New["Senior Compliance Officer II","Senior Compliance Officer II"] Popular["Senior Compliance Officer II","Senior Compliance Officer II"]New York$160,000–$175,000 / yearServe as a compliance resource and SME (subject matter expert) to business units, internal team members, and management providing a range of support and analysis on regulatory compliance requirements, issues, and/or best practices, including the provision of guidance in the design, development and/or enhancement of processes and controls to manage compliance risks. The right candidate will support the consumer regulatory compliance functions for Popular Bank, including the development, implementation, and maintenance of a consumer regulatory compliance program through compliance activities across various lines of business, branches, and operating departments.
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.
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.
NewDeputy Superintendent for Internal Compliance & Risk Management (Director Financial Services Programs 3, NS) New York State Thruway AuthorityDeputy Superintendent for Internal Compliance & Risk Management (Director Financial Services Programs 3, NS)New York, NY$172,787–$213,995 / yearDuties include, but are not limited to, the following: Supports business units using established risk management methodologies, tools, and techniques; Identifies, evaluates, and prioritizes DFS' most critical risks including the review of recommended risk ratings and mitigation strategies; Directs the development of internal risk intelligence capabilities throughout DFS, including common enterprise-wide processes, tools, and skills for identifying, assessing, and mitigating key risks such as strategy, operations, reporting, and compliance; Develops and implements enterprise policy and processes for aggregating and reporting risk information to the Superintendent and executive staff; identifies strengths, weaknesses, and opportunities for improvement in risk management capabilities; Manages DFS' Internal Control function and supervises Internal Control Officer; Collaborates with DFS' Internal Audit Department to identify and mitigate agency risk and helps manage agency response to external audits; Directs the development and maintenance of DFS' policies, procedures, and guidelines to mitigate risk, improve internal controls, and enhance agency operations; Assists in broader agency compliance initiatives and the assessment and development of agency-wide compliance approaches and controls; Develops/enhances ongoing monitoring process to support internal control best practices and compliance with internal policies and procedures; Develops and presents reports on compliance and risk status, goals, and progress to the General Counsel and the Superintendent; Participates in strategic and operational risk management as a member of the DFS's senior management; Presides or represents DFS in meetings with other government agencies, as appropriate, to ensure best practices and enhance internal compliance and risk management strategies and frameworks; Fosters collaborative partnerships with compliance leaders from other New York State agencies to stay abreast of new and emerging compliance and risk management techniques and best practices; Supports the work and priorities of the Office of General Counsel and, as appropriate, other DFS divisions and offices; and. Reporting to the General Counsel, the Deputy Superintendent for Internal Compliance & Risk Management will work closely with all agency divisions to develop strategic approaches and promote adoption and utilization of compliance and risk management practices by its workforce, while also serving as a primary liaison between divisions, ensuring that systems and processes are compliant.
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.
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.
Senior Compliance Officer - FCM Advisor - Vn2537 Marex Group, Plc.Senior Compliance Officer - FCM Advisor - Vn2537New York, NY$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.
Privacy and AI Governance Compliance Officer Tradeweb Markets IncPrivacy and AI Governance Compliance OfficerNew York, NY$105,000–$235,000 / yearTradeweb 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. Tradeweb is seeking a mid level Compliance Officer with expertise in data privacy, privacy by design, and AI governance to lead the organization''s efforts in embedding privacy and privacy related AI practices across business operations.
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.
Vice President, Compliance Officer Cerberus Capital ManagementVice President, Compliance OfficerNew York, New York$200,000–$225,000 / yearAdvise on Cerberus-related compliance matters including (i) management incentive plan approvals, (ii) management-fee offsets, and (iii) employee matters including moves between Cerberus and portfolio companies, among Cerberus affiliates, and of full-time employees to consulting roles (and vice versa). The role will involve participation in all stages of the investment lifecycle including pre-acquisition diligence, advising companies in the adoption of compliance policies and procedures, monitoring, testing, and mitigation during the course of an investment, and reverse-diligence and sale-readiness on exit.
NewCompliance Officer, Swap Dealer FalconXCompliance Officer, Swap DealerNew York City, NY$132,000–$167,000 / yearOperating at the intersection of traditional finance and cutting-edge technology, FalconX addresses the industry's foremost challenges: Navigating the digital asset market can be complex and fragmented, with limited products and services that support trading strategies, structures, and liquidity found in conventional financial markets. Regulatory Compliance : Ensure compliance with relevant regulations such as the Dodd-Frank Act, Commodity Futures Trading Commission (CFTC) and Securities and Exchange Commission (SEC) regulations, National Futures Association (NFA) rules, and other applicable laws governing swap dealers.
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.
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: 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.
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 - VN2537New York, NY$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, Broker-Dealer Advisor (Equities And Options) - Vn2750 Marex Group, Plc.Compliance Officer, Broker-Dealer Advisor (Equities And Options) - Vn2750New York, NY$150,000–$185,000 / yearPurpose of Role: Marex is a seeking a Broker-Dealer Compliance Advisor (focusing on Equities and Options) who is meant to be a subject matter expert in U.S. Broker-Dealer regulation providing compliance advisory services, with a strong background on Equities and Listed Options trading activities, as well as knowledge of various regulatory reporting requirements. The depth of knowledge amongst its teams and divisions provides its customers with clear advantage, and its technology-led service provides access to all major exchanges, order-flow management via screen, voice and DMA, plus award-winning data, insights, and analytics.
Capital Markets, Senior Compliance Officer BMO (Bank of Montreal)Capital Markets, Senior Compliance OfficerNew York, NY$81,400–$151,800 / yearThe role provides compliance advisory services, coordinates and performs ongoing risk assessment, monitoring and surveillance activities to ensure that the Compliance Program remains current and aligned with the Firm's Enterprise-wide Compliance Program. This role provides real-time guidance to Capital Markets management on implications of new regulatory policies or Bank products and assists in the implementation of new or revised policies and programs to address them.
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.
Compliance Officer Initio CapitalCompliance OfficerNew York, NY$145,000–$185,000It 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).
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.
NewCompliance Officer-Deposits and Payment Operations City National BankCompliance Officer-Deposits and Payment OperationsNew York, NYRemote$77,000–$143,000 / yearThe incumbent is responsible for monitoring issues remediation strategy for compliance identified issues and ensuring issues are closed in a manner which both adheres to the regulatory requirements while assisting business areas with implementing corrective actions or procedural changes, and applying a risk-based approach to remediation strategies. Position is responsible for overseeing and maintaining assigned areas of the compliance program covering consumers, including monitoring business areas for compliance with applicable laws and regulations and ensuring controls are in place to mitigate compliance risk.
Compliance Officer Surveillance VN2997 MAREX Group LimitedCompliance Officer Surveillance VN2997NY$75,000–$115,000 / yearThe group provides access to the world's major commodity markets, covering a broad range of clients that include some of the largest commodity producers, consumers and traders, banks, hedge funds and asset managers. Marex Group plc (NASDAQ: MRX) is a diversified global financial services platform providing essential liquidity, market access and infrastructure services to clients across energy, commodities and financial markets.
Compliance Officer Broker-Dealer Advisor Equities and Options - VN2750 MAREX Group LimitedCompliance Officer Broker-Dealer Advisor Equities and Options - VN2750New York, NY$150,000–$185,000 / yearPurpose of Role: Marex is a seeking a Broker-Dealer Compliance Advisor (focusing on Equities and Options) who is meant to be a subject matter expert in U.S. Broker-Dealer regulation providing compliance advisory services, with a strong background on Equities and Listed Options trading activities, as well as knowledge of various regulatory reporting requirements. The depth of knowledge amongst its teams and divisions provides its customers with clear advantage, and its technology-led service provides access to all major exchanges, order-flow management via screen, voice and DMA, plus award-winning data, insights, and analytics.
Compliance Officer SCHONFELD STRATEGIC ADVISORS LLCCompliance OfficerNew York, NY$200,000–$250,000 / yearYou will need to be familiar with non-equity market mechanics, including trading venue rules and operations across asset classes such as futures, fixed income, credit, rates, FX, commodities, volatility, and equity index derivatives. Providing compliance advice and training to investment personnel on their activities; including managing the flow of live trading queries and responding in a timely risk-based fashion.
Mortgage Compliance Officer - Remote Longbridge Financial, LLCMortgage Compliance Officer - RemoteParamus, NJRemote$130,000–$135,000 / yearMonitor federal and state regulatory sources (CFPB, HUD, TILA, HMDA, RESPA, UDAAP state agencies) for new rules, guidance, and legislative updates affecting mortgage lending. As a leading provider of home equity solutions for seniors, we're committed to helping older homeowners make the most of what they've worked hard to build, so they can live the retirement they imagined.
Co-Founder & CEO - AI Clinical Documentation Compliance FutureSightCo-Founder & CEO - AI Clinical Documentation ComplianceNew York, NY$80–$85 / hourYou’ll co-create with a proven studio team, led by John Carbrey (4x entrepreneur, $100M ARR), Krista LaRiviere (3x exited, E&Y Top Women Entrepreneur), Alan Smith (Strategyzer co-founder, $120M in products built), Prathna Ramesh (former MD of Maple Leaf Angels, $275M in follow-on capital), and Johnny Tong (0-to-1 builder, acquired by SAP and Stripe) bring a rare combination of operator exits, institutional investing, and AI product depth. The market signal is incredibly strong: Unprompted Product Pull: Every single lead described the exact product we want to build: a pre-billing, real-time, EHR-integrated flagging layer that checks documentation against payer-specific rules before claims are submitted.
Co-Founder & CEO - Healthtech - AI Clinical Documentation Compliance FutureSightCo-Founder & CEO - Healthtech - AI Clinical Documentation ComplianceNew York, NY$80–$85 / hourYou’ll co-create with a proven studio team, led by John Carbrey (4x entrepreneur, $100M ARR), Krista LaRiviere (3x exited, E&Y Top Women Entrepreneur), Alan Smith (Strategyzer co-founder, $120M in products built), Prathna Ramesh (former MD of Maple Leaf Angels, $275M in follow-on capital), and Johnny Tong (0-to-1 builder, acquired by SAP and Stripe) bring a rare combination of operator exits, institutional investing, and AI product depth. The market signal is incredibly strong: Unprompted Product Pull: Every single lead described the exact product we want to build: a pre-billing, real-time, EHR-integrated flagging layer that checks documentation against payer-specific rules before claims are submitted.
Compliance Officer Millennium Management LLCCompliance OfficerNew York, NY$160,000–$250,000 / yearOur people are empowered with both independence and support: the autonomy to pursue ideas with conviction and the backing of a global network committed to collaboration, disciplined risk management and continuous learning. The team works to help prevent and detect violations of applicable laws, rules, regulatory requirements, and firm policies through a disciplined and well-controlled framework.
Compliance Officer (Business Analyst) Franklin Resources IncCompliance Officer (Business Analyst)New York City, NY$130,000–$150,000 / yearWe also offer a comprehensive benefits package, which includes a range of competitive healthcare options, insurance, and disability benefits, employee stock investment program, learning resources, career development programs, reimbursement for certain education expenses, paid time off (vacation / holidays / sick / leave / parental & caregiving leave / bereavement / volunteering / floating holidays) and a motivational wellbeing program. This person will achieve this by advocating for and owning key compliance review processes, leading improvements, resolving issues and driving marketing content changes to keep up with evolving regulatory requirements.
Compliance Officer (Distribution Marketing) Franklin ResourcesCompliance Officer (Distribution Marketing)Stamford, CT$130,000–$150,000 / yearWe also offer a comprehensive benefits package, which includes a range of competitive healthcare options, insurance, and disability benefits, employee stock investment program, learning resources, career development programs, reimbursement for certain education expenses, paid time off (vacation / holidays / sick / leave / parental & caregiving leave / bereavement / volunteering / floating holidays) and a motivational wellbeing program. This person will achieve this by advocating for and owning key compliance review processes, leading improvements, resolving issues and driving marketing content changes to keep up with evolving regulatory requirements.
Compliance Officer Vise IncCompliance OfficerNew York, NY$110,000–$130,000 / yearVise is the outsourced sub-advisor, doing trading, rebalancing, and managing client portfolios fully automated on the advisors behalf; Vise charges an AUM fee for its services. Our platform empowers advisors to create institutional-grade, personalized portfolios, automate their management, and explain valuable insights that enhance their expertise and service to clients.
Compliance Officer ViseCompliance OfficerNew York, NY$110,000–$130,000 / yearVise is the outsourced sub-advisor, doing trading, rebalancing, and managing client portfolios fully automated on the advisor's behalf; Vise charges an AUM fee for its services. Our platform empowers advisors to create institutional-grade, personalized portfolios, automate their management, and explain valuable insights that enhance their expertise and service to clients.
Senior Compliance Officer - Monitoring and Testing (Associate) - TD Securities (US) The Toronto-Dominion BankSenior Compliance Officer - Monitoring and Testing (Associate) - TD Securities (US)New York, NY$100,000–$130,000 / yearGeneral Job Description The Senior Compliance Office provides advice, guidance and support to business units in adhering to regulatory/compliance requirements and assists in implementing compliance initiatives to help manage regulatory risk. Client service skills - the candidate must demonstrate the judgment and ability to closely partner with and advise senior and line managers and other stakeholders on regulatory interactions.
Compliance Officer Sixth StreetCompliance 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.
Marketing Compliance Officer Oppenheimer & Co. Inc.Marketing Compliance OfficerNew York, NY$90,000–$125,000 / yearWith roots tracing back to 1881, the Company is engaged in a broad range of activities in the financial services industry, including retail securities brokerage, institutional sales and trading, investment banking (both corporate and public finance), equity & fixed income research, market making, trust services and investment advisory and asset management services. Understanding of wealth management and investment advisory products, including “wrap fee” separate account programs, private and registered investment funds, as well as the regulatory landscape of investment advisers and broker-dealers.
Lead Compliance Officer (Mechanical/Environmental) - 90382237 - Long Island City National Railroad Passenger CorpLead Compliance Officer (Mechanical/Environmental) - 90382237 - Long Island CityLong Island City, NY$94,300–$122,256 / hourProvides direction and manages implementation of environmental programs including planning, development and supervision of the following program elements: Permit compliance for all facility environmental permits, coordinating permit and plan updates and revisions, preparing internal and external reports, and maintaining communications with regulatory agencies. Our values of 'Do the Right Thing, Excel Together and Put Customers First' are at the heart of what matters most to us, and our Core Capabilities, 'Building Trust, Accountability, Effective Communication, Customer Focus, and Proactive Safety & Security' are what every employee needs to know and do to be most impactful at Amtrak.
Compliance Officer Schonfeld Strategic Advisors LLCCompliance OfficerNew York, NY$200,000–$250,000 / yearYou will need to be familiar with non-equity market mechanics, including trading venue rules and operations across asset classes such as futures, fixed income, credit, rates, FX, commodities, volatility, and equity index derivatives. Providing compliance advice and training to investment personnel on their activities; including managing the flow of live trading queries and responding in a timely risk-based fashion.
Compliance Officer, Trading Compliance Point72Compliance Officer, Trading ComplianceStamford, CTThe Point72 Compliance department is an industry-leading team of compliance professionals who support global investment and trading activities by establishing and enforcing the firm’s compliance policies, providing real-time advice, and conducting pre- and post-trade surveillance. Investigate trading exceptions and potential breaches, prepare concise findings and remediation plans, and present results to senior compliance leaders.
Deputy Chief Diversity Officer - Business Program Compliance Metropolitan Transportation AuthorityDeputy Chief Diversity Officer - Business Program ComplianceNew York, NY$165,000–$185,000 / yearThis position serves as the agency's primary liaison with oversight and investigative entities, including the MTA Inspector General, Internal Audit, Federal Transit Administration (FTA), the NYS Governor's Office, Empire State Development (ESD), and other regulatory agencies on matters involving compliance, fraud, audits, and program integrity. The Deputy Chief directs contract compliance activities throughout the full contract lifecycle, including goal implementation, utilization monitoring, Commercially Useful Function (CUF) reviews, Good Faith Effort evaluations, audits, investigations, reporting, enforcement actions, and project closeouts.
Chief Risk & Compliance Officer Michael Page InternationalChief Risk & Compliance OfficerNew York, New York$300,000–$400,000 / yearFull timeEnterprise Risk ManagementDesign and implement a firmwide risk management architecture, including governance, appetite setting, and reporting. Regulatory Leadership & Compliance OversightDefine and manage a forward-looking compliance strategy across multiple jurisdictions.
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.
Lead Compliance Officer (Mechanical/Environmental) - 90382237 - Long Island City (Long Island City, NY, US, 11101) AmtrakLead Compliance Officer (Mechanical/Environmental) - 90382237 - Long Island City (Long Island City, NY, US, 11101)Long Island City, NY$94,300–$122,256 / hourProvides direction and manages implementation of environmental programs including planning, development and supervision of the following program elements: Permit compliance for all facility environmental permits, coordinating permit and plan updates and revisions, preparing internal and external reports, and maintaining communications with regulatory agencies. Our values of ‘Do the Right Thing, Excel Together and Put Customers First’ are at the heart of what matters most to us, and our Core Capabilities, ‘Building Trust, Accountability, Effective Communication, Customer Focus, and Proactive Safety & Security’ are what every employee needs to know and do to be most impactful at Amtrak.
Marketing Compliance Officer Oppenheimer Holdings IncMarketing Compliance OfficerNew York, NY$90,000–$125,000 / yearWith roots tracing back to 1881, the Company is engaged in a broad range of activities in the financial services industry, including retail securities brokerage, institutional sales and trading, investment banking (both corporate and public finance), equity & fixed income research, market making, trust services and investment advisory and asset management services. Understanding of wealth management and investment advisory products, including wrap fee separate account programs, private and registered investment funds, as well as the regulatory landscape of investment advisers and broker-dealers.
Compliance 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.
Compliance Officer 1 Halifax Regional CouncilCompliance Officer 1New York, NYAs a member of the Parking Services Team, reporting to Supervisor, Parking Enforcement, the Compliance Officer I (COI) is primarily responsible for enforcing Municipal Legislation related to parking enforcement and front-line compliance in a range of legislation including but not limited to: Pay-Station By-law. To ensure a fair and equitable hiring process, candidates are expected to complete all parts of the recruitment process, including assessments, assignments, and interviews independently and without the use of artificial intelligence (AI) tools or other forms of external assistance.
Compliance Officer - New Jersey Centene Corporation GroupCompliance Officer - New JerseyNJRemote$148,000–$274,200 / yearDevelop strategic relationships with agencies within the New Jersey Department of Human Services and other state regulatory policymakers with oversight responsibility for Managed Care organizations, Medicare and Medicaid initiatives. Chair or support market compliance committees and provide regular reporting to market and enterprise leadership regarding risks, trends and remediation activities.
Compliance Officer, Analyst BTIG Norway ASCompliance Officer, AnalystNew York, NY$60,000–$75,000 / yearThe firm's core capabilities include global execution, portfolio, electronic and outsource trading, investment banking, prime brokerage, capital introduction, corporate access, research and strategy, commission management and more. Salary range is based on a variety of factors including, but not limited to, location, years of applicable experience, skills, qualifications, licensure and certifications, and other business and organization needs.
Senior Compliance Officer Franklin Resources IncSenior Compliance OfficerNew York, NY$150,000–$200,000 / yearWe also offer a comprehensive benefits package, which includes a range of competitive healthcare options, insurance, and disability benefits, employee stock investment program, learning resources, career development programs, reimbursement for certain education expenses, paid time off (vacation / holidays / sick / leave / parental & caregiving leave / bereavement / volunteering / floating holidays) and a motivational wellbeing program. The successful candidate will support the firm's compliance program across registered private equity funds, private debt funds, and exchange-traded funds (ETFs), ensuring adherence to applicable regulatory requirements and internal policies.
Compliance Officer CareerscapeCompliance OfficerNew York City, NY$95,000–$145,000 / yearFull timeThis 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.
Compliance & Grant Reporting Officer Sre Engineering DpcCompliance & Grant Reporting OfficerNew York, New YorkBABA Mastery: Ensure all procurement adheres to the Build America, Buy America Act , specifically managing the 55% domestic content rules and navigating complex EPA Clean Ports Waivers (including the 5% De Minimis and 15% Supplemental waivers). Audit Readiness: Manage the project’s digital "Paper Trail" using ArcGIS Hub or similar Project Management Information Systems (PMIS) to ensure all documentation is centralized and audit-ready at a moment's notice.