Regional Compliance Officer - Brooklyn

TradeZero America is seeking an experienced Compliance Officer for its New York office. The primary focus will be on marketing/social media and communications with the public regarding equity trading. · ...

+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. · +Manage and respond to KYC/AML and due diligence requests from banks, partners, and financial institut ...

An opportunity as Compliance Officer with a global proprietary trading firm in New York. · ...

A leading investment and operating platform is seeking a Senior Compliance Officer to support legal and treasury teams across KYC, · AML, · & broader due diligence obligations. · Manage and respond to KYC/AML and due diligence requests from banks, · partners, · & financial instit ...

We help you be your best through professional development opportunities, · interesting work, · and supportive leaders.We foster a vibrant and inclusive culture · ...

We are seeking a Compliance Officer to join our small team at our Global Hedge Fund office. The successful candidate will be responsible for conducting regulatory analysis and providing advice on business queries. · ...

This document outlines the job description for a Compliance Officer at Jefferies LLC. · ...

The Compliance Auditor will be responsible for ensuring the agency performs internal audits per their Corporate Compliance program. · Conduct internal audits to ensure client care, billing, and documentation comply with regulations and standards. · ...

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 ...

+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 ...

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, timely and accurate reporting and robust client asset protection. · Provide compliance advice on regulations g ...

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

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

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. · Manage and respond to KYC/AML and due diligence requests from banks, partners, and financial institutio ...

The candidate will contribute to the compliance team of a leading investment management firm, focusing on U.S. Registered Funds and ensuring adherence to regulatory standards.Support the Chief Compliance Officer in managing compliance programs, governance matters, and regulatory ...

A global investment management firm seeks a Compliance Officer in New York. The role reports to senior compliance leadership and works closely with both Compliance and Legal. · Assist with electronic communications reviews to help identify potential policy concerns. · Review and ...

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. · ...

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. · ...

We are seeking two experienced Compliance Officers to support and strengthen our federal contract compliance program. · Earns full compliance with applicable federal contract requirements. · ...

A Compliance Officer opportunity with a leading financial firm and market maker providing liquidity across global markets. This role sits within the Legal and Compliance team and offers hands-on exposure to AML policy implementation and compliance monitoring in a dynamic trading ...