Senior Compliance Officer - New York City Metropolitan Area

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

JCW is partnering with a Commercial Bank who is looking to bring on a new Compliance Officer. · ...

This role offers the opportunity to work at the forefront of compliance within a dynamic asset management environment, · advising on complex regulatory matters and supporting innovative investment strategies. · ...

An investment bank seeking a Senior Compliance Officer for their team in Midtown Manhattan. · Lead development of annual compliance testing plan. · Conduct testing engagements and prepare detailed reports. · ...

An Equities Compliance Officer opportunity with a globally recognized financial services firm. This role supports the Equities business providing day-to-day regulatory guidance and oversight in line with U.S. securities laws and SEC/FINRA requirements. · ...

We are seeking a seasoned Chief Compliance Officer (CCO) to join our Japanese investment management and asset-management firm at a pivotal stage of global expansion. · Administer the firm's annual compliance program in accordance with the Investment Advisers Act of 1940 · Maintai ...

JCW partnered with leading broker-dealer firm looking to hire AML Compliance Officer. Ideal candidate has prior financial crime compliance experience at another broker-dealer, investment bank or RIA. · Develop policies procedures across business units. · Assist with AML monitorin ...

We are seeking a Chief Compliance Officer to join our team at a private equity fund with over $5B+ in AUM and focus on real estate investments. · Key Points:Opportunity to step into a #1 role for a cohesive and dynamic fund. · Leadership role with a seat at the table and strong c ...

We are seeking a Compliance professional with strong broker-dealer experience supporting Sales & Trading activities. · ...

The Regulatory Compliance Officer will provide advisory to Lines of Business on new product development and regulatory guidance. · Lead and manage regulatory exams. · Analyze existing legislation for compliance vulnerabilities. · ...

The Chief Compliance Officer will lead Sprinklr's global compliance program and serve as a key member of the legal leadership team. · ...

Our client, a well-known Asset Management firm is looking to add a Compliance Consultant to their team on a 3–4 month contract, with the potential to extend or convert. · ...

++A large global investment bank looking to bring on board a Compliance Officer – Fixed Income (Credit), Vice President. · + ...

Our client, a leading global investment bank,is looking to add an experienced Compliance professional with at least 5 years of broker-dealer experience. · ...

This is a senior-level opportunity with a rapidly growing blockchain-based prediction market platform that allows users to trade on real-world events using crypto., · Provide expert guidance on CFTC DCM SEF and exchange regulations. · Advise business units and senior management o ...

The Control Room Officer will play a key role within the bank's Compliance function, ensuring effective management of information barriers and the control of material non-public information (MNPI) across the organization. · ...

We are seeking an experienced Senior Compliance Officer to join a global alternative investment manager operating across derivatives-based and volatility-focused strategies. · Own and manage the trade compliance function across multiple products and strategies · ...

We are looking for an experienced professional to support compliance and risk management activities in the bank. · ...

A leading global financial institution is looking for a Compliance Officer to support firmwide policy and regulatory governance initiatives. · ...

A trading firm located in Downtown Manhattan that is seeking to add a Senior Commodities Compliance Advisory Officer to their team. · ...