Compliance Officer The Rybak Firm PLLCCompliance OfficerNew York, NYReqs: LLM or JD & 2 yrs exp as above or as a Legal Assoc or Paralegal in a rel positn involving legal research/factual investigatn/ review of legal or regulatory docs/procedural compliance & litigation support. Under guidance/supervisn of attorneys, audit & analyze claim files/billing records/med docs/ policy materials/litigatn submissns to eval compliance.
Chief Diversity Officer LaGuardia Community CollegeChief Diversity OfficerQueens, NY$131,440–$141,325 / yearFull timeLaGuardia ranked fifth among U.S. community colleges in economic mobility – moving low-income students into the middle class and beyond – in studies by Stanford University (2017) and the Brookings Institution (2020). Reporting to the President, the Chief Diversity Officer (CDO) is responsible for overseeing and managing the diversity and compliance staff, campus diversity and compliance initiatives, federal, state, and CUNY policies/regulations while maintaining the highest level of confidentiality and integrity with faculty, staff, and students.
NewCFO (Chief Financial Officer) Vaco LLCCFO (Chief Financial Officer)New York, NY$250,000–$280,000 / yearDetermining compensation for this role (and others) at Vaco by Highspring depends upon a wide array of factors including but not limited to: the individual’s skill sets, experience and training; licensure and certification requirements; office location and other geographic considerations; other business and organizational needs. This role is responsible for driving financial performance, optimizing multi-site operational cost structures, managing commodity/raw material risk, and implementing scalable systems (including Microsoft Dynamics Business Central) to support organic and M&A growth.
Director, Healthcare Compliance Aquestive Therapeutics Inc.Director, Healthcare ComplianceWarren Twp, NJReporting to the Chief Legal Officer & Chief Compliance Officer, this position serves as the Company's primary healthcare compliance leader and strategic advisor to Commercial, Medical Affairs, Market Access, Patient Services, Regulatory Affairs, and other business functions. Key Internal Partners: Legal, Commercial, Medical Affairs, Market Access, Regulatory Affairs, Finance, Human Resources, Quality, Patient Services, and Executive Leadership.
SBA Franchise Loan Officer ConnectOne BankSBA Franchise Loan OfficerNew York, NY$100,000–$120,000 / yearAbout this role : The SBA Franchise Loan Officer will play an integral role in supporting our lending efforts by working with internal and external referral sources, identifying new SBA Lending opportunities in the Franchise space, cultivating relationships with potential clients, and assisting in the SBA loan origination and underwriting process. In this role you will : Support the Bank’s “People First” focus and rules of engagement—maintaining a professional demeanor, working as an active member of the CNOB team, providing all clients excellent service, always striving to make CNOB “A Better Place to Be”.
Lead Armed Transportation Officer PARAGON PROFESSIONAL SERVICES LLCLead Armed Transportation OfficerNewark, NJ$94,300 / yearMinimum two (2) years’ experience as a Law Enforcement Officer and/or Military Police Officer or six (6) months experience as a security officer engaged in functions related to detailing civil or administrative detainees or, two (2) years active-duty military service with an honorable discharge. Essential and marginal functions may require maintaining physical condition necessary for bending, stooping, sitting, walking, or standing for prolonged periods of time; most of the time spent sitting will be in a transportation vehicle with limited opportunity to move about.
Armed Security Transportation Officer PARAGON PROFESSIONAL SERVICES LLCArmed Security Transportation OfficerNew York, NY$37.15 / hourParagon offers a wide range of environmental investigation, consulting, compliance, and remediation services as well as IT solutions, Facility O&M, Materiel Support, Supply and Security to both private- and public-sector clients throughout Alaska and the Continental U.S. Paragon’s experienced professional staff is dedicated to producing high-quality documentation and providing safe field execution to support its clients’ projects in line with local, state and federal guidelines and regulations. · Level of Experience Requirements: Minimum two (2) years’ experience as a Law Enforcement Officer and/or Military Police Officer or six (6) months experience as a security officer engaged in functions related to detailing civil or administrative detainees or, two (2) years active-duty military service with an honorable discharge.
Trust Relationship Officer Page GroupTrust Relationship OfficerNew York, NY$35–$38 / hourFull timeThis role involves supporting banking and financial services operations while ensuring compliance with relevant regulations and maintaining strong client relationships. The Trust Relationship Officer will focus on managing and maintaining client trust accounts within the financial services sector.
Head of Broker Dealer Compliance Americas and Chief Compliance Officer VN2908 MAREX Group LimitedHead of Broker Dealer Compliance Americas and Chief Compliance Officer VN2908New York, NY$290,000–$335,000 / yearThe Head of Broker Dealer Compliance is an expert in Broker Dealer regulation that leads a team of compliance officers in providing compliance advisory services for Equities, Fixed Income, Listed Options trading activities as well as knowledge of various regulatory reporting requirements. The depth of knowledge amongst its teams and divisions provides its customers with clear advantage, and its technology-led service provides access to all major exchanges, order-flow management via screen, voice and DMA, plus award-winning data, insights, and analytics.
NewHead of Broker Dealer Compliance, Americas and Chief Compliance Officer (VN2908) MarexHead of Broker Dealer Compliance, Americas and Chief Compliance Officer (VN2908)New York, NY$290,000–$335,000 / yearThe Head of Broker Dealer Compliance is an expert in Broker Dealer regulation that leads a team of compliance officers in providing compliance advisory services for Equities, Fixed Income, Listed Options trading activities as well as knowledge of various regulatory reporting requirements. The depth of knowledge amongst its teams and divisions provides its customers with clear advantage, and its technology-led service provides access to all major exchanges, order-flow management via screen, voice and DMA, plus award-winning data, insights, and analytics.
NewDeputy Chief Compliance Officer Emigrant BankDeputy Chief Compliance OfficerNew York, NY$200,000–$225,000 / yearIn addition to BSA/AML and OFAC requirements, the company's compliance program establishes compliance in areas including, but not limited to, Community Reinvestment Act, fair lending, mortgage lending and servicing, affiliate transactions, fintech and digital financial services, third-party technology and service-provider oversight, payment activities and other laws and regulations relevant to this diverse private banking institution. In conjunction with the Chief Compliance Officer and the Chief Legal Officer, the Deputy Chief Compliance Officer is responsible for developing, implementing and administering all aspects of the Bank's Compliance Program, including compliance with the Bank Secrecy Act (BSA), anti-money laundering (AML) laws, Office of Foreign Assets Control (OFAC) programs and related state and federal requirements including New York's Part 504.
Senior Compliance Officer, Investments Compliance American International Group Inc (AIG)Senior Compliance Officer, Investments ComplianceParsippany, NJWorking knowledge of NY, DE and PA U.S. State insurance investment regulation, along with NAIC Model Laws - Investments of Insurers Model Act; background understanding of the Investment Advisers Act of 1940 and the Investment Company Act of 1940 is a plus. The ideal candidate will have extensive regulatory asset management experience with a focus on U.S. domiciled insurance companies and will work closely with the Chief Compliance Officer in the day-to-day execution of the compliance program.
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.
NewChief Compliance Officer River Financial IncChief Compliance OfficerNew York, NY$200,000–$300,000 / yearWere looking for a Chief Compliance Officer to build and own that program end-to-end: someone who can manage our day-to-day compliance and regulatory obligations with rigor, serve as our BSA Officer, support the charter effort, and be a trusted voice with regulators, examiners, and bank partners as River grows into its next chapter. Maintain Rivers state money transmitter licenses (MTLs), including renewals and license-specific exam readiness, while driving Rivers OCC national trust charter process forward with executive leadership, outside counsel, and consultants.
Chief Compliance Officer, Swap Dealer FalconXChief Compliance Officer, Swap DealerNew York City, NY$191,000–$252,000 / yearOperating at the intersection of traditional finance and cutting-edge technology, FalconX addresses the industry's foremost challenges: Navigating the digital asset market can be complex and fragmented, with limited products and services that support trading strategies, structures, and liquidity found in conventional financial markets. This person will advise internal stakeholders on implementation and development of CFTC, and NFA swap dealer requirements, including day-to-day oversight and program enhancements relating to policies and procedures, employee training, risk assessments, issues management, governance and management reporting, and metrics.
Fractional Chief Compliance Officer FraxionalFractional Chief Compliance OfficerNew York, NYRemote$75–$100 / hourKey Responsibilities: Responsibilities vary by client need, but may include the following: Compliance Program Development: Design, implement, and maintain comprehensive compliance programs that align with federal and state healthcare regulations, including HIPAA, Stark Law, Anti-Kickback Statute, and fraud and abuse laws. Regulatory Liaison: Serve as the primary point of contact for regulatory agencies, ensuring timely and accurate responses to inquiries and maintaining positive relationships.
Chief Compliance Officer NovigChief Compliance OfficerNew York City, New York$275,000–$325,000 / yearEnergized by partnering cross-functionally with Information Security (cybersecurity and systems controls), Surveillance (market monitoring and abuse prevention), Finance and Regulatory Finance (financial resource requirements and reporting), Legal (regulatory interpretation and external counsel coordination), and Engineering and Product to embed regulatory requirements directly into systems and workflows. Prepared to serve as the primary internal owner of the compliance framework, with the authority and judgment to identify issues, recommend solutions, and escalate matters to the Chief Regulatory Officer when appropriate.
Deputy Chief Compliance Officer Stonex GroupDeputy Chief Compliance OfficerNew York, NY$120,000–$170,000 / yearInstitutional: Immerse yourself in the best-in-class institutional-grade technology, working alongside industry experts and gaining exposure to various asset classes, such as equities, options, fixed income securities, and advanced trading, research, and management technology. As a Fortune 100, Nasdaq-listed provider, we connect clients to the global markets – focusing on innovation, human connection, and providing world-class products and services to all types of investors.
Deputy Chief Compliance Officer, Corporate Vice President New York Life Insurance CoDeputy Chief Compliance Officer, Corporate Vice PresidentNew York, NY$160,000–$228,500 / yearNYLIFE Securities and Eagle Strategies sit at the heart of New York Life's retail distribution strategy-delivering a broad product platform that includes variable annuities and variable life insurance, mutual funds, alternative investments, 529 plans, managed account programs through our advisory platform, and comprehensive fee-based financial planning-through a nationwide career agency distribution system. The Deputy CCO will lead the core elements of the compliance program, including compliance risk assessments, policy and procedure design, controls testing, supervisory oversight coordination, and the modernization of how compliance is delivered across one of the largest career agency distribution systems in the industry, with over 12,000 insurance agents, 6,500 registered representatives, and 1,700 investment adviser representatives.
Senior Compliance Officer - Capital Markets PJT PartnersSenior Compliance Officer - Capital MarketsNew York, NY$175,000–$200,000 / yearOur team of senior professionals delivers a wide array of strategic advisory, shareholder advisory, restructuring and special situations and private fund advisory and placement services to corporations, financial sponsors, institutional investors and governments around the world. We also provide, through PJT Park Hill, private fund advisory and fundraising services for alternative investment managers, including private equity funds, real estate funds and hedge funds.