Deputy Chief Compliance Officer - New York City Metropolitan Area

Our client, a global investment bank, is seeking a Compliance professional with strong broker-dealer experience supporting Sales & Trading activities. This role will focus on risk and control oversight, ongoing monitoring, and compliance testing across equity and fixed income bus ...

The Compliance Officer will conduct multi-faceted KYC AML reviews and investigations, perform Politically Exposed Person screening, ensure Due Diligence policies are followed, identify client needs, handle client relationships, and participate in process improvement projects. · ...

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

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. · ...

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 ...

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. · ...

Job summary · As Augment's Chief Compliance Officer, you will build and own the compliance function for a technology-first private markets platform. · ResponsibilitiesDesign, implement, and own end-to-end compliance programs for our: - SEC-registered broker-dealer and FINRA membe ...

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 ...

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. · ...

Senior Compliance Officer – Global Trading (NYC | Full-Time) · A leading investment management firm is seeking a Senior Compliance Officer to join its Legal & Compliance team in New York City. This individual will oversee the firm's global trade compliance program and provide rea ...

Our client, a leading investment firm with a successful credit platform, · is seeking a Senior Compliance Officer to join its New York office. · ...

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

This is a unique opportunity to join a global alternative investment firm at a pivotal stage of its U.S. expansion. · Our client is seeking a highly motivated, commercially minded U.S. Compliance Officer to play a key role in building and overseeing the firm's regulatory complian ...

About the Role · A Top FinTech Platform is looking to hire an Exchange-Traded Funds (ETF) Chief Compliance Officer to own and oversee the relevant investment advisers supporting the ETF business. This individual will also be responsible for leading the implementation and administ ...

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. · ...

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

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

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 · ...