Compliance Officer - Trade Surveillance Chicago Trading CompanyCompliance Officer - Trade SurveillanceNew York, NY$150,000–$200,000 / yearAs a Compliance Officer, you will report to the Chief Compliance Officer and handle various tasks supporting the firm's global compliance operations, focusing on securities and futures trade surveillances for all CTC trading affiliates globally. Candidates should have at least 8 years of experience in a compliance function that directly supports a professional trading business, or at least 3 years in a compliance function that supports a professional trading business and 5 additional years in non-compliance roles in financial services.
NewEarly Career Intern - Fundamental Equities COO Office InvescoEarly Career Intern - Fundamental Equities COO OfficeNew York City, New YorkOur 9-week Summer Internship Program kicks off in June 2027 and offers you the chance to dive into the fast-paced world of investments, learn from industry pros, and build connections that will last a lifetime. Pursuant to Invesco’s Workplace Policy, employees are expected to comply with the firm’s most current workplace model, which as of October 1, 2025, includes spending at least four full days each week working in an Invesco office.
NewPublic Compliance Officer TuringPublic Compliance OfficerNew York, New YorkRemote$100–$150Turing supports customers in two ways: first, by accelerating frontier research with high-quality data, advanced training pipelines, plus top AI researchers who specialize in coding, reasoning, STEM, multilinguality, multimodality, and agents; and second, by applying that expertise to help enterprises transform AI from proof of concept into proprietary intelligence with systems that perform reliably, deliver measurable impact, and drive lasting results on the P&L. Turing is looking for candidates with strong experience in government and regulatory compliance, particularly at the level expected for compliance officers, auditors, legal analysts, or public policy professionals working within or alongside public institutions.
Compliance Lead/ CCO US Assets Wise PlcCompliance Lead/ CCO US AssetsNew York, NY$202,000–$290,000 / yearThe successful candidate will operate with a high degree of independence, partnering closely with Legal, Product, Engineering, Banking, Operations, Customer Support, Financial Crime, and senior leadership to embed regulatory requirements into product design, systems, controls, and operating processes. This is a critical L7 role responsible for leading the development, implementation, and ongoing oversight of the broker-dealer compliance program for Wise US Assets Inc., while also supporting broader Assets regulatory and operational readiness across North America.
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.
NewAVP, Fixed Income Compliance Officer Jefferies Financial Group IncAVP, Fixed Income Compliance OfficerNew York, NY$120,000–$140,000 / yearThe successful candidate will assist with compliance reporting, metrics, dashboards, monitoring, data analysis, and process improvements, while supporting the broader team on regulatory and advisory matters. 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.
Senior Compliance Officer - Capital Markets PJT PartnersSenior Compliance Officer - Capital MarketsNew York, NY$175,000–$200,000 / yearOur team of senior professionals delivers a wide array of strategic advisory, shareholder advisory, restructuring and special situations and private fund advisory and placement services to corporations, financial sponsors, institutional investors and governments around the world. We also provide, through PJT Park Hill, private fund advisory and fundraising services for alternative investment managers, including private equity funds, real estate funds and hedge funds.
US Compliance Officer LMAX GroupUS Compliance OfficerNew York, NY$150,000–$250,000 / yearYou will play a key role in navigating US regulatory frameworks, designing and implementing compliance infrastructure, and supporting licensing efforts including potential: Digital asset licenses including: NYDFS BitLicense application. 5 –12+ years of experience in financial services compliance, preferably within: Digital Assets, trading venues (SEF, MTF, exchanges) FX or derivatives, Direct experience with US regulators (CFTC, NFA, NYDFS strongly preferred).
Compliance Officer Sixth Street Specialty Lending IncCompliance OfficerNew York, NY$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.
NewAssociate Chief Quality Officer NewYork-PresbyterianAssociate Chief Quality OfficerNew York, NY$365,000–$415,000 / yearThey will work closely with Physician Quality Leaders (PQLs), as well as SVPs, VPs, and Directors across the organization including, but not limited to, Quality and Patient Safety, nursing, operations, human resources, ambulatory care network, strategy, finance, legal, IT, analytics, and patient services. In the Associate Chief Medical Officer role, the candidate will be responsible for local clinical programs, service lines, and medical affairs by supporting strategic goals of their assigned campus as set by the executive team (COO and CMO).
Monitoring & Surveillance Compliance Officer (Vice President) Credit Agricole SAMonitoring & Surveillance Compliance Officer (Vice President)NEW YORK, NY$135,000–$165,000 / yearKey Responsibilities:Review and handle communications alerts and pertinent data to assess potential violations of laws, rules, regulations and the Firm's policiesDirect the Monitoring & Surveillance review team, ensuring effective risk identification, escalation, and resolution. Key Internal contacts:All business units;IT Department;Legal department;Audit department;Risk departments; andOperations departments.
Chief Accounting Officer World Business Lenders, LLCChief Accounting OfficerQueens, NYRemoteThis role leads the accounting organization through a critical period of modernization and scale, with title and scope calibrated to the selected candidate's experience level (Chief Accounting Officer for seasoned executive leaders; Director of Accounting for high-potential leaders growing into executive scope). Direct Reports: Finance and Treasury Manager, Accounting manager, staff accountants, Accounts Payable/Receivable teams, Treasury/Bank Reconciliation teams, Tax department, Loan Administration department (structure scales with organizational growth).
Senior Compliance Officer - Monitoring and Testing (Associate) - TD Securities (US) TD BankSenior Compliance Officer - Monitoring and Testing (Associate) - TD Securities (US)New York, New YorkTotal Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions.
Senior Lead Compliance Officer - CIB Wells Fargo & CoSenior Lead Compliance Officer - CIBNew York, NY$191,000–$305,000 / yearThey are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. Expert-level knowledge of compliance program operations including compliance risk assessment, compliance monitoring programs, compliance issues management, and compliance risk data architecture and technology platforms commensurate with large financial institution independent risk management programs.
US Analyst - AML / OFAC Compliance Officer Credit Agricole SAUS Analyst - AML / OFAC Compliance OfficerNEW YORK, NYThe position's main responsibilities are centered on the following: reviewing and validating high risk KYC files, and providing AML and/or sanctions related guidance to the Bank's staff on proposed transactions. Assist to provide guidance to Front Office and Support staff on AML specific queries concerning proposed customers and/or transactions.
NewManager, Futures Regulatory Compliance Futu Securities International (Hong Kong) LtdManager, Futures Regulatory ComplianceJersey City, NJServe as a primary Compliance coordinator and subject matter expert for regulatory examinations, audits, investigations, and information requests involving the firm's futures business, including matters involving the CFTC, NFA, CME Group and other applicable exchanges and regulatory authorities. The Manager will coordinate regulatory responses, support examination readiness, maintain required documentation, and partner with Compliance, Futures Operations, Risk, Technology, Finance, Legal, AML, and business teams to address futures regulatory obligations.
NewLegal & Compliance Department - COO Office Intern Bank of China Limited, New York BranchLegal & Compliance Department - COO Office InternNew York, New YorkInternOur long-term outlook, institutional weight and global breadth provide our clients with a stable and reliable financial partner, whether in Corporate or Personal Banking or our Trade Services, Commodities, Financial Institutions and Global Markets lines of business. Responsibilities: Job responsibilites include but are not limited to: Resources management – fixed assets related, including purchase, write off, replacement, annual check, relocation, etc.
Director, Compliance Regulatory Futu SecuritiesDirector, Compliance RegulatoryJersey City, NJThe Director of Compliance will play a critical leadership role within the Compliance Department and will be responsible for managing regulatory examinations, inquiries, and investigations involving FINRA, the SEC, state securities regulators, and other regulatory agencies. The successful candidate must possess extensive knowledge of broker-dealer clearing operations, regulatory requirements applicable to clearing firms, and experience in compliance investigations, trade surveillance, anti-money laundering, and regulatory reporting.
Compliance Officer Colombia DlocalCompliance Officer ColombiaBogota, NJSocial budget: you'll get a monthly budget to chill out with your team (in person or remotely) and deepen your connections! dLocal Houses: want to rent a house to spend one week anywhere in the world coworking with your team? This is a hands-on role that sits at the intersection of regulatory compliance, AML/KYC operations, and internal control - giving you real ownership over how we manage compliance in one of our core Latin American markets.
US Compliance Officer LMAX Exchange Group LtdUS Compliance OfficerNew York, NY$150,000–$250,000 / yearYou will play a key role in navigating US regulatory frameworks, designing and implementing compliance infrastructure, and supporting licensing efforts including potential: CFTC SEF (Swap Execution Facility) registration. This is a hands on role, requiring a willingness to roll up sleeves across policy drafting, regulatory engagement, operational implementation, and ongoing compliance execution.