Senior Compliance Officer
Nscale
Nscale is seeking a Senior Compliance Manager, Legal Securities, to build its securities and ethics compliance program from the ground up. You will draft MNPI and insider-trading policies, establish processes, and operate them daily, collaborating with Legal, Finance, Tax, Rewards, Equity Administration, and Company Secretariat. The role requires at least five years of in-house securities compliance experience and a track record of creating new controls and policies in fast-moving tech #J-18808-Ljbffr
$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...SeniorFull timeWork at office$175k
Reference: 13578Senior Compliance Officer, Investec USAInvestec - Where Out of the Ordinary HappensAt Investec, we do things differently. We'... ...to 15a-6 cross-border activities.Act as a trusted advisor to senior stakeholders, delivering timely, practical guidance on complex...SeniorFull timeWork at officeRemote work$100k - $150k
...and have an open dialogue with your recruiter who can provide you more specific details for this role.Job Description:CIB Credit Compliance plays an important control and oversight role within TD Securities’ Corporate and Investment Banking (CIB) Credit function, supporting...SeniorFull timeLocal areaWork from homeFlexible hours$150k - $200k
...successful candidate will support the firm's compliance program across registered private equity... ...hybrid schedule in one of our following offices 3 days/week.Boston, New York,... ...experience, plus discretionary bonus.#MID_SENIOR_LEVELAt Franklin Templeton, we believe your...SeniorFull timeLocal area3 days per week- ...AnnuallyIndustry Hedge FundSelling Points Lead impactful compliance operations in a dynamic investment environment. Collaborate with senior leadership on strategic initiatives and... ...Job DescriptionSenior Hedge Fund Compliance Officer / Legal Counsel OverviewThe Senior Hedge...SeniorContract work
$150k - $190k
...right place to build a fulfilling career.Senior Tax ManagerThis role is responsible for... ...organizations within the BBH Multi-Family Office (MFO) Tax group. The position also... ...discrepancies and ensure completeness and compliance.Build and maintain strong relationships...SeniorFull timeSeasonal workWork at officeLocal areaImmediate start$88 per hour
...Senior Compliance OfficerEquity Research Compliance BizTek People is seeking a Senior Compliance Officer for our client, a global financial institution in New York City. Location: Midtown, NYC Schedule: Hybrid preferred (2 days onsite / 3 days remote). Fully remote may...SeniorContract workImmediate startRemote work$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...SeniorLocal area- ...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...Senior
$104k - $177k
We’re seeking a future team member for the role of Senior Vice President, Consumer Compliance Officer - Global Payments & Trade. to join our Risk & Compliance team. This role is located in Pittsburgh, PA or Lake Mary, FL In this role, you’ll make an impact in the following...SeniorTemporary workWorldwideFlexible hours- ...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...SeniorPermanent employmentContract workRemote work
$160k - $212k
...Counsel Our fast-paced FEC Governance Team (part of the wider AML Compliance Team) is looking for a FEC Counsel with solid experience in... ...a people person who enjoys collaborating across levels of seniority, cultures, and backgrounds; and, You have a strong ability to...SeniorFull timeRelocation- A compliance-focused staffing agency in New York is seeking a Compliance Officer to ensure adherence to regulatory standards. Responsibilities include developing compliance programs, conducting audits, and providing training. The ideal candidate has a Bachelor's degree...Senior
- FalconX in New York is seeking a Compliance Officer to oversee Swap Dealer & Security-Based Swap Dealer regulatory programs and ensure strict... ...Operations to implement controls, monitor activities, and report to senior management, while staying ahead of evolving regulatory...Senior
- Marex is hiring a Surveillance Compliance Officer for its New York office. The role focuses on Trade Surveillance, E-communications and Voice review across US BD and FCM lines, with exposure to multiple asset classes and venues. You will contribute to the ongoing improvement...SeniorWork at office
- ...Job Title : Senior Compliance Officer Location : Hybrid/New York, NY Department : Compliance Advisory Reports To : Chief Compliance Officer Job Type : Full-Time About Prestige Development Group (PDG) Prestige Development Group (PDG...SeniorFull timeLocal area
- ...global financial institution that has recently established a new Compliance Regulatory Initiatives team within its U.S. Wholesale... ...part of this build-out, they are looking to add a Compliance Officer to support firmwide policy, procedure, and regulatory governance...Senior
- Growing clearing broker dealer is seeking an experienced Senior Compliance Officer to support the firm's compliance program across U.S. equities, listed options, futures, and electronic trading . This role partners closely with Trading, Operations, Risk, Technology, and...Senior
- Overview We are seeking a highly motivated individual to join our team as a Senior Compliance Officer. In this role, the individual will provide real-time regulatory guidance and oversight to the firm’s equities trading and sales teams. The role ensures that business activities...Senior
- Senior Compliance Officer Financial services New York , New York Permanent Feb 19, 2025 The Senior Compliance Officer will support the Alternative business. This includes investments in Direct Real Estate, Infrastructure Debt, and Private Credit. Create policies and procedures...SeniorPermanent employment
- Senior Compliance Officer/Deputy CCO to become CCO (New York, NY): Our client, a growing hedge fund focused looking to hire a Senior Compliance Officer or Deputy CCO. This individual will work closely with senior leadership and take on broad responsibility across the compliance...SeniorWork at officeWork from home
$160k - $175k
...US B Regulatory Compliance We are looking for a Senior Compliance Officer to join our Compliance Team. The role may be based in New York, NY or Miami Lakes, FL. The right candidate will support the consumer regulatory compliance functions for Popular Bank, including...SeniorFull timeTemporary workPart timeSeasonal workWork at officeImmediate startFlexible hours- Une institution financière basée à New York recherche un Senior Compliance Officer pour rejoindre son équipe de surveillance et de tests de conformité. Le candidat idéal doit avoir une expérience de 5 à 7 ans dans le domaine de la conformité, une formation en baccalauré...SeniorRemote job
$175k - $200k
...requirements. Develop, maintain, and enhance compliance policies and written supervisory... ...maintain trusted advisory relationships with senior business leaders, serving as a strategic... ...ability to partner closely with front-office and senior stakeholders, embedding compliance...Senior- ...including the design of initiatives to further enhance the global Compliance Management Program of the Knorr-Bremse Group Support the... ...up culture Act as a strategic advisor to regional compliance officers worldwide, guiding the implementation and continuous enhancement...SeniorRemote workWorldwide
$125k - $175k
Purpose of Role Marex is recruiting a Surveillance Compliance Officer to join the team at our New York office. The role focuses on Trade Surveillance (Trade Activity and Communications) across a range of asset classes including Cash Equity, Fixed Income, Commodities and...SeniorWork at office$175k
Investec is hiring a Senior Compliance Officer based in New York to provide regulatory and policy guidance. This role involves managing regulatory risks and compliance across multiple business lines in a dynamic environment. The successful candidate will work directly with...SeniorRemote jobWork at office$125k - $175k
...traders, banks, hedge funds and asset managers. With more than 35 offices around the globe, and over 2,300 dedicated people enabling... ...Purpose of Role: Marex is recruiting for a Surveillance Compliance officer to join the team our at our New York office. The role...SeniorWork at officeImmediate start- Security Based Swap Dealer Senior Compliance Officer Serve as the leader in all aspects of compliance associated with the SBSD and partner with various business units to aid in achieving their objectives post approval and implementation. Work closely with management and...SeniorFull time
- Social Capital Resources is recruiting a Compliance Officer for a full-time role with a broker-dealer in New York City. The position requires... ...risk management, and adherence to industry standards. A mid-senior level professional with 7-12 years in a self-clearing broker-...SeniorFull time
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