Compliance Officer
Insight Global
Job Description
The Compliance Officer will work closely with the members of a team focusing on regulatory compliance issues with respect to marketing and other investor/third party materials and communications. The Compliance Officer will serve as the primary day to day contact for the business regarding marketing materials and communications. The Compliance Officer will report to a supervisor with the Wealth Management Broker/Dealer Compliance division.
• Review marketing material for consistency with applicable US and International regulatory standards
• Analyze marketing material for compliance with regulatory standards including, SEC, FINRA and MSRB
• Provide consultation to internal business partners for standards of marketing review and provide guidance to align alternative product marketing materials to corporate and regulatory standards
• Train marketing staff on rules and regulations relating to marketing materials for alternative products
• Serve as a resource to internal partners with inquiries regarding business communications
We are a company committed to creating diverse and inclusive environments where people can bring their full, authentic selves to work every day. We are an equal opportunity/affirmative action employer that believes everyone matters. Qualified candidates will receive consideration for employment regardless of their race, color, ethnicity, religion, sex (including pregnancy), sexual orientation, gender identity and expression, marital status, national origin, ancestry, genetic factors, age, disability, protected veteran status, military or uniformed service member status, or any other status or characteristic protected by applicable laws, regulations, and ordinances. If you need assistance and/or a reasonable accommodation due to a disability during the application or recruiting process, please send a request to View email address on click.appcast.io learn more about how we collect, keep, and process your private information, please review Insight Global's Workforce Privacy Policy:
Skills and Requirements
Bachelor's degree from a four-year college or university is preferred. Equivalent combination of education and significant relevant work experience may be considered.
Strong abilities in analytical thinking, problem solving, research, and time management
Must have excellent verbal communication and people skills
Minimum 5 years of relevant work experience with a financial institution such as a broker/dealer.
Minimum 3 years compliance experience with a broker/dealer.
$180k - $215k
Trade Compliance Officer Location New York Business Area Legal, Compliance, and Risk Ref # 10052303 Description & Requirements Title: Compliance Officer - Americas Trade Compliance Location: New York Business Area: Legal, Compliance, and RiskBloomberg...SuggestedTemporary workFor contractorsWork experience placementWork at officeLocal area$95k - $130k
Flow Traders is looking for a Compliance Officer to join our Compliance team in New York. The ideal candidate is self-motivated with a strong analytical and problem-solving mentality. This is a unique opportunity to join a leading proprietary trading firm with an entrepreneurial...SuggestedLocal area$160k - $250k
Compliance OfficerThis role will provide Compliance coverage to the Credit Business and Infrastructure groups in US with a focus on CLO Manager, illiquid credit, operating in close partnership with the existing Compliance teams globally as well as the Global FIC Business...SuggestedLocal area$165k - $275k
We're seeking someone to join our team as a Regional Compliance Officer in WM Field Compliance to engage directly with the in an advisory capacity with the Wealth Management Northeast Regional team and using various data collected across the Firm, to aid in the identification...SuggestedTemporary workWork experience placement$110k - $140k
The Compliance Officer will be instrumentally involved in overseeing, administrating and enhancing the Compliance Program of Institutional Shareholder Services Inc. (“ISS”), a U.S.-registered investment adviser under the Investment Advisers Act of 1940, covering also its...SuggestedFull timeLocal area$100k - $200k
Our client is a private equity firm. They seek a Compliance Officer to join their Manhattan, NY office.ResponsibilitiesCoordinate monthly compliance testing activities, including documentation collection and verification of regulatory requirementsSupport annual compliance...Work at office$160k - $180k
Department: ComplianceDivision: Risk & Compliance DivisionTitle: Senior Compliance Manager and Privacy Officer Job SummaryProvide advice and guidance to the Chief Compliance Officer, senior management, and business lines regarding compliance with non-AML/BSA laws and regulations...Local area$175k
Reference: 13578Senior Compliance Officer, Investec USAInvestec - Where Out of the Ordinary HappensAt Investec, we do things differently. We're a leading international bank and wealth manager built on a culture of curiosity, entrepreneurial spirit and human connection....Full timeWork at officeRemote work$150k - $200k
...the PositionThe successful candidate will support the firm's compliance program across registered private equity funds, private debt funds... ...position will work a hybrid schedule in one of our following offices 3 days/week.Boston, New York, Philadelphia, Baltimore, St....Full timeLocal area3 days per week$110k - $130k
...Compliance Officer New York, NY Job Description We are looking for a Compliance Officer to join our Legal & Compliance team. In this role, you will help support and maintain Vise's compliance program, ensuring we meet our regulatory obligations while enabling...Work at officeVISE Inc
New York, NY1 day ago- ...Position: Compliance Officer Reports to: Group Chief Compliance Officer Location: New York City, USA Overview - About MillTech MillTech provides advanced FX Hedging and Cash Investment solutions to increase market access, reduce costs and automate...Work at officeRemote workFlexible hours
Mill Tech
New York, NY9 hours ago $90k - $110k
...Make an impact in sanctions compliance and financial crime prevention. A company operating in the financial services industry based in New York. Job Description Core Responsibilities Assess sanctions screening alerts arising from international wire activity...Permanent employmentLocal areaMichael Page
New York, NY1 day ago$175k - $200k
...Compliance Officer New York The Role Sixth Street's Compliance team partners with all aspects of Sixth Street to build and maintain a best-in-class compliance program that addresses applicable regulatory requirements and industry best practices. The Compliance...Temporary workLocal areaSixth Street Inc
New York, NY9 hours ago- ...We are always looking for talented professionals to join us in the path towards success. SUMMARY The Compliance Officer will assist with the monitoring and administration of the Firm's Compliance and AML programs to ensure accordance with regulatory requirements...
Haitong International Securities Group
New York, NY3 days ago $145k - $175k
A Career with Point72's Compliance TeamThe Point72 Compliance department is an industry-leading team of compliance professionals who support global investment and trading activities by establishing and enforcing the firm’s compliance policies, providing real-time advice...Work experience placement$135k - $160k
Location Designation: Hybrid - 3 days per week Role Overview:This is a significant officer-level opportunity within New York Life’s Compliance department. The AML Compliance Officer will serve as a key member of the AML leadership team — supporting the Enterprise AML Compliance...Local areaImmediate start3 days per week$163k - $204k
...companies, through internal and external managers. The Investments Compliance team provides compliance and regulatory support to AIG’s... ...insurance companies and will work closely with the Chief Compliance Officer in the day-to-day execution of the compliance program.Review...Full timeWork at office$92.53k - $106.4k
...Investigations and Compliance Officer DEPT OF CITYWIDE ADMIN SVCS Posted on 06/18/2026 Full-time Location NYC-ALL BOROS No exam required Department Citywide Equity and Inclusion Salary range: $92,525.00 – $106,404.00 Job Description DCAS's mission is to make city government...Full timeWork experience placementWork at officeLocal areaShift workSocket
New York, NY2 days ago- ...Job Title Senior Compliance Officer Contract Type Permanent Location Houston Job Description The Senior Compliance Officer will report to the Regional Head of ABC Compliance, Americas with responsibility for administering the policies, procedures, and controls that make...Permanent employmentContract workRemote work
Gunvor
New York, NY2 days ago $130k - $150k
...success.About the DepartmentFranklin Templeton’s Global Regulatory Compliance department provides oversight, guidance and monitoring of the... ...laws, regulations, and internal policies.The Compliance Officer will play a critical role in supporting the firm’s growth by ensuring...Full timeWork at officeLocal area- ...Science (BS)Employment Full TimeWorking Type HybridJob Reference 0000017113Salary Type AnnuallyIndustry Hedge FundSelling Points Shape compliance strategies at a top-tier financial services firm. Collaborate across departments to manage regulatory risks effectively. Advance...Remote work
$120k - $151k
...A leading global financial institution is seeking an experienced AML Compliance Specialist to support the Securities business within the U.S. and Canada. In this role, you will be responsible for providing advisory services on AML and sanctions risk, analyzing compliance...MUFG Bank, Ltd
New York, NY2 days ago- ...Requirements Bachelor’s degree required Professional certifications (e.g., CAMS, CGSS) strongly preferred 5-7 years of sanctions compliance, payment screening, sanctions investigations, or financial crime compliance experience Experience reviewing sanctions screening alerts...
Jobtailor
New York, NY4 days ago - ...Review investment product marketing materials for SEC compliance. Complete private quarterly reporting. Perform private fund compliance testing and monitoring. Assist in conducting company-wide training to meet SEC, NFA, and FINRA obligations. Facilitate periodic committee...
ConsultNet Technology Services and Solutions
New York, NY1 day ago - ...OCR Alpha in New York seeks an experienced Trading Compliance Advisory professional to join a leading global investment manager's front-office advisory team. You will work closely with portfolio managers, traders and quantitative teams on trading activity, market structure...
OCR Alpha
New York, NY2 hours ago $130k - $150k
...London, we manage $253.6 billion* and operate across multiple offices globally. Man Group plc is listed on the London Stock Exchange... ...0 June 2026 Purpose of the role This role sits in the Compliance team based in NY and to work as part of the team under the direction...Local areaFlexible hoursMan Group
New York, NY4 days ago$1,000 per day
...G MASS Consulting are partnered with a leading Hedge Fund to appoint an experienced Compliance Officer who will take ownership of day-to-day regulatory governance and provide line-of-business coverage across its U.S. broker-dealer, with a particular focus on Operations...Contract workWork at officeG MASS Consulting
New York, NY1 day ago$132k - $167k
...connective tissue empowering clients with seamless navigation through the ever-evolving cryptocurrency landscape. Job Summary: The Compliance Officer for the Swap Dealer & Security-Based Swap Dealer is responsible for ensuring that the organization adheres to all regulatory...Local areaFalconX
New York, NY3 days ago- ...City of New York’s Comptroller’s Office seeks a Compliance Officer in the Bureau of Asset Management to monitor regulatory compliance across the department and with external managers and consultants in the financial services industry. The role involves due diligence on...Work at office
Compliance Officer Jobs
New York, NY3 days ago - ...that enables strategic objectives while appropriately managing compliance risk. Build a deep understanding of assigned business... ...transformation initiatives preferred. Prior experience as an HCC or GCC officer/manager preferred. Demonstration of leveraging digital...
Jobtailor
New York, NY3 days ago
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Compliance Officer. Be the first to apply!
- compliance coordinator New York, NY
- compliance data analyst New York, NY
- regulatory specialist New York, NY
- compliance associate New York, NY
- quality compliance specialist New York, NY
- risk compliance officer New York, NY
- risk and compliance analyst New York, NY
- regulatory officer New York, NY
- compliance officer part time New York, NY
- compliance specialist New York, NY