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 (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 (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 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.
Senior Escrow Officer (Pgp Title) Pulte Group, Inc.Senior Escrow Officer (Pgp Title)Basking Ridge, NJ$41.44–$51 / hourHandle all aspects of the settlement transactions including preparation and approval of Settlement Statements, preparation and coordination of deeds, verify accuracy of loan documents, insurance documentation, seller statements, and contract or sales agreement. No fee will be owing or paid to Recruiters who submit unsolicited candidates, in the event the candidate is hired by PulteGroup, Inc. or its affiliates as a result of the referral, without a written agreement between PulteGroup, Inc. and through any means other than via our Applicant Tracking System.
Senior Escrow Officer (PGP Title) PulteGroup IncSenior Escrow Officer (PGP Title)Basking Ridge, NJ$41.44–$51 / hourHandle all aspects of the settlement transactions including preparation and approval of Settlement Statements, preparation and coordination of deeds, verify accuracy of loan documents, insurance documentation, seller statements, and contract or sales agreement. No fee will be owing or paid to Recruiters who submit unsolicited candidates, in the event the candidate is hired by PulteGroup, Inc. or its affiliates as a result of the referral, without a written agreement between PulteGroup, Inc. and through any means other than via our Applicant Tracking System.
VP, Business Systems & Application Support (CIO) Veolia Environnement SAVP, Business Systems & Application Support (CIO)Paramus, NJ$225,000–$255,000 / yearPosition Purpose: The Vice President serves as a visionary leader, providing strategic leadership across business functions, running the current application with zero business disruption, defining and delivering digital transformation roadmaps and driving innovation to build future state capabilities. The Business Division CIO for Regulated Utilities at Veolia North America is a hybrid leadership role: part utility-domain IT leader, part digital transformation owner, and part business partner to the regulated leadership team.
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.
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.
Lead Transportation Security Officer U.S. Department of Homeland SecurityLead Transportation Security OfficerNewark, NJ$68,081–$88,510 / yearEmployees who transfer to TSA from an agency that allows employees to maintain an annual leave balance higher than the maximum accumulation for the appointed position will have their leave ceiling set to the maximum accumulation for the appointed position (e.g., United States duty location - 240 hours, foreign duty location - 360 hours, or TSES position - 720 hours). In addition to a resume, you must submit copies of any of the following documents if you are applying based on being a current eligible TSA employee (which includes permanent employees and 5 year temporary employees), or education or a combination of education and experience: SF-50, Notification of Personnel Action - Current TSA employees are strongly encouraged to submit the most recent non-Award SF-50, at the time of application, to support eligibility for Status consideration.
Chief Technology Officer Nova Credit Inc.Chief Technology OfficerNew York, NY$350,000–$400,000 / yearAs a member of the Leadership Team, you will serve as the visible steward of our technical and product culture, aligning innovation with long-term business outcomes and ensuring Nova Credit remains a category leader in financial infrastructure. Serving as a connective force across the organization, actively building trust and context between Build and every other function, so that engineering, product and analytics priorities stay aligned and the business operates as a cohesive whole.
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.
Chief Information Security Officer Compass IncChief Information Security OfficerNew York City, NY$350,000–$400,000 / yearDesign and drive a comprehensive, enterprise-wide information security and risk management program - covering integrity, confidentiality, and availability of all data owned, processed, or controlled by Compass and its affiliates, including Title & Escrow, Brokerage, and Technology platforms. This is an executive & highly technical role at the intersection of security strategy, technology, and business - responsible for protecting Compass''s platform, its agents, buyers, sellers, and the sensitive financial and personal data that flows through every transaction.
Head of Broker Dealer Compliance Americas and Chief Compliance Officer VN2908 MAREX Group LimitedHead of Broker Dealer Compliance Americas and Chief Compliance Officer VN2908New York, NY$290,000–$335,000 / yearThe Head of Broker Dealer Compliance is an expert in Broker Dealer regulation that leads a team of compliance officers in providing compliance advisory services for Equities, Fixed Income, 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.
NewMarketing 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 - 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.
Chief Information Security Officer (Ciso) CAIS GroupChief Information Security Officer (Ciso)New York City, NY$270,000–$320,000 / yearCAIS provides financial advisors with a broad selection of alternative investment strategies, including hedge funds, private equity, private credit, real estate, digital assets, and capital market solutions including structured notes, market-linked CDs, and hedging strategies for concentrated stock positions. CAIS is the pioneer in democratizing access to and education about alternative investments and structured products for independent financial advisors, empowering them to engage and transact with leading asset managers and bank issuers on a massive scale through a wide variety of alternative investment products and technology solutions.
Chief Information Security Officer CISO Capital Integration Systems LLCChief Information Security Officer CISONew York City, NY$270,000–$320,000 / yearCAIS provides financial advisors with a broad selection of alternative investment strategies, including hedge funds, private equity, private credit, real estate, digital assets, and capital market solutions including structured notes, market-linked CDs, and hedging strategies for concentrated stock positions. CAIS is the pioneer in democratizing access to and education about alternative investments and structured products for independent financial advisors, empowering them to engage and transact with leading asset managers and bank issuers on a massive scale through a wide variety of alternative investment products and technology solutions.
Principal, Client CIO Partner's CapitalPrincipal, Client CIONew York, New York$150,000–$210,000 / yearClients include Syracuse University, Sesame Workshop, INSEAD Business School, New York’s Metropolitan Opera, San Francisco Symphony, Eton College, Colorado College, several Oxford and Cambridge University Colleges, several family offices around the world, and senior executives from leading global investment firms. Key responsibilities include: Investment Strategy Development & Bespoke Portfolio Management: Leveraging insights from the Firm’s Central Research Team and Asset Class teams to design multi-asset class portfolio for clients, subject to client-specific constraints including (but not limited to) risk budget, liquidity and spending needs.
Field CTO - Financial Services CelonisField CTO - Financial ServicesNew York, NY$191,000–$255,000 / yearWe enable thousands of companies worldwide to understand how their business actually runs and, together with their partners, build intelligent solutions that transform and continuously improve the way they operate - unlocking billions in value. The qualifications you need: Experience: 15 to 20 years of relevant experience, ideally having served as a CTO at a consulting firm, as Field CTO at a software vendor, or Director/VP of Enterprise Architecture within a major corporation.