NewCRNA Compliance Officer Yale New Haven HealthCRNA Compliance OfficerEast Norwalk, CTCertified Registered Nurse Anesthetist Completion of Certified Nurse Anesthetist Training Program Graduate of a Nurse Anesthesia Educational Program accredited by the American Association of Nurse Anesthetist Council on accreditation of Nurse Anesthesia Programs. 3.1 The CRNA ensures appropriate documentation within the accordance of hospital and regulatory requirements and protects information of all forms, whether computer-based, paper, film, voice, or other media from unauthorized access modification, destruction, or intentional or accidental disclosure.
NewCorporate Compliance Officer (Mandarin Speaking) ExperisCorporate Compliance Officer (Mandarin Speaking)New York, NY$70,000–$90,000ManpowerGroup® (NYSE: MAN), the leading global workforce solutions company, helps organizations transform in a fast-changing world of work by sourcing, assessing, developing, and managing the talent that enables them to win. We are recognized consistently for our diversity - as a best place to work for Women, Inclusion, Equality and Disability and in 2023 ManpowerGroup was named one of the World's Most Ethical Companies for the 14th year - all confirming our position as the brand of choice for in-demand talent.
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).
NewHead of Wealth Management Compliance City National Bank City National BankHead of Wealth Management Compliance City National BankNew York, NYRemote$200,000–$340,000 / yearAdvanced knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Act of 1933, and Securities Exchange Act of 1934 is required, with knowledge of bank non-deposit investment product requirements, OCC Regulation 9, and ERISA regulations. Advance compliance programs that focus on regulatory requirements across applicable regulatory regimes, including: the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Act of 1933, Securities Exchange Act of 1934, and OCC Regulation 9.
NewLead Fiduciary Compliance Specialist City National BankLead Fiduciary Compliance SpecialistNew York, NYRemote$120,000–$200,000 / yearBenefits and PerksAt City National, we strive to be the best at whatever we do, including the benefits and perks we offer our colleagues including:Comprehensive healthcare coverage, including Medical, Dental and Vision plans, available the first of the month following start date. In addition, the role serves as a liaison between compliance and business teams to identify process improvements, drive consistency in execution, and support business initiatives within a controlled and compliant environment.
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.
Armed Security Transportation Officer PARAGON PROFESSIONAL SERVICES LLCArmed Security Transportation OfficerNew York, NY$37.15–$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.
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.
Compliance Officer (Trading/Investments) Bridgewater AssociatesCompliance Officer (Trading/Investments)Westport, CT$160,000–$245,000 / yearOversight and execution of a suite of tests, monitoring activity and processes in the Investment Engine, which involves evolving existing tests, designing new ones as needed, and analyzing the results to provide a synthesized view of the effectiveness of internal processes and compliance with relevant requirements. In addition, the Compliance Officer will also be expected to work with the Senior Compliance Officer, Deputy CCO, Chief Compliance Officer ("CCO") and other senior leaders on strategic initiatives and essential workstreams.
Compliance Officer Trading/Investments Bridgewater Associates LPCompliance Officer Trading/InvestmentsWestport, CT$160,000–$245,000 / yearResponsibilities: Oversight and execution of a suite of tests, monitoring activity and processes in the Investment Engine, which involves evolving existing tests, designing new ones as needed, and analyzing the results to provide a synthesized view of the effectiveness of internal processes and compliance with relevant requirements. Overview of the Role: The Compliance Officer will be responsible for contributing to Bridgewater's goal of excellently fulfilling regulatory obligations, with a primary focus on Bridgewater's Investment Engine, the cornerstone of Bridgewater's portfolio management and construction process.
NewChief Compliance Officer (VP / SVP) BizTek PeopleChief Compliance Officer (VP / SVP)New York, NY$180,000–$220,000 / yearKey Responsibilities Own and administer the firm's compliance program under the Investment Advisers Act of 1940 Manage regulatory filings, including Form ADV (Parts I & II) and ongoing amendments Conduct annual compliance risk assessments and maintain policies, procedures, and Code of Ethics Lead SEC examinations and serve as the primary regulatory contact Oversee surveillance, internal controls, employee certifications, and firmwide compliance training Review and approve advertising and marketing materials in compliance with Rule 206(4)-1 Support global asset-raising activities through contract review, disclosures, and governance Collaborate closely with international headquarters, internal audit, risk, and investment teams Ensure effective business continuity planning and best execution oversight Requirements Required 10+ years of compliance experience at an SEC-registered RIA (prior CCO experience preferred) Deep knowledge of U.S. SEC regulations and ability to independently manage regulatory interactions Native-level English communication skills (written and verbal) Strong compliance judgment, leadership, and policy-writing capabilities Business-oriented, solutions-driven mindset Preferred Experience with Aladdin or similar OMS/compliance monitoring systems Experience in global or cross-border organizations; Japanese or bilingual experience a plus Compensation Base salary range: $180,000–$220,000, commensurate with experience Benefits A full benefit, PTO, Health and Dental insurance. A U.S.-based, SEC-registered asset management firm is seeking an experienced Chief Compliance Officer to lead its end-to-end compliance function across equities, fixed income, and futures.
NewChief Compliance Officer Moment TechnologyChief Compliance OfficerNew York, NY$260,000–$290,000 / yearWhat You'll DoExpand 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 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.
Compliance Officer Bridgewater Associates LPCompliance OfficerWestport, CT$160,000–$245,000 / yearMembers of our community need to be hard working and willing to run through walls for the firm and the team, confident in their ability to figure things out and humble enough to ask for help when needed, and goal-oriented. While expected to contribute across all areas of the compliance program, core responsibilities will involve serving as the primary advisory and operational partner to at least two practice areas within Bridgewater's Compliance Team, which include Client Service and Marketing and Conduct Risk and Control.
NewChief Compliance Officer, RHD Robin HoodChief Compliance Officer, RHDNew York, NY$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, 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.
NewSenior Vice President, Compliance Officer BNY MellonSenior 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, ourteams harness cutting-edge AI and breakthrough technologies to collaborate with clients, driving transformative solutions that redefine industries and uplift communities worldwide.
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) 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.
Defense & Systems Chief Compliance Officer (D&S CCO) GE Aerospace.Defense & Systems Chief Compliance Officer (D&S CCO)CT$180,000–$250,000 / yearThis role leads the Defense & Systems compliance program strategy and oversight, manages complex issues within area of expertise, partners with horizontal risk focals to improve risk management practices in their division, including compliance communications, policies and procedures, training, compliance risk assessment, site compliance oversight and support, investigations support, and corrective actions, ensuring the program is effective in identifying and mitigating compliance risks. This role reports directly to the GE Aerospace Chief Compliance Officer (CCO) and serves as the senior compliance leader for the Defense & Systems division, with strong partnership and collaboration across the compliance leadership team, including the Divisional CCO for CES & International, central compliance, Legal, and enterprise risk leadership.
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.
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.
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.
NewChief Legal & Compliance Officer African American Planning CommissionChief Legal & Compliance OfficerBrooklyn, NYThe CLCO may be asked to advise on a wide range of day-to-day organizational, programmatic and transactional matters, including legal issues related to employment, 501(c)(3) compliance, board governance, real estate, contracts and other matters. Reporting directly to the CEO, and, as/needed, directly to the Board, the Chief Legal & Compliance Officer ("CLCO") will provide the board of directors, senior management, program directors, and other staff with practical legal advice and support.
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.
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.
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.
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.
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.
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.
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.
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.
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 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.
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.
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.
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.
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.