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.
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.
NewGeneral Counsel-Risk and Compliance Payarc LLCGeneral Counsel-Risk and ComplianceGreenwich, CTWe are backed by a team of world-class experts and the best technology talent, and we are committed to helping more new businesses get started, increase the revenues of our customers, and bridge the gap between online merchants and payment solutions. Serve as the company's primary point of accountability for regulatory examinations, audits, and inquiries from card brands (Visa, Mastercard, Discover, Amex), sponsor banks, and regulatory bodies.
NewSenior Trust Officer Midland States BankSenior Trust OfficerTarrytown, NY$106,250–$177,050 / yearThe Senior Trust Officer is responsible to develop, deepen, and maintain relationships with investment management clients, trust clients, beneficiaries, and other interested parties for an assigned book of business and is expected to build a network of centers of influence. If you require reasonable accommodation in completing this application, interviewing, completing any pre-employment testing, or otherwise participating in the employee selection process, please direct your inquiries to Midland States Bank Human Resources at HR@midlandsb.com.
Lead Armed Transportation Officer PARAGON PROFESSIONAL SERVICES LLCLead Armed Transportation OfficerNewark, NJ$94,300–$94,300 / yearMinimum two (2) years’ experience as a Law Enforcement Officer and/or Military Police Officer or six (6) months experience as a security officer engaged in functions related to detailing civil or administrative detainees or, two (2) years active-duty military service with an honorable discharge. Essential and marginal functions may require maintaining physical condition necessary for bending, stooping, sitting, walking, or standing for prolonged periods of time; most of the time spent sitting will be in a transportation vehicle with limited opportunity to move about.
Armed Security Transportation Officer PARAGON PROFESSIONAL SERVICES LLCArmed Security Transportation OfficerNewark, NJ$37.60–$37.60 / hourParagon offers a wide range of environmental investigation, consulting, compliance, and remediation services as well as IT solutions, Facility O&M, Materiel Support, Supply and Security to both private- and public-sector clients throughout Alaska and the Continental U.S. Paragon’s experienced professional staff is dedicated to producing high-quality documentation and providing safe field execution to support its clients’ projects in line with local, state and federal guidelines and regulations. · Level of Experience Requirements:Minimum two (2) years’ experience as a Law Enforcement Officer and/or Military Police Officer or six (6) months experience as a security officer engaged in functions related to detailing civil or administrative detainees or, two (2) years active-duty military service with an honorable discharge.
NewProject Officer II / III The LiRo GroupProject Officer II / IIILong Island City, NY$100,000–$139,000 / yearRecently, Global Infrastructure Solutions Inc. (GISI), the parent company of The LiRo Group and Hill International, Inc. consolidated a portion of the highly experienced staff of both LiRo and Hill in the Northeast to create a larger, more efficient, and cost-effective team to serve clients. Work with architect/engineer of record regarding change orders, interpretation of contract documents, shop drawing submittals/approvals and other technical matters as required to ensure a structurally sound, code compliant and aesthetic facility.
NewDocument Control Specialist / Project Officer Associate The LiRo GroupDocument Control Specialist / Project Officer AssociateLong Island City, NY$60,000–$80,000 / yearRecently, Global Infrastructure Solutions Inc. (GISI), the parent company of The LiRo Group and Hill International, Inc. consolidated a portion of the highly experienced staff of both LiRo and Hill in the Northeast to create a larger, more efficient, and cost-effective team to serve clients. We work hard to build a corporate culture that empowers all our employees to freely share their ideas, know their presence, and contributions are truly valued, fostering a climate where our employees are enabled to maximize their full potential.
NewSalesforce QA Analyst - COO Office Page GroupSalesforce QA Analyst - COO OfficeManhattan, NY$50–$63 / hourContractorWe are hiring a Salesforce QA Analyst to support Front Office initiatives, with strong experience in manual testing for Salesforce CRM, including test plans, test cases, and UAT with business stakeholders. Advanced analytical capabilities, including proficiency in Excel and SQL, with experience supporting change management initiatives.
VP Project Finance Credit Officer Page GroupVP Project Finance Credit OfficerNew York, NY$165,000–$240,000 / yearFull timeThis role focuses on independent credit oversight, partnering closely with front-office teams to evaluate, structure, and approve complex financings. Knowledge of infrastructure and energy markets, including evolving trends in renewables and digital assets.
NewInvestment Banking Chief of Staff, VP BarclaysInvestment Banking Chief of Staff, VPNew York, NYSupport to senior leadership to ensure appropriate resourcing across the business/function including planning and forecasting, partnering with HR to drive talent development and succession planning including the identification of high-potential employees, provision of mentorship and guidance, and support to leadership development and diversity initiatives. Strategic support to senior executives, such as the CEO or other top-level leaders including assistance in the development and execution of in year and multi-year business strategy, research, and analysis to support decision-making and act as delegate for the senior executive in specific situations.
NewChief 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 US Computershare LtdChief Compliance Officer USNew York, NY$156,625–$223,190 / yearComputershare (ASX: CPU) is a global market leader in transfer agency and share registration, employee equity plans, mortgage servicing, proxy solicitation and stakeholder communications. Founded in 1978, Computershare is renowned for its expertise in high integrity data management, high volume transaction processing and reconciliations, payments and stakeholder engagement.
NewSenior Compliance Officer, Investments Compliance American International GroupSenior Compliance Officer, Investments ComplianceParsippany, NJWorking knowledge of NY, DE and PA U.S. State insurance investment regulation, along with NAIC Model Laws – Investments of Insurers Model Act; background understanding of the Investment Advisers Act of 1940 and the Investment Company Act of 1940 is a plus. The ideal candidate will have extensive regulatory asset management experience with a focus on U.S. domiciled insurance companies and will work closely with the Chief Compliance Officer in the day-to-day execution of the compliance program.
Chief Compliance Officer, RHD Robinhood Markets IncChief Compliance Officer, RHDNY$255,000–$300,000 / yearAdvise business teams on regulatory requirements related to futures, event contracts, and options on futures, including new product launches and updates to existing offerings. The team ensures adherence to Commodity Futures Trading Commission (CFTC) and National Futures Association (NFA) requirements while supporting the compliant launch of new products.
Chief Compliance Officer (CCO) eToroChief Compliance Officer (CCO)New York, NY$270,000–$300,000 / yearProven people leadership and people-management skills — the ability to build, motivate, and develop a high-performing compliance team, hold people accountable in a constructive way, and create an environment where talent wants to grow. Strong AI literacy and genuine enthusiasm for working in an organisation where AI is central to the product and operational model — the CCO must be comfortable engaging with AI tools directly, forming views on their regulatory implications, and shaping how AI is deployed responsibly.
Executive Assistant - Chief Compliance Officer Americas Credit Agricole SAExecutive Assistant - Chief Compliance Officer AmericasNEW YORK, NY$90,000–$105,000 / yearp>We 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) – 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.
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.
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.
Vice President, Registered Fund Compliance Officer Wilshire Advisors, LLCVice President, Registered Fund Compliance OfficerNY$180,000–$240,000 / yearThe Vice President, Registered Fund Compliance Officer will be responsible for maintaining and enhancing the compliance program for Wilshire's registered fund complex, including mutual funds, a variable insurance trust (VIT), and an interval fund. This role serves as a key compliance resource to the fund boards and works closely with internal stakeholders and sub-advisors to ensure adherence to the Investment Company Act of 1940 (the "40 Act") and applicable SEC regulations.
NewTrade Compliance Officer Bloomberg LPTrade Compliance OfficerNew York, NY$180,000–$215,000 / yearPartner with Engineering, Product, Chief Technology Office (CTO), Chief Information Security Office (CISO), and other relevant technical teams to ensure accurate export classifications of products and solutions and implement controls to restrict access for prohibited or export-restricted parties. We'll Trust You To: Manage and support regional trade compliance activities, including: o Conduct Export Control Classification Number (ECCN) (particularly with a focus on software, technology, and related items), and Harmonized Tariff Schedule (HTS) determinations.
Compliance Testing and Monitoring Officer Credit Agricole SACompliance Testing and Monitoring OfficerNY$145,000–$160,000 / yearYou'll gain unparalleled visibility through regular senior leadership presentations, develop sophisticated regulatory expertise across banking compliance domains, and build executive communication skills that accelerate career advancement into Compliance, Risk, or Internal Audit leadership roles. The combination of strategic impact, cross-functional exposure, investigative problem-solving, and the professional development infrastructure of a global banking platform like CACIB makes this the ideal next step for building a high-trajectory career in financial services compliance.
NewCompliance Testing and Monitoring Officer Credit Agricole Cib LimitedCompliance Testing and Monitoring OfficerNew York, NY$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. • Strong knowledge of areas such as capital markets, debt capital markets, investment banking, and corporate banking coverage as well as broker-dealer / swap dealer regulatory framework such as SEC, FINRA, NFA, CFTC rules .
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.
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.
US Global Markets Fixed Income Compliance Officer Canadian Imperial Bank of CommerceUS Global Markets Fixed Income Compliance OfficerNY$150,000–$180,000 / yearAs a Compliance Officer, this job is accountable for reviewing the work of others in the business unit to ensure adherence with all CIBC and LOB governance requirements; As an employee of CIBC, the incumbent must complete all annual training requirements Authorities/Decision Rights: As a key contributor to the business unit, this job has the authority to recommend changes to business processes in order to enhance operational efficiency and effectiveness Who You Are Strong interpersonal and written/verbal communication skills Bachelor's degree; J.D. preferred Strong technical skills in Microsoft Excel, PowerPoint, SharePoint, Word; Strong interpersonal skills in order to maintain working relationships; Excellent verbal and writing skills; Series 7, 63 preferred (24 license a plus); Understanding of U.S. financial regulatory landscape, with an emphasis on U.S. broker-dealer regulations; In depth understanding of the U.S. Auction process and requirements.
NewCompliance 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.
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.
Futures Compliance Officer Phaxis LLCFutures Compliance OfficerNew York, NY$150,000–$175,000 / yearSenior Compliance Officer A global financial services firm is seeking a Senior Compliance Officer to provide real-time advisory support to its Futures Commission Merchant (FCM) business, including Introducing Brokers (IBs), Guaranteed Introducing Brokers (GIBs), and Swap Dealer activities. This role partners closely with front office teams, delivering practical, risk-based compliance guidance across trading and business operations.
Trade Surveillance - Data Quality Associate (Sr. Compliance Officer) - TD Securities (US) The Toronto-Dominion BankTrade Surveillance - Data Quality Associate (Sr. Compliance Officer) - TD Securities (US)New York, NY$100,000–$135,000 / yearSpecifically, the Data Quality Team works with TDS Chief Data Officer (CDO), Data and Delivery Initiatives (DDI) team, Compliance Technology, First-Line Risk and Control, and Front Office Technology to deliver a Surveillance data quality framework that includes: policies and procedures for effective data governance. Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions.
Senior Compliance Officer - 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.
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.
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 Lead Compliance Officer - Prime Brokerage & Equities Wells Fargo & CoSenior Lead Compliance Officer - Prime Brokerage & EquitiesNY$191,000–$305,000 / yearDeep expertise in broker-dealer compliance frameworks with a strong focus on Equities Finance activities, including Knowledge of rules and regulations applicable to short sales, securities lending, portfolio margining, listed options position limits, Large Options Position Reporting, electronic blue sheets, Regulation T, and SEC Rule 15c3-3. The Senior Lead Compliance Officer will provide compliance coverage for Prime Brokerage, while extending support across Cash Equities and broader broker-dealer activities, partnering closely with business leadership to deliver regulatory guidance, governance oversight, and strategic direction as the platform scales.
Compliance Officer CareerscapeCompliance OfficerNew York City, NY$95,000–$145,000 / yearFull timep>This role is ideal for candidates looking to grow in compliance, risk management, internal audit, regulatory operations, legal operations, financial services compliance, corporate governance, or business controls. This role will support compliance operations, regulatory monitoring, internal policies, documentation, risk controls, audits, and day-to-day compliance processes for a growing U.S.-based organization.
Surveillance Compliance Officer Fortress Investment Group LLCSurveillance Compliance OfficerNY$90,000–$150,000 / yearFounded in 1998, Fortress manages assets on behalf of approximately 2,000 institutional clients and private investors worldwide across a range of credit and real estate, private equity and permanent capital investment strategies. The investment model emphasizes deep industry and asset class specific research along with substantial data analysis as a backdrop to formulating opinions on attractive transactions and deal structures.
Compliance Officer - Surveillance - VN2849 MAREX Group LimitedCompliance Officer - Surveillance - VN2849New York, NY$125,000–$175,000 / yearThe role will primarily focus on Surveillance (Trade Activity and Communications) across a range of asset classes (Cash Equity, Fixed Income, Commodities, Derivatives (Futures, Options, Swaps)) on multiple exchanges, trading platforms and venues with an opportunity to gain exposure to a wider range of compliance activities at a market-leading firm. The depth of knowledge amongst its teams and divisions provides its customers with clear advantage, and its technology-led service provides access to all major exchanges, order-flow management via screen, voice and DMA, plus award-winning data, insights and analytics.
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 - Trade Surveillance - VN2849 MAREX Group LimitedCompliance Officer - Trade Surveillance - VN2849NY$125,000–$175,000 / yearThe role will primarily focus on Trade Surveillance (Trade Activity and Communications) across a range of asset classes (Cash Equity, Fixed Income, Commodities, Derivatives (Futures, Options, Swaps)) on multiple exchanges, trading platforms and venues with an opportunity to gain exposure to a wider range of compliance activities at a market-leading firm. The depth of knowledge amongst its teams and divisions provides its customers with clear advantage, and its technology-led service provides access to all major exchanges, order-flow management via screen, voice and DMA, plus award-winning data, insights and analytics.
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.
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.
Senior Lead Compliance Officer - Futures Commission Merchant (FCM) - Executive Director Wells Fargo & CoSenior Lead Compliance Officer - Futures Commission Merchant (FCM) - Executive DirectorNew 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.