Compliance Officer ISS ESG CORPORATE RATINGCompliance OfficerNew York, NY$110,000–$140,000 / yearExperience (ideally 5 - 8 years) in senior compliance, risk management, legal, or regulatory roles within the financial services sector, with a significant portion in an SEC-registered investment adviser and/or a highly regulated environment. The Compliance Officer will be instrumentally involved in overseeing, administrating and enhancing the Compliance Program of Institutional Shareholder Services Inc. ("ISS"), a U.S.-registered investment adviser under the Investment Advisers Act of 1940, covering also its foreign affiliates.
Private Markets Compliance Officer - Senior Analyst/Associate KKR & Co. Inc.Private Markets Compliance Officer - Senior Analyst/AssociateNew York, NY$115,000–$150,000 / yearMonitoring compliance with regulatory guidance for all aspects of the KKR's private markets investing business, including assisting with transactional due diligence and managing anti-bribery, anti-corruption and anti-money laundering processes for fund transactions, trading (including best execution), investor reporting, and regulatory filings. The successful candidate will support Firm-wide compliance operations and initiatives by managing policies, processes, controls, disclosure obligations, technology systems, and partnering with business leaders to identify and mitigate legal, regulatory, operational and reputational risks.
Lead 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.
Compliance Officer Flow Traders LtdCompliance 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.
Compliance Officer, Trading Compliance Point72, L.P.Compliance 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.
Compliance Officer CAIS GroupCompliance OfficerNew York, NY$100,000–$145,000 / yearCAIS 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. CAIS provides financial advisors with a broad selection of alternative investment strategies, including hedge funds, private equity, private credit, real estate, digital assets, and structured notes.
Compliance 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.
Compliance Officer Capital Integration Systems LLCCompliance OfficerNew York, NY$100,000–$145,000 / yearCAIS 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. CAIS provides financial advisors with a broad selection of alternative investment strategies, including hedge funds, private equity, private credit, real estate, digital assets, and structured notes.
Compliance 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.
Junior Compliance Officer/Auditor SGI Global, LLCJunior Compliance Officer/AuditorNewark, NJFull timeAssist Auditors and Criminal Investigators with evaluation of Employment Eligibility Verification Form I-9.Assist 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. Education is preferred to be in Business, Accounting, Finance, Information Systems or a similar field.1-3 years experience preferred Junior Compliance Officer TasksAt a minimum, the Junior Compliance Officer shall perform the following tasks:Responsible for inputting and evaluating data.
Lead Compliance Officer | Futures Commission Merchant Wells Fargo BankLead Compliance Officer | Futures Commission MerchantNew York, New York$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. The successful candidate will help ensure compliance with evolving regulatory requirements, provide independent oversight of trading and clearing activities, and serve as a trusted advisor to business leadership on key compliance and regulatory matters.
Chief Compliance Officer Grayscale Investments LLCChief Compliance OfficerStamford, CTDemonstrated expertise across B/D, RIA, and 40 Act compliance programs with hands-on working knowledge of the Investment Advisers Act of 1940, Investment Company Act of 1940, Securities Act of 1933, Securities Exchange Act of 1934, and applicable SEC, FINRA, NFA, and CFTC regulations. Assess compliance risk for all new products, funds, vehicles, and business lines prior to launch, delivering clear risk assessments and recommended controls to the CLO and relevant business leads.
Compliance 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.
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. Actual compensation offered to the successful candidate may vary from posted hiring range based upon geographic location, work experience, education, and/or skill level, among other things.
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.
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 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.
NewInformation Compliance Officer North Yorkshire County CouncilInformation Compliance OfficerNew York, NY$36,581–$40,444 / yearThe role acts as a subject matter expert on information governance, managing complex Freedom of Information (FOI), Environmental Information Regulations (EIR) and Subject Access Requests (SARs), providing expert advice across the organisation, supporting Data Protection Impact Assessments (DPIAs), delivering staff training, and helping to maintain robust information security and data governance arrangements. Working closely with the Compliance Manager and key stakeholders, the postholder plays a key role in managing sensitive information matters, promoting best practice and embedding a culture of accountability and compliance throughout the Authority.
Deputy Chief Global Compliance Officer New York UniversityDeputy Chief Global Compliance OfficerNew York, New York$275,000–$325,000 / yearWorking under the strategic direction of the Chief Global Compliance Officer (CGCO), the Deputy CGCO operationalizes the program's vision, provides day-to-day administrative oversight to the University’s compliance efforts, and ensures adherence with international, federal, state, and local laws, as well as University policies and procedures. Collaborate with the University’s Office of Internal Audit and Enterprise Risk Management (IA & ERM) in executing the day-to-day workflows of the Annual Institutional Risk Assessment process, specifically managing collaborative multi-SME panel reviews and assessments across priority compliance risk areas.
Compliance Officer, Caymans FalconXCompliance Officer, CaymansNew 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 Oversight: Act as the internal subject matter expert for all regulatory requirements applicable to FalconX’s Cayman entities, including the the Proceeds of Crime Act and Cayman Anti-Money Laundering Regulations (AMLRs), Anti-Terrorism Act, and Proliferation Finance (Prohibition) Act.