000 / yearThe group provides access to the world's major commodity markets, covering a broad range of clients that include some of the largest commodity producers, consumers and traders, banks, hedge funds and asset managers. Marex Group plc (NASDAQ: MRX) is a diversified global financial services platform providing essential liquidity, market access and infrastructure services to clients across energy, commodities and financial markets.
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 - 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.
Compliance Officer Mizuho Financial Group IncCompliance OfficerNY$125,000–$165,000 / yearConduct various day-to-day compliance surveillance activities including Code of Ethics and Code of Conduct supervision and enforcement (including personal trade review and monitoring, distribution and review of quarterly and annual Code of Ethics reporting, requesting, collecting and reviewing third party statements as necessary, maintaining restricted lists, gift and entertainment reviews, and political contribution reviews), conflicts management, electronic communications reviews, best execution reviews, broker reviews, account list maintenance, and AML/OFAC due diligence reviews, etc. Vice President (Compliance) Job Description: Provide compliance support to ensure that the firm's compliance programs are implemented, maintained and enforced in accordance with the applicable rules and regulations including the Investment Adviser Act of 1940 and the Commodity Exchange Act.
Compliance Officer, Broker-Dealer Advisor (Equities and Options) - VN2750 MarexCompliance Officer, Broker-Dealer Advisor (Equities and Options) - VN2750New York, NY$150,000–$185,000Marex 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.
Senior Compliance Officer - Monitoring and Testing (Associate) - TD Securities (US) The Toronto-Dominion BankSenior Compliance Officer - Monitoring and Testing (Associate) - TD Securities (US)New York, NY$100,000–$130,000 / yearGeneral Job Description The Senior Compliance Office provides advice, guidance and support to business units in adhering to regulatory/compliance requirements and assists in implementing compliance initiatives to help manage regulatory risk. Client service skills - the candidate must demonstrate the judgment and ability to closely partner with and advise senior and line managers and other stakeholders on regulatory interactions.
Co-Founder & CEO - AI Clinical Documentation Compliance FutureSightCo-Founder & CEO - AI Clinical Documentation ComplianceNew York, NYYou’ll co-create with a proven studio team, led by John Carbrey (4x entrepreneur, $100M ARR), Krista LaRiviere (3x exited, E&Y Top Women Entrepreneur), Alan Smith (Strategyzer co-founder, $120M in products built), Prathna Ramesh (former MD of Maple Leaf Angels, $275M in follow-on capital), and Johnny Tong (0-to-1 builder, acquired by SAP and Stripe) bring a rare combination of operator exits, institutional investing, and AI product depth. The market signal is incredibly strong: Unprompted Product Pull: Every single lead described the exact product we want to build: a pre-billing, real-time, EHR-integrated flagging layer that checks documentation against payer-specific rules before claims are submitted.
Compliance Officer Millennium Management LLCCompliance OfficerNew York, NY$160,000–$250,000 / yearOur people are empowered with both independence and support: the autonomy to pursue ideas with conviction and the backing of a global network committed to collaboration, disciplined risk management and continuous learning. The team works to help prevent and detect violations of applicable laws, rules, regulatory requirements, and firm policies through a disciplined and well-controlled framework.
NewCompliance 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.
Compliance Officer Schonfeld Strategic Advisors LLCCompliance OfficerNew York, NY$200,000–$250,000 / yearYou will need to be familiar with non-equity market mechanics, including trading venue rules and operations across asset classes such as futures, fixed income, credit, rates, FX, commodities, volatility, and equity index derivatives. Providing compliance advice and training to investment personnel on their activities; including managing the flow of live trading queries and responding in a timely risk-based fashion.
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.
Deputy Chief Diversity Officer - Business Program Compliance Metropolitan Transportation AuthorityDeputy Chief Diversity Officer - Business Program ComplianceNew York, NY$165,000–$185,000 / yearThis position serves as the agency's primary liaison with oversight and investigative entities, including the MTA Inspector General, Internal Audit, Federal Transit Administration (FTA), the NYS Governor's Office, Empire State Development (ESD), and other regulatory agencies on matters involving compliance, fraud, audits, and program integrity. The Deputy Chief directs contract compliance activities throughout the full contract lifecycle, including goal implementation, utilization monitoring, Commercially Useful Function (CUF) reviews, Good Faith Effort evaluations, audits, investigations, reporting, enforcement actions, and project closeouts.
Lead Compliance Officer (Mechanical/Environmental) - 90382237 - Long Island City National Railroad Passenger CorpLead Compliance Officer (Mechanical/Environmental) - 90382237 - Long Island CityLong Island City, NY$94,300–$122,256 / hourProvides direction and manages implementation of environmental programs including planning, development and supervision of the following program elements: Permit compliance for all facility environmental permits, coordinating permit and plan updates and revisions, preparing internal and external reports, and maintaining communications with regulatory agencies. Our values of 'Do the Right Thing, Excel Together and Put Customers First' are at the heart of what matters most to us, and our Core Capabilities, 'Building Trust, Accountability, Effective Communication, Customer Focus, and Proactive Safety & Security' are what every employee needs to know and do to be most impactful at Amtrak.
Compliance Officer Man GroupCompliance OfficerNew YorkThe 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.
Compliance Officer LE_ICMA-RC International City Management Association Retirement CorporationCompliance OfficerColumbia, District of ColumbiaWe focus on delivering results-oriented retirement and retiree health savings plans, education, investment options, personalized guidance, and related services to public sector participants in more than 9,200 plans and nearly 2 million participant accounts. 2-3+ years of experience in Broker‑Dealer, Investment Adviser, or mutual fund compliance, Financial services compliance, supervision, audit, or risk management, Direct work with federal and state securities regulations and SRO requirements.
NewLead Compliance Officer (Mechanical/Environmental) - 90382237 - Long Island City (Long Island City, NY, US, 11101) AmtrakLead Compliance Officer (Mechanical/Environmental) - 90382237 - Long Island City (Long Island City, NY, US, 11101)Long Island City, NY$94,300–$122,256 / hourProvides direction and manages implementation of environmental programs including planning, development and supervision of the following program elements: Permit compliance for all facility environmental permits, coordinating permit and plan updates and revisions, preparing internal and external reports, and maintaining communications with regulatory agencies. Our values of ‘Do the Right Thing, Excel Together and Put Customers First’ are at the heart of what matters most to us, and our Core Capabilities, ‘Building Trust, Accountability, Effective Communication, Customer Focus, and Proactive Safety & Security’ are what every employee needs to know and do to be most impactful at Amtrak.
NewChief Risk & Compliance Officer Michael Page InternationalChief Risk & Compliance OfficerNew York, NY$300,000–$400,000 / yearEnterprise Risk Management Design and implement a firmwide risk management architecture, including governance, appetite setting, and reporting. Regulatory Leadership & Compliance Oversight Define and manage a forward-looking compliance strategy across multiple jurisdictions.
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 Officer, Analyst BTIG Norway ASCompliance Officer, AnalystNew York, NY$60,000–$75,000 / yearThe firm's core capabilities include global execution, portfolio, electronic and outsource trading, investment banking, prime brokerage, capital introduction, corporate access, research and strategy, commission management and more. Salary range is based on a variety of factors including, but not limited to, location, years of applicable experience, skills, qualifications, licensure and certifications, and other business and organization needs.
Compliance Officer Career Launch AICompliance OfficerNew York, NY$140,000–$185,000It is intended to help job seekers understand the responsibilities and qualifications typically associated with compliance, regulatory oversight, and risk management roles within financial services, trading, and investment management. The Career Launch AI Talent Network helps professionals pursue opportunities similar to this role through: Skills-based role matching for compliance, regulatory, and risk positions.
NewChief Compliance Officer Five Star BankChief Compliance OfficerBuffalo, NYRisk Assessments; Issues/Actions - Oversee the conduct of (at a minimum) Annual Risk Assessments designed to identify and mitigate regulatory compliance risk issues; providing guidance to the First Line in crafting and documentation of risk remediation actions and monitors administration of remediation plans to successful completion; and providing quarterly interim risk assessment updates based of compliance testing and monitoring activities and issues management. Committee Governance - Chairs the Company's Compliance Committee, presenting prepared materials and fostering conversation on Compliance culture, activities, issues and actions, serves on other management committees including Operating, New Product Approval, and Governance Process Review Committee, accountable to report material regulatory compliance risks directly to the Board and to senior management.