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.
RIA Compliance Officer Welltower IncRIA Compliance OfficerNew York, NY$295,000–$415,000 / yearThrough our disciplined approach to capital allocation powered by our data science platform and superior operating results driven by the Welltower Business System, we aspire to deliver long-term compounding of per share growth and returns for our existing investors - our North Star. Final compensation determinations are made based on a variety of factors, including, but not limited to, the candidate's individual experience, education, and skill level; business strategic priorities; primary office location; scope and anticipated strategic impact of the role.
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.
NewCompliance Officer CAISCompliance OfficerNew York, New York$100,000–$145,000 / year2-5 years + experience in a compliance role at a financial services firm with substantial knowledge of FINRA rules Understanding of FINRA & SEC marketing/advertising rules, and the day-to-day compliance affairs of public and private funds a plus Bachelor’s degree (required) FINRA Series 7 and Series 24 licenses (required) Exemplary oral, written, and interpersonal communication skills; ability to comfortably multi-task and meet deadlines Strong technical skills, excellent organizational skills, and strong follow-through mind-set Ability to work with colleagues to devise pragmatic and creative solutions, and to prioritize and focus on critical tasks that add value A natural ability to develop relationships, internally and externally CAIS is consistently recognized as a Best Place to Work, and our culture is at the heart of our success. CAIS is the pioneer in democratizing access to and education about alternative investments for independent financial advisors, empowering them to engage and transact with leading asset managers on a massive scale through a wide variety of alternative investment products and technology solutions.
Fixed Income Compliance Officer, Vice President - Securitized Products and Rates Morgan StanleyFixed Income Compliance Officer, Vice President - Securitized Products and RatesNew York, NY$120,000–$205,000 / yearIn-depth understanding of Securitized Products suite including agency and non-agency securities (ABS, RMBS, CMBS, CLO, CMO), swaps and security-based swaps, residential mortgage loan trading and securitization, commercial mortgage origination and securitization and consumer loans. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren't just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries.
Fixed Income Compliance Officer, Vice President - Securitized Products And Rates Morgan StanleyFixed Income Compliance Officer, Vice President - Securitized Products And RatesNew York, NY$120,000–$205,000 / yearIn-depth understanding of Securitized Products suite including agency and non-agency securities (ABS, RMBS, CMBS, CLO, CMO), swaps and security-based swaps, residential mortgage loan trading and securitization, commercial mortgage origination and securitization and consumer loans. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren't just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries.
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.
Chief Risk & Compliance Officer Michael Page InternationalChief Risk & Compliance OfficerNew York, New York$300,000–$400,000 / yearFull timeTrack record of building and leading high-performing teams in evolving organisations. Design and implement a firmwide risk management architecture, including governance, appetite setting, and reporting.
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.
Junior Compliance Officer (Operations, Junior Analyst) The MIL CorporationJunior Compliance Officer (Operations, Junior Analyst)Newark, NJ$35,000–$48,000 / yearAssociates degree in Business, Accounting, Finance, Information Systems, Criminal Justice, or a related field is required; Bachelors degree in Business, Accounting, Finance, Information Systems, Criminal Justice, or a related discipline is preferred. 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.
Legal & Compliance Department - COO Office Intern Bank of ChinaLegal & 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.
Legal & 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.
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.
Senior Compliance Officer Franklin ResourcesSenior 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 & Grant Reporting Officer Sre Engineering DpcCompliance & Grant Reporting OfficerNew York, New York$115,000–$150,000 / yearCore Responsibilities BABA 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.
Compliance Officer Michael Page InternationalCompliance OfficerNew York, New York$90,000–$110,000 / yearFull timeAssess sanctions screening alerts arising from international wire activity, SWIFT messages, correspondent and intermediary banking transactions, cover payments, applicable trade finance activity, and parties associated with correspondent banking relationships. Detect and assess indicators that may point to sanctions evasion or circumvention, including opaque ownership arrangements, connections to sanctioned jurisdictions, complicated payment routes, intermediary entities, unusual payment descriptions, and vessel or trade-related warning signs.
Security Officer Part Time Patrol Compliance Allied UniversalSecurity Officer Part Time Patrol ComplianceSomerset, New JerseyPart timeConduct regular and random unarmed patrols of laboratory facilities, controlled-access areas, exterior grounds, parking areas, and perimeter locations to help to deter unauthorized activity and identify unusual conditions. As a Patrol Unarmed Officer with Allied Universal, you will monitor and patrol a chemical and petrochemical laboratory environment, maintaining a visible presence to help deter security-related incidents.
Executive Assistant to the Chief Executive Officer & Chief Human Resources Officer Selective Insurance Group IncExecutive Assistant to the Chief Executive Officer & Chief Human Resources OfficerNJ$130,000–$160,000 / yearSelective Insurance is recruiting for an Executive Assistant to provide high level administrative and operational support to the Chief Executive Officer (CEO) and Chief Human Resources Officer (CHRO), ensuring seamless execution of priorities in a fast-paced, highly confidential environment. Serves as a trusted partner to the CEO and CHRO, maintaining strong, responsive relationships with senior leadership and applying a solid understanding of business operations, priorities, and internal practices to anticipate needs and support decision-making.
Chief Financial Officer (CFO) – Hospice HT Executive SearchChief Financial Officer (CFO) – HospiceNew York City, NYRemote$275,000–$325,000 / yearIf you are a results-oriented finance executive passionate about contributing to the compassionate care provided by a top hospice organization, this position offers a unique chance to make a lasting impact at a multi-state level. This role is ideal for an experienced finance leader with expertise overseeing multi-state operations within private equity-backed healthcare organizations.
Interim Chief Financial Officer (CFO), Carey & Co Carey & Co., LLCInterim Chief Financial Officer (CFO), Carey & CoNew York, NYRemoteRestricted & Government Funding: Oversee compliance and reporting for restricted funds, including city, state, and federal contracts and grants, ensuring adherence to funder-specific requirements and regulations (e.g., 2 CFR 200 / Uniform Guidance). 8+ years of progressive financial leadership experience, including direct experience managing restricted funding — specifically city, state, and federal government contracts.