Compliance Officer - New York

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 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 ...

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 ...

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'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 ...

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 ...

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 ...

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 ...

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. · ...

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 seeking two experienced Compliance Officers to support and strengthen our federal contract compliance program. · ...

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. · ...

+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 ...

We value self-motivated and analytical people who take a practical and effective approach to problems. · This role offers broad exposure, autonomy, · and the opportunity to shape firm-wide controls within our entrepreneurial and innovative culture. ...

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

We help high- and ultra-high-net-worth individuals and families to enjoy a full life, while enabling them to preserve their wealth for future generations, and provide for the people, causes and communities they care about. · We are always looking for talented and motivated indivi ...

Our client seeks Compliance Officer for enterprise-wide compliance program focusing on review of U.S. · Serve as central reviewer of marketing materials: presentations, pitchbooks... · ...

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 ...

A fast-growing fintech platform operating in a highly regulated industry is hiring its first in-house Compliance Officer. · ...

This position will work closely with the bank's US Head of Compliance to drive improvement with the bank's Compliance program.Contribute to the design, implementation and ongoing execution of the bank’s Compliance Program. · Serve as a compliance SME for consumer mortgage and com ...