Broker Dealer Regulatory Governance Advisory Compliance Officer - New York, NY

+Job summary · Step into a pivotal role with our client as a Compliance Officer in New York.In this hybrid position, you will oversee the firm's compliance program, · ensuring adherence to regulatory standards. · Manage key projects, · filings, · and training initiatives. · +$130 ...

Step into a pivotal role with our client as a Compliance Officer in New York. In this hybrid position, you will oversee the firm's compliance program and collaborate with internal teams to maintain a robust compliance culture. · ...

The Firm's Legal and Compliance team is looking for an experienced, self-driven Compliance Officer to join the team. · Develop and implement policies and procedures across a variety of business units. · Coordinate with our global legal and compliance team to work on global initia ...

The Regulatory & Reporting Oversight Officer will serve as a pivotal compliance leader partnering with Finance, Operations and Risk teams to ensure regulatory adherence, · Provide compliance advice on regulations governing financial and operational stability, · Oversee compliance ...

The Regulatory & Reporting Oversight Officer will serve as a pivotal compliance leader partnering with Finance, Operations and Risk teams to ensure regulatory adherence, · timely and accurate reporting and robust client asset protection.Provide compliance advice, oversight on ope ...

Compliance officer role at Initio Capital in New York. Full-time position with estimated total annual compensation $145, · 000 - $185,000. · ...

The Regulatory & Reporting Oversight Officer will serve as a pivotal compliance leader partnering with Finance, Operations and Risk teams to ensure regulatory adherence, timely and accurate reporting and robust client asset protection. · Provide compliance advice on regulations g ...

An opportunity with a global proprietary trading firm in New York that is looking to add a Compliance Officer to its growing compliance team. · ...

Virtu is seeking an experienced Compliance Officer to join their team.The role involves shaping Virtu's Compliance function through innovation, analytical thinking and improving existing processes. · ...

The Firm is looking for someone to oversee compliance for their investment banking division. The ideal candidate must have experience in Private Side Compliance and be licensed with at least a Series 24 and 79. · Candidates must also have thorough knowledge of FINRA and SEC rules ...

A global technology driven financial firm is seeking a Compliance Officer to support its legal and compliance program across multiple trading and operational teams. · ...

This role is well suited for someone who wants broad regulatory exposure, · hands-on responsibility, and the opportunity to grow alongside a scaling platform.Broad exposure to both compliance and legal-adjacent work · Lean team environment offering a wide range of responsibilitie ...

The Compliance Officer is responsible for ensuring that the firm operates in accordance with internal policies and legal standards. The role involves monitoring trading and investment activities for compliance risks. · ...

We are looking for a qualified and enthusiastic candidate to join the firm's global Legal and Compliance team in a Senior Compliance Officer role. This is a full-time position based out of Capstone's New York City headquarters. · Manage the trade compliance practice area; · Provi ...

We see the world differently at Capstone Investment Advisors. You will too. · Capstone Investment Advisors LLC is a global asset manager dedicated to exploring alpha opportunities in derivatives and complementary strategies persisting across market cycles. · ...

A leading investment and operating platform is seeking a Senior Compliance Officer to support legal and treasury teams across KYC, AML, and broader due diligence obligations. · ...

This role is well suited for someone who wants broad regulatory exposure, hands-on responsibility, · and the opportunity to grow alongside a scaling platform. · ...

Step into a pivotal role with our client as a Compliance Officer in New York, NY. In this hybrid position, you will oversee the firm's compliance program. · ...

Citizens is seeking a highly motivated Compliance Officer to join the Swap Dealer Compliance team. · ...

We're looking for a highly analytical Compliance Officer - Quant Trading to support day‑to‑day compliance operations with a strong focus on data analysis, trade review, · and supporting quantitative and algorithmic trading workflows.Data & Trade Analysis Review daily trading data ...

Bloomberg's Legal & Compliance Department plays a critical role in supporting our businesses and operations around the world. · ...