807 Results for

Compliance Officer Jobs in Wall Street, NY

Jobs

Brooklyn, NY

$275,000–$300,000 / year

Information 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. Reporting to the CEO and ownership group, the CFO is responsible for financial reporting, controls, systems, compliance, and team leadership to support company growth and performance.

7 days ago

Cranford, NJ

Remote

$160,000–$175,000 / year

Information 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.

7 days ago

New Brunswick, NJ

$275,000–$300,000

p> Determining 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.
Canadian residents may access our policies in English here and in French here.

5 days ago

Monmouth Junction, NJ

$200,000–$300,000

This role requires deep expertise in construction accounting, including WIP, AIA billing, job costing, and percentage-of-completion revenue recognition.

Must-Have Qualifications

Prior CFO experience or currently serving as a CFO (highly preferred). Vaco/Highspring does not have knowledge of the tools used by its clients in making final hiring decisions and cannot opine on their use of AI products.
Vaco by Highspring values a diverse workplace and strongly encourages women, people of color, LGBTQ+ individuals, people with disabilities, members of ethnic minorities, foreign-born residents, and veterans to apply.

5 days ago

Greenwich, CT

We 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.

3 days ago

Newark, NJ

$37.60–$37.60 / hour

Paragon 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.

30+ days ago

Newark, NJ

$94,300–$94,300 / year

p>· 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.

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.

30+ days ago

Brooklyn, NY

$300,000–$350,000 / year

Our Department of Obstetrics and Gynecology provides high-quality, evidence-based care to a diverse patient population within a large academic health system and high-volume obstetrics service.

Description :

NYU Langone Health is a world-class, patient-centered, integrated academic medical center and one of the nation’s premier institutions for excellence in clinical care, biomedical research, and medical education.

Today

New York, NY

$165,000–$240,000 / year
Full time

This 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.

4 days ago

Fair Lawn, NJ

li>Provides 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.
1. Attends and contributes to patient care, staffing conferences and other required meetings as a representative of physical therapy, under the direction of the physical therapist.

4 days ago

Eatontown, NJ

Services include but are not limited to application of therapeutic techniques in areas such as: 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.

Screens, examines and evaluates patients, including history, systems review, and application of appropriate tests and measures, synthesizes information and interprets examination findings in order to establish a diagnosis, identify impairments, determine the predicted level of improvement and the time required to achieve it, identify precautions/contraindications and design a plan of care.

4 days ago

New York City, New York

style="min-height:1.5em">Expand 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. 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.

3 days ago

$160,000–$228,500 / year

NYLIFE 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.

26 days ago

New York, NY

$156,625–$223,190 / year

Computershare (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.

30+ days ago

$255,000–$300,000 / year

p> Advise 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.

30+ days ago

New York, NY

$270,000–$300,000 / year

li>Proven 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.

10 days ago

NEW YORK, NY

$90,000–$105,000 / year

p>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.

30+ days ago

Jersey City, NJ

$102,000–$171,500 / year

p>In 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.

19 days ago

New Jersey, NY

Remote

This 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.

13 days ago

Hoboken, NJ

$270,000–$300,000 / year

li>Proven 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.

7 days ago

Jersey City, NJ

$115,000–$150,000 / year

Working 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.

30+ days ago

Ridgefield Park, New Jersey

$120,000–$130,000

Tasks 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.

7 days ago

New York, New York
Total 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.
20 days ago

NY
$180,000–$240,000 / year
The 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.
24 days ago

NY
$145,000–$160,000 / year
You'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.
30+ days ago

NY
$29,064–$31,537 / year
Integrated 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.
10 days ago

Newark, NJ
li>Assist 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.
7 days ago

New York, NY
$150,000–$175,000 / year
strong>Senior 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.
30+ days ago

New York, NY
$140,000–$185,000
It 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.
14 days ago

New York, NY
$100,000–$135,000 / year
p>Specifically, 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.
30+ days ago

New York, NY
$125,000–$175,000
ul>
Provide 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.
23 days ago

NY
$200,000–$290,000 / year
li>RIA 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.
30+ days ago

NY, NY
$150,000
Provide on-desk advisory guidance on Rule 105 of Regulation M, Regulation SHO, cross trades, trade allocations, best execution, MNPI, and ERISA considerations. Growing 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.

30+ days ago

New York, NY
$191,000–$305,000 / year
Deep 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.
25 days ago

New York, New York
ul>
Ensure the Firm meets its obligations pursuant to key regulations related to equities trading, including but not limited to, electronic and algorithmic trading, Reg ATS, REG NMS, Market Access, Regulatory Reporting (CAT, TRF, Rules 605 and 606), Order Routing and Best Execution;
Manage and respond to regulatory examinations, investigations and inquiries related to the firm’s equities businesses;
Ensure timely filing of regulatory reports and updates to Forms ATS-N and ATS-R and respond to any regulatory inquiries;
Work collaboratively with cross-functional teams as needed (e.g., Legal, Compliance, Client On-Boarding, Risk, AML Office, Marketing and Information Security);
Conduct periodic assessments and other reviews to identify and remediate potential gaps;
Draft and revise policies, WSPs, and controls as needed.
Operate and execute specific controls owned by the Compliance Function;
Provide accurate and timely advice to the Business and other functions, including inquiries and escalations from various trading and operations staff;
Develop and enhance supervisory reports as needed;
Analyze rule proposals and amendments to assess business impact and ensure proper implementation of any final rules;
Review and advise on new business initiatives;
Conduct periodic training;
Identification of risks and risk mitigation solutions; and.
30+ days ago

NY
$90,000–$150,000 / year
Founded 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.
30+ days ago

New York, NY
$125,000–$175,000 / year
The 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.
21 days ago

NY
$125,000–$175,000 / year
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. 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.
10 days ago

New
New York, NY
$125,000–$175,000 / year
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. 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.
5 days ago

NY
$150,000–$180,000 / year
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.
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.
30+ days ago

Purchase, NY
$165,000–$275,000 / year
gifts, 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.
30+ days ago

New York, New York
Total 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.
28 days ago

NY
$175,000–$200,000 / year
Our 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.
23 days ago

New York, NY
$191,000–$305,000 / year
They 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.
30+ days ago

New York, NY
$191,000–$305,000 / year
They 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.
25 days ago

NY
$170,000–$180,000 / year
p>Ensure the Firm meets its obligations pursuant to key regulations related to equities trading, including but not limited to, electronic and algorithmic trading, Reg ATS, REG NMS, Market Access, Regulatory Reporting (CAT, TRF, Rules 605 and 606), Order Routing and Best Execution;
Manage and respond to regulatory examinations, investigations, and inquiries related to the firm's equities businesses;
Ensure timely filing of regulatory reports and updates to Forms ATS-N and ATS-R and respond to any regulatory inquiries;
Work collaboratively with cross-functional teams as needed (e.g., Legal, Compliance, Client On-Boarding, Risk, AML Office, Marketing, and Information Security);
Conduct periodic assessments and other reviews to identify and remediate potential gaps;
Draft and revise policies, WSPs, and controls as needed;
Operate and execute specific controls owned by the Compliance Function;
Provide accurate and timely advice to the Business and other functions, including inquiries and escalations from various trading and operations staff;
Develop and enhance supervisory reports as needed;
Analyze rule proposals and amendments to assess business impact and ensure proper implementation of any final rules;
Review and advise on new business initiatives;
Conduct periodic training;
Identification of risks and risk mitigation solutions; and.
Essential:
In-depth knowledge of Reg ATS, Reg NMS, and Regulatory Reporting Requirements related to equities trading (e.g., CAT, TRF);
5-10 years of experience supporting equities compliance at a broker-dealer;
College degree required, and.
30+ days ago

New York City, NY
$95,000–$145,000 / year
Full time
p>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.
18 days ago

New York, NY
$145,000–$185,000
It 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).
14 days ago

New York, NY
$175,000–$200,000 / year
Required Background & Skills: Ideally applicants should have the following skills and exposure: Experience working in a Control Group and Investment Banking advisory and/or Research advisory function in an International Investment Bank. Jefferies is a leading global, full-service investment banking and capital markets firm that provides advisory, sales and trading, research, and wealth and asset management services.
30+ days ago

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Compliance Officer Jobs in Wall Street, NY

CFO Jobot

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Chief Financial Officer Vaco LLC

CFO Vaco LLC

General Counsel-Risk and Compliance Payarc LLC

Armed Security Transportation Officer PARAGON PROFESSIONAL SERVICES LLC

Lead Armed Transportation Officer PARAGON PROFESSIONAL SERVICES LLC

Senior Obstetrician & Patient Safety Officer (Labor & Delivery) NYU Grossman School of Medicine

VP Project Finance Credit Officer Page Group

Physical Therapist Assistant - 6 TalentBurst, Inc.

Physical Therapist - 6 TalentBurst, Inc.

Chief Compliance Officer Moment

Deputy Chief Compliance Officer, Corporate Vice President New York Life Insurance Co

Chief Compliance Officer US Computershare Ltd

Chief Compliance Officer, RHD Robinhood Markets Inc

Chief Compliance Officer (CCO) eToro

Executive Assistant - Chief Compliance Officer Americas Credit Agricole SA

Senior Vice President, Compliance Officer The Bank of New York Mellon Corp

Chief Compliance Officer (CCO) – US FinTech MastarRec

Chief Compliance Officer (CCO) eToro Group Ltd

Financial Crime Compliance Officer Tradeweb Markets Inc

Compliance Officer SpecialtyRx

Sr. Compliance Officer (Associate) - Compliance Oversight Program - TD Securities (US) TD Bank

Vice President, Registered Fund Compliance Officer Wilshire Advisors, LLC

Compliance Testing and Monitoring Officer Credit Agricole SA

Compliance Officer North Yorkshire County Council

Junior Compliance Officer/Auditor SGI Global, LLC

Futures Compliance Officer Phaxis LLC

Compliance Officer Career Launch AI

Trade Surveillance - Data Quality Associate (Sr. Compliance Officer) - TD Securities (US) The Toronto-Dominion Bank

Senior Compliance Officer - Trade Surveillance - VN2849 Marex

Chief Compliance Officer (CCO) for Truist Investment Services, Inc. and Truist Advisory Services, Inc. Truist Financial Corp

Senior Compliance Officer - Asset Management Phaxis

Senior Lead Compliance Officer - Prime Brokerage & Equities Wells Fargo & Co

Equities Compliance Officer TP ICAP Americas Holdings

Surveillance Compliance Officer Fortress Investment Group LLC

Compliance Officer - Surveillance - VN2849 MAREX Group Limited

Compliance Officer - Trade Surveillance - VN2849 MAREX Group Limited

Senior Compliance Officer - Trade Surveillance - VN2849 MAREX Group Limited

Senior Compliance Officer - FCM Advisor - VN2537 MAREX Group Limited

ED, Regional Compliance Officer (Northeast) Morgan Stanley

Sr. Compliance Officer - Monitoring & Testing (Associate) - TD Securities (US) TD Bank

Senior Compliance Officer - Monitoring and Testing (Associate) - TD Securities (US) TD Bank

Compliance Officer Sixth Street Specialty Lending Inc

Senior Lead Compliance Officer - CIB Wells Fargo & Co

Senior Lead Compliance Officer - Futures Commission Merchant (FCM) - Executive Director Wells Fargo & Co

Equities Compliance Officer TP ICAP Group plc

Compliance Officer Careerscape

Compliance Officer Initio Capital

Compliance Officer, Control Room VP Jefferies Financial Group Inc

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