Senior Compliance Business Oversight Analyst The Toronto-Dominion BankSenior Compliance Business Oversight AnalystNew York, NY$72,280–$117,520 / yearWorks directly with business management, and with internal and external business partners (e.g., Internal Audit, external consultants) to respond to regulatory requests, findings, audits and/or examinations Keeps abreast of emerging issues, trends, and evolving regulatory requirements in the Compliance industry and assesses potential impacts. 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.
NewLead Compliance Officer | Equities Trading Compliance Wells Fargo & CoLead Compliance Officer | Equities Trading ComplianceNew York, NY$143,000–$224,000 / 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. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification.
VP, Compliance Monitoring and Testing Michael Page InternationalVP, Compliance Monitoring and TestingNew York, New York$150,000–$180,000 / yearFull timeSector Financial Services Sub Sector Compliance & Legal Industry Financial Services Where New York Contract Type Permanent Consultant Name Connor Duenas Job Reference JN-072026-7065317 Serve as a primary compliance contact for internal stakeholders, auditors, and regulatory bodies on matters related to monitoring and testing activities.
Consumer Compliance Senior Analyst, Complaints Finco Services IncConsumer Compliance Senior Analyst, ComplaintsNew York, NY$85,000–$110,000 / yearBased in NYC, our results-driven environment drives us to build better products, grow faster and empower everyone on our team to have an impact on our business and mission to improve financial outcomes. Regulatory Complaint Response: Analyze communications of dissatisfaction from our customers to identify potential regulatory risk; research individual cases.
Senior Financial Crimes Compliance Controls Strategist Ramp Business CorporationSenior Financial Crimes Compliance Controls StrategistNew York City, NYThis is a builder role for an experienced financial-crimes compliance professional with deep analytical skills and strong BSA/AML, and sanctions subject-matter expertise You will assess emerging and existing financial-crimes risks, make sound and defensible control decisions, and help build the processes, technology partnerships, and governance needed for FCC to scale responsibly. Ramp is seeking its first dedicated Financial Crimes Compliance Controls Senior Strategist to build and own the framework that demonstrates FCC controls are working as intended, remain effective as risk evolves, and can be clearly supported in bank-partner, audit, and regulatory examinations.
Business Solutions Group (BSG), Analyst Morgan StanleyBusiness Solutions Group (BSG), AnalystNew York, New YorkThe Business Solutions Group (BSG) team sits within Morgan Stanley’s Institutional Securities Group (ISG) and functions as an in-house management consulting team supporting the firm with strategic program management and delivery, large-scale transformation, operational improvement, and regulatory change or remediation. As a key member of the BSG team, this individual will provide program management and delivery support for key business initiatives and will coordinate across multi-disciplinary teams with a key focus on program planning, readiness planning and program execution across all impacted groups (e.g.
Business Solutions Group (Bsg), Analyst Morgan StanleyBusiness Solutions Group (Bsg), AnalystNew York, NY$100,000–$125,000 / yearThe Business Solutions Group (BSG) team sits within Morgan Stanley's Institutional Securities Group (ISG) and functions as an in-house management consulting team supporting the firm with strategic program management and delivery, large-scale transformation, operational improvement, and regulatory change or remediation. As a key member of the BSG team, this individual will provide program management and delivery support for key business initiatives and will coordinate across multi-disciplinary teams with a key focus on program planning, readiness planning and program execution across all impacted groups (e.g.
Corporate Vice President - Compliance Officer New York Life Insurance CoCorporate Vice President - Compliance OfficerNew York, NY$135,000–$160,000 / yearThe AML function supports a diverse portfolio of businesses, including life and annuity products, retail broker-dealer and investment advisory services through NYLIFE Securities and Eagle Strategies, mutual funds and distributor relationships, and oversight of affiliated U.S. and international asset management businesses. The AML Compliance Officer will serve as a key member of the AML leadership team - supporting the Enterprise AML Compliance Officer across program strategy, policy, sanctions compliance, transaction monitoring, training, and regulatory readiness, while taking meaningful ownership of key program components.
Compliance Analyst - Mutual Funds Neuberger Berman Group LLCCompliance Analyst - Mutual FundsNew York, NY$80,000–$110,000 / yearAn employee's pay position within the salary range will be based on several factors including, but limited to, relevant education, qualifications, certifications, experience, skills, seniority, geographic location, business sector, performance, shift, travel requirements, sales or revenue-based metrics, market benchmarking data, any collective bargaining agreements, and business or organizational needs. Assist in the administration of compliance programs adopted pursuant to Rule 38a-1 of the Investment Company Act and Rule 206(4)-7 of the Investment Advisers Act; assist the Chief Compliance Officer - Registered Funds with the implementation of the programs, related quarterly and annual assessments, preparation of reports and summaries.
Supervisory Examiner Federal Reserve Bank of PhiladelphiaSupervisory ExaminerNew York, New YorkSupervisory or industry experience in large bank activities, including commercial banking, retail banking, payments, investment banking and/or global markets trading businesses, including experience of financial and non-financial risk management and audit functions. The Supervision Group at FRBNY is responsible for the day-to-day supervision of Globally Systemically Important Banks, Large and Foreign Banking Organizations, Regional and Community Banking Organizations and Financial Market Utilities that are based in the Second District.
Vice President, Remediation Management Madison-DavisVice President, Remediation ManagementIselin, NJA financial services organization is seeking an experienced remediation and regulatory risk professional to support the management and resolution of significant regulatory, audit, and internally identified issues. Coordinate complex remediation initiatives involving regulatory findings, audit issues, and significant internally identified matters from initial planning through validation and closure.
Quality - QA Systems & Compliance Associate Englewood Lab, Inc.Quality - QA Systems & Compliance AssociateTotowa, NJFull timeThe position supports internal, external, customer, supplier, and regulatory audits; supplier qualification and supplier quality activities; quality investigations and CAPA; validation and qualification; data integrity; calibration/metrology; and continuous improvement initiatives. The role works cross-functionally with QA/QC, Manufacturing, R&D, Process Engineering, Warehouse, Purchasing, Regulatory Affairs, external laboratories, suppliers, auditors, and customer quality contacts.
NewVice President, Investment Adviser Compliance (JD required) Ares OperationsVice President, Investment Adviser Compliance (JD required)New York, New York$250,000–$300,000 / yearAres offers a number of additional benefits including access to a world-class medical advisory team, a mental health app that includes coaching, therapy and psychiatry, a mindfulness and wellbeing app, financial wellness benefit that includes access to a financial advisor, new parent leave, reproductive and adoption assistance, emergency backup care, matching gift program, education sponsorship program, and much more. Under the leadership of the Chief Compliance and Regulatory Officer, the Compliance and Regulatory functions are comprised of teams that operate collaboratively with a global focus, including Regulatory, which oversees global regulatory matters relating to the Investment Advisers Act of 1940, Investment Company Act of 1940 and other regulatory regimes.
Head of Compliance, Gemini Galactic Markets, LLC Gemini Trust Company LLCHead of Compliance, Gemini Galactic Markets, LLCNew York, NY$150,500–$215,000 / yearThis role requires deep expertise across federal securities and commodities regulation, SEC, FINRA, CFTC, and NFA, with hands-on experience building and running compliance programs at a retail-facing brokerage and FCM. Gemini is a global crypto and Web3 platform founded by Cameron and Tyler Winklevoss in 2014, offering a wide range of simple, reliable, and secure crypto products and services to individuals and institutions in over 70 countries.
NewEnvironmental Remediation and Compliance Business Unit Leader GFT Infrastructure IncEnvironmental Remediation and Compliance Business Unit LeaderNew York, NY$208,000–$260,000 / yearWhat You Will Do: At GFT, we're looking for a visionary Environmental Remediation and Compliance Business Unit Leader to drive strategic growth, ignite innovation, and inspire a high-performing team across the U.S. GFT's Environmental team delivers integrated planning, permitting, and compliance solutions that support infrastructure development across North America. What you'll be challenged to do: As an Environmental Remediation and Compliance Business Unit Leader, this is more than a leadership role - it's your opportunity to shape the future of environmental services in the remediation and compliance market, champion innovation and bring bold ideas to life and foster collaboration across a dynamic, multidisciplinary team.
Senior Advisor, GEIB Compliance Raymond James Financial IncSenior Advisor, GEIB ComplianceNew York, NY$75,000–$90,000 / yearRelevant rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA) specifically Rules 5100 (corporate finance), 2241 (conflicts of interest and research), 2210 (communications with the public, 3110 (supervision), 1220 (registration rules), Securities Act - Section 5, SEC Rules 138/139, Reg AC, Reg M. Under general direction, uses knowledge and skills obtained through education, experience, specialized training and/or certification in securities industry compliance to support the design, implementation and supervision of a comprehensive compliance program with focus on Equity Research and Investment Banking matters.
Director, Business Management, Cyber Security Michael Page InternationalDirector, Business Management, Cyber SecurityIselin, New Jersey$18,000–$225,000 / yearFull timeThey are committed to providing innovative solutions and maintaining a strong focus on compliance and risk management practices. Proven leadership skills to manage teams and drive strategic initiatives effectively.
OGC - Compliance Coordinator DLA PiperOGC - Compliance CoordinatorShort Hills, NJ$34.09–$48.75 / hourThe Compliance Coordinator, working in collaboration with and in support of the firm's strategic initiatives, supports the firm's Office of General Counsel ("OGC") by providing administrative coordination for several areas of firm compliance operations and risk management initiatives, including due diligence activities. While the specific job requirements of a DLA Piper position may vary depending upon scope of the job and area of specialty, there are certain universal requirements that are expected of all DLA Piper employees, which include but are not limited to: Effectively communicate, verbally and in writing, with clients, lawyers, business professionals, and third parties.
Compliance - Quant Modeling Senior Associate Fair Lending JPMorgan Chase & CoCompliance - Quant Modeling Senior Associate Fair LendingJersey City, NJPrepare presentations and reports to communicate analytical results, solution designs, and innovation initiatives to technical and non-technical audiences; engage with stakeholders including OFL partner teams, lines of business (LOBs), Legal, Technology, Data Science, IT, and Model Governance. Partner with Modeling, Technology, Data Science, and business teams to design, develop, and implement AI-enabled solutions, including intelligent agents, automated analytical workflows, and reusable tools that support fair lending analytics and model review processes.
Compliance Coordinator DLA Piper LLP (US)Compliance CoordinatorNJ$34.09–$48.75 / hourThe Compliance Coordinator, working in collaboration with and in support of the firm's strategic initiatives, supports the firm's Office of General Counsel ("OGC") by providing administrative coordination for several areas of firm compliance operations and risk management initiatives, including due diligence activities. While the specific job requirements of a DLA Piper position may vary depending upon scope of the job and area of specialty, there are certain universal requirements that are expected of all DLA Piper employees, which include but are not limited to: Effectively communicate, verbally and in writing, with clients, lawyers, business professionals, and third parties.