NewCompliance Officer Flow TradersCompliance OfficerNew York, NY$95,000–$130,000 / yearSupport the broader employee compliance program, including in the areas of employee onboardings/terminations, personal trading, outside business activities, gifts and entertainment, political contributions, exchange registrations, social media, electronic communications, and continuing education. All resumes, and any other information identifying potential candidates, submitted to any employee at Flow Traders via-email, the Internet or directly without a valid and signed search agreement will be deemed free to contact by Flow Traders without any restrictions and no placement fee of any kind will be paid in the event the candidate is hired by Flow Traders.
Relationship Manager - Law Firms Moody's CorpRelationship Manager - Law FirmsNew York, NY$113,200–$164,050 / year5-10 years or more of sales / relationship management experience within the Professional Services sector • Experience working within or selling into law firms, preferably AmLaw 200, and/or Professional Services firms • Data, Information Services or KYC/compliance sales experience preferred but not necessary • Solid demonstrated understanding of the legal/law firm space, their procurement & buying process, and the legal data market players • Entrepreneurial style, drive and sense of urgency, coupled with the ability to work well with others as part of a solution team • Robust problem-solving and influencing skills • Ability to work autonomously with minimal supervision, yet integrate appropriately with sales teams and other areas within MA when necessary • Proven sales track record of capability and ability to influence key decision makers during the sales process • Ability to sell with a consultative approach and manage complex sales processes • Networking skills to identify and develop new business opportunities • Creative problem-solving skills and ability to diagnose issues and develop solutions • Highly organised with strong time management skills • Must have the motivation and ability to excel in an intense, high-energy selling environment • Fluent English is essential; additional language capabilities are advantageous • Education: Degree educated (or equivalent), preferably in finance, business, or economics. For US-based roles only: the anticipated hiring base salary range for this position is $113,200.00-$164,050.00, depending on factors such as experience, education, level, skills, and location.
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.
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)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.
NewCompliance 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 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 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.
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.
NewCorporate 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 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.
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.
NewCompliance 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.
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.
NewCompliance Officer FLOW TRADERSCompliance OfficerNew York, NY$95,000–$130,000 / yearSupport the broader employee compliance program, including in the areas of employee onboardings/terminations, personal trading, outside business activities, gifts and entertainment, political contributions, exchange registrations, social media, electronic communications, and continuing education. All resumes, and any other information identifying potential candidates, submitted to any employee at Flow Traders via-email, the Internet or directly without a valid and signed search agreement will be deemed free to contact by Flow Traders without any restrictions and no placement fee of any kind will be paid in the event the candidate is hired by Flow Traders.
Assistant General Counsel/Compliance Officer BestEx Research Group LLCAssistant General Counsel/Compliance OfficerStamford, CTIts cloud-based platform, Algo Management System (AMS), is the first end-to-end algorithmic trading solution for equities and futures that delivers an entire ecosystem around execution algorithms, including transaction cost analysis (TCA), an algo customization tool called Strategy Studio, a trading dashboard, and pre-trade analytics in a single platform. BestEx Research uses leading-edge technology to support its low-latency, highly scalable research, and trading systems with its back end in C++, research libraries in C++/Python and R, and web-based technologies for delivering its front-end platforms.
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.
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.
Regulatory Compliance Analyst - Investigations and Data Analysis NjtransitRegulatory Compliance Analyst - Investigations and Data AnalysisNewark, NJResearch and track trends and developments in the public transportation industry to enable NJTRANSIT to stay abreast of any changes to industry best practices and implement changes to streamline corporate oversight and operating efficiencies. Creates, tracks and maintains internal databases and reports regarding departmental and company-wide compliance initiatives and produces reports analyzing compliance data.
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.
Fractional Chief Compliance Officer FraxionalFractional Chief Compliance OfficerNew York, NYRemote$75–$100 / hourKey Responsibilities: Responsibilities vary by client need, but may include the following: Compliance Program Development: Design, implement, and maintain comprehensive compliance programs that align with federal and state healthcare regulations, including HIPAA, Stark Law, Anti-Kickback Statute, and fraud and abuse laws. Regulatory Liaison: Serve as the primary point of contact for regulatory agencies, ensuring timely and accurate responses to inquiries and maintaining positive relationships.
Capital Markets, Senior Compliance Officer Bank of MontrealCapital 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.
Senior Corporate Counsel, Regulatory, Compliance & Litigation Clear Secure Inc.Senior Corporate Counsel, Regulatory, Compliance & LitigationNew York, NY$225,000–$275,000 / yearAs Senior Corporate Counsel, Litigation, Regulatory & Compliance, you'll manage commercial and regulatory litigation, oversee corporate and operational compliance, and provide strategic legal guidance across CLEAR's secure identity business, including its consumer aviation product (CLEAR+), B2B secure identity platform (CLEAR1), and TSA PreCheck enrollment service. Reporting to the Senior Vice President, Chief Compliance Officer & Head of Litigation & Regulatory, you'll partner closely with leaders to manage legal and regulatory risk and enable CLEAR's continued growth through practical, business-focused counsel.
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.
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.
Compliance Officer US Central Functions Philip Morris International IncCompliance Officer US Central FunctionsStamford, CT$202,400–$253,000 / yearThe Compliance Officer, U.S. Central Functions, together with the entire U.S. Compliance team, is also responsible for driving the mission of Global PMI Compliance to: Empower and enable management, employees, and close third parties to meet applicable external (legal, regulatory, and industry) and internal (policy) requirements by providing them with the tools, knowledge and advice to do their jobs in an ethical and compliant way. Since 2008, PMI has invested $12.5 billion globally to develop, scientifically substantiate and commercialize innovative smoke-free products for adults who would otherwise continue to smoke with the goal of transitioning legal-age consumers who smoke to better alternatives.
Chief Compliance Officer MomentChief Compliance OfficerNew York City, New York$260,000–$290,000 / yearExpand and own the RIA and BD compliance programs end to end: own written policies and supervisory procedures, Code of Ethics, registration and licensing, regulatory filings, marketing and advertising review, best execution, net capital, books and records, and the annual compliance review. Provide Effective Risk Assessment and Management: proactively identify and asses inherent risks of the various business units, and implement mitigating controls to address and minimize regulatory risk exposure.
NewChief Compliance Officer, Swap Dealer FalconXChief Compliance Officer, Swap DealerNew York City, NY$191,000–$252,000 / 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. This person will advise internal stakeholders on implementation and development of CFTC, and NFA swap dealer requirements, including day-to-day oversight and program enhancements relating to policies and procedures, employee training, risk assessments, issues management, governance and management reporting, and metrics.
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.
NewSecurity Screening Officer – Military and/or Law Enforcement experience REQUIRED Johnson Security Bureau, Inc.Security Screening Officer – Military and/or Law Enforcement experience REQUIREDManhattan, NYWe are seeking vigilant, focused individuals who are passionate about maintaining security, following procedures, and operating with integrity. Key Responsibilities : As a Security Screener, you will play a critical role in identifying potential threats and ensuring the safety of the premises.
Legal Engineer (Law Firm, Litigation/Regulatory) Counsel AI CorpLegal Engineer (Law Firm, Litigation/Regulatory)New York, NY$270,000–$320,000 / yearAt least 3 years of experience in a litigation or regulatory practice such as complex commercial litigation, government or internal investigations, antitrust and competition regulation, intellectual property litigation, or other regulatory, compliance, enforcement, or related practice areas at a top-tier law firm, government agency, or sophisticated in-house legal team. Work directly with litigation and regulatory lawyers at current and prospective customers to uncover workflow pain points, recommend solutions, and demonstrate how Harvey fits into real legal work.
NewLegal Engineer (Law Firm, Litigation/Regulatory) HarveyLegal Engineer (Law Firm, Litigation/Regulatory)New York, New York$270,000–$320,000 / yearAt least 3 years of experience in a litigation or regulatory practice such as complex commercial litigation, government or internal investigations, antitrust and competition regulation, intellectual property litigation, or other regulatory, compliance, enforcement, or related practice areas at a top-tier law firm, government agency, or sophisticated in-house legal team. Work directly with litigation and regulatory lawyers at current and prospective customers to uncover workflow pain points, recommend solutions, and demonstrate how Harvey fits into real legal work.
Assistant Professor of Law and Director of Legal Externships and Public Interest Seton Hall University, New JerseyAssistant Professor of Law and Director of Legal Externships and Public InterestNewark, New JerseyThe Director works collaboratively with the Office of Career Services and the Associate Dean for Experiential Education, while maintaining primary responsibility for the academic integrity, assessment, and accreditation of the Externship Program. • Develop and maintain relationships with judges, government agencies, public interest organizations, prosecutors' offices, public defenders, corporate legal departments, and law firms to expand and diversify externship opportunities for students.
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.
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.
Chief Compliance Officer (CCO) for Truist Investment Services, Inc. and Truist Advisory Services, Inc. Truist Financial CorpChief Compliance Officer (CCO) for Truist Investment Services, Inc. and Truist Advisory Services, Inc.New York, NY$200,000–$290,000 / yearRIA expertise and coordination: Provide compliance leadership for advisory activities within an SEC-registered RIA framework (including Advisers Act obligations such as disclosures, conflicts management, Code of Ethics oversight, and best execution), and coordinate broker-dealer/RIA requirements to promote consistent client outcomes and a cohesive control environment. Please review the following job description: The Chief Compliance Officer (CCO) for Truist Investment Services, Inc. and Truist Advisory Services, Inc. is responsible for leading an integrated broker-dealer and SEC-registered registered investment adviser (RIA) compliance program and serving as the primary regulatory-facing executive for the firms.
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.
Director, Bank & Prudential Regulatory Compliance The Bank of New York Mellon CorpDirector, Bank & Prudential Regulatory ComplianceNew York, NY$130,000–$211,500 / yearSupporting with the identification and management of issues, developing and overseeing remediation plans to ensure resolution efforts proceed timely and effectively; Advising, guiding and providing credible challenge to business lines and corporate functions in cooperation with Business Compliance Officers; Providing expert opinion on the impact of applicable regulations to the design and implementation of key corporate initiatives, products, and services; Participating in the development and execution of the BNYs Compliance risk assessment and Compliance testing routines; Drive the performance of regular compliance testing across the above referenced regulations. In this role, youll make an impact in the following ways: Lead implementation and recommend enhancements to BNYs Compliance frameworks, programs, and policies related to key safety and soundness regulations including, but not limited to FRB regulations K, O, R, W, Y and the Volcker Rule; Support with the development of the regulatory process to identify, implement and assess ongoing compliance for global market and credit risk related regulation.
Compliance Auditor Talkspace IncCompliance AuditorNew York, NYRemote$77,000–$92,000 / yearWe encourage you to apply, even if you don't meet every qualification or if your path has been nontraditional - such as not completing a formal degree program, taking a career break, or having a prior criminal record - if you believe you could make a great addition to this team. Combining our passion for innovation along with our desire to help others overcome the stigma behind "getting help," we are transforming the way patients find the right care provider, making an otherwise impossible feat easily conquerable.
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.
NewDemand Generation Marketing Manager, Carta Law CartaDemand Generation Marketing Manager, Carta LawNew York, NY$130,000–$150,000 / yearCollaborates closely with Carta GTM teams (including Marketing, Product, Sales, Customer Success, and Ops) to jointly develop and execute demand generation strategies tailored to the tailored to General Counsels, Chief Compliance Officers, and Heads of Legal at enterprise PE and VC firms—driving awareness, pipeline, and revenue growth. Collaborates with content and customer marketing to produce mid- to bottom-funnel assets (case studies, product guides, customer success stories, webinars, solution briefs, nurture emails) tailored to customer needs and Carta’s value proposition.
Data Regulatory & Privacy Law Associate Attorney Percy TowersData Regulatory & Privacy Law Associate AttorneyNew York City, New YorkFounded on the principle of integrating high-stakes litigation with proactive advisory services, the firm provides a sophisticated platform for attorneys to engage with Fortune 100 giants and emerging tech disruptors. PPL PL8RS is proud to represent an elite global powerhouse in their search for a sophisticated legal practitioner to join a world-class team in support of a fast-growing merging legal market!
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.
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.
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.
Junior Compliance Officer/Auditor SGI Global, LLCJunior Compliance Officer/AuditorNewark, NJAssist with drafting audit reports and associated administrative fine paperwork to support the issuance of Notices of Intent to Fine, Final Orders, Warning Notices and other related documentation for HSI audits related to the employment eligibility verification process. 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.
Vice President, Senior Compliance Manager - Regulatory Counsel Antares Holdings LP (Inactive)Vice President, Senior Compliance Manager - Regulatory CounselNew York, NY$200,000–$230,000 / yearThe successful candidate will help advance the firm's compliance framework by: (1) Providing thoughtful, practical guidance on the application of global regulations, evolving industry developments, and best practices in support of our private credit strategy and fund structures and the general growth of the firm's asset management transactional activities; (2) Interpreting and operationalizing compliance policies and procedures to align with the firm's existing and newly developing products and business activities and the firm's expanding jurisdictional reach; (3) Leading and coordinating the implementation of new regulatory requirements and enhancements to existing frameworks; and (4) Partnering cross-functionally to represent Compliance in enterprise-wide initiatives, while supporting day-to-day matters and broader program oversight. Strategic thinking and decision making: Applies strong business and market insight and expertise to shape functional/team strategy, solves complex problems, recommends best practices, makes high quality decisions, anticipates future needs and delivers stakeholder aligned value.
Senior Director, Law, Privacy and Cyber SPECTRUMSenior Director, Law, Privacy and CyberStamford, CTEnsure the organization maintains appropriate privacy, information security, and telecommunications compliance policies (i.e. privacy impact assessments, data processing agreements, records of processing activities, CPNI safeguarding procedures, and Cable Act subscriber notice and consent protocols). Counsel business teams on consumer consent frameworks, permissible data practices, and the legal implications of new data products or services that involve consumer personal information.
IT Security Manager Law Firm / Big 4 Professional Services Phaxis LLCIT Security Manager Law Firm / Big 4 Professional ServicesNew York, NY$160,000–$175,000 / yearDemonstrated ability to manage security initiatives, lead technical teams, and provide strategic guidance to senior stakeholders on complex security challenges. The ideal candidate will have direct experience in a law firm or a Big 4 advisory firm , bringing deep familiarity with protecting sensitive client data and navigating compliance obligations.