Senior Compliance Officer - Americas Regulation & Reporting
Dormont Manufacturing Co
Invesco is seeking a Senior Compliance Officer to oversee compliance for their Americas business. This role will assist in ensuring compliance with regulatory requirements across various account types, including mutual funds and institutional mandates. The ideal candidate will have at least 5 years of experience within the financial services industry, including compliance exposure, and will be responsible for coordinating client reporting, liaising with internal and external stakeholders, and maintaining compliance standards. The position is full-time and may allow for a hybrid work model under the company’s workplace policy. #J-18808-Ljbffr Dormont Manufacturing Co
$125k - $222.5k
...Overview Job Title Private Bank Americas – Senior Compliance Officer Corporate Title Vice President... ...understand key banking and broker-dealer regulations, including the relevant current and... ...You will oversee compliance reporting, training content, and execution of...SeniorFull timeWork at officeWork from home- ...the Department: The Office of the CCO is an Advisory Compliance function that supports the Americas region with compliance... ...About the role: The Senior Compliance Officer... ...and external client reporting requests to meet compliance... ...Boards Support regulator and client reporting...SeniorFull timePart timeWork at officeFlexible hours
$110k - $150k
...institution in New York is seeking a regulatory reporting professional responsible for the timely... ...analysis, and communicate with regulators. The ideal candidate will have in-depth... ...K, offering opportunities to engage in compliance and regulatory activities while...Senior$100k - $135k
## Senior Compliance Officer - Monitoring and Testing (Associate) - TD Securities... ...New York, United States of America**Hours:**40**Line of... ...testing engagements, and prepare reports to document exceptions and... ...inventory that covers rules and regulations applicable to TDS...SeniorWork experience placementLocal areaWork from homeFlexible hours- ...looking for an experienced, Senior Compiance Officer to join their growing team... ...a strong culture of compliance across the firm. This role... ...Knowledge of SEC and FINRA regulations, Regulation NMS, Regulation... ...frameworks, and equity trading/reporting requirements. #J-18808-...Senior
- ...particularly in Real Estate. The role will report directly into the CCO and cover Central Compliance function for the firm including... ...+ years of experience at an SEC regulated asset manager or private equity... ...but not required. This is an in-office role based in Midtown Manhattan....SeniorWork at office
- ...Senior Compliance Officer – Investec USA Investec USA's Compliance Advisory function is based in our... ...be a key member of a compliance team, reporting to the Chief Compliance Officer and... ...equity markets. Advise on U.S. securities regulations (SEC, FINRA) and broker‑dealer...SeniorWork at office
$85k - $145k
...Compliance Specialist Senior Wealth Management The Compliance Specialist... ...as tracking and reporting agent for the Program... ...Retail Non-Deposit/Regulation R activities, bank investment... ...of bank back office processes and... ...Canada, one of North America's leading diversified...Senior$100k - $130k
...York, United States of America Hours: 40 Line of Business: Compliance Pay Detail: $100,000 -... ...Job Description: This Senior Compliance Officer is a key member of the... ..., and prepare reports to document exceptions... ...that covers rules and regulations applicable to TDS businesses...SeniorFull timeTemporary workWork experience placementWork at officeLocal areaWork from homeFlexible hours- A leading telehealth infrastructure provider is seeking a Senior Compliance Analyst to oversee a robust legal framework and ensure compliance with healthcare regulations. This fully remote position covers all 50 states and involves monitoring regulatory changes, conducting...SeniorRemote job
- ...Senior Safety and Compliance Officer The Senior Safety and Compliance Officer (SSCO) is a leadership position... ...on policy, federal/state/local regulations, and training. ORS Representation Collaborate... ...; ability to prepare clear reports. Experience applying qualitative and...SeniorWork at officeLocal area
$220k - $270k
Head of Monitoring & Surveillance Compliance Officer - Director, CA CIB Americas (New York, NY) Summary: The Head of... ...the key liaison with various U.S. regulators on regulatory exams as well as... ...data loss prevention. Define and report Key Risk Indications (KRI) and Key...Work at office- ...motivated individual to join our team as a Senior Compliance Officer. In this role, the individual will... ...). Working knowledge of relevant regulations, including: Exchange Act rules, SEC and... ...abuse frameworks, and equity trading/reporting requirements. Excellent judgment,...Senior
- Compliance - Senior Compliance Officer - New Jersey New Jersey About us: Founded in 2015, B2C2 is a global... ...pricing, structuring, risk, systems, and regulation. B2C2 bridges the gap between... ...Provide day‑to‑day leadership across the Americas compliance team, and on assigned...SeniorLocal areaShift work
$64.07k - $99.79k
The Senior Compliance Reporting Specialist will be responsible for ensuring compliance with the Physician Payments Sunshine Act by accurately compiling, reviewing, and submitting reports on payments and other transfers of value to healthcare professionals (HCPs) and teaching...SeniorFull timeWork experience placementImmediate startRemote work- ...structuring, risk, systems, and regulation to brokerages, exchanges,... ...need an execution-focused senior compliance leader to strengthen regulatory... ...‑day leadership across the Americas compliance team and on... ...and the Global Chief Legal Officer. Serve as a key stakeholder...SeniorLocal areaWorldwideFlexible hoursShift work
$125k - $175k
...Role Marex is recruiting a Surveillance Compliance Officer to join the team at our New York... ...by following relevant news events and regulator action. Ensure compliance with company... ...including awareness of internal policies, reporting breaches, escalating risk events and providing...SeniorWork at office$150k - $180k
Senior Compliance Officer - FCM Advisor - VN2537 New York, NY Full-Time Compliance Diversified. Resilient... ...any level of responsibility. To report any breaches of policy to Compliance... ...required. Experience working in a regulated environment and knowledge of the risk...SeniorFull timeWork at officeImmediate start$120k - $150k
...is looking for a U.S. GAAP Accountant in New York, NY. This role involves the timely preparation and submission of U.S. regulatory reports, including Call Reports and BEA reports. The ideal candidate will have a Bachelor's in Accounting and 6-10 years of relevant experience...Senior- Security Based Swap Dealer Senior Compliance Officer Serve as the leader in all aspects of compliance... ...compliance with applicable rules and regulations. In addition to leading the oversight... ...and assist with the annual CCO report. Responsibilities Daily oversight of...SeniorFull time
- The Hispanic Alliance for Career Enhancement is looking for a Senior Business Analyst in Oklahoma. This role supports regulatory and state reporting requirements. The analyst manages workflows, ensures accuracy in reporting, and collaborates with teams to deliver quality...SeniorRemote jobFull time
- The Hispanic Alliance for Career Enhancement is seeking a Senior Business Analyst to support its regulatory reporting needs in Delaware. The role involves ensuring that reports are complete and comply with regulatory standards, working with internal and external teams to...SeniorRemote jobFull time
- The Hispanic Alliance for Career Enhancement is seeking a Senior Business Analyst to support execution and coordination of regulatory reporting requirements. This role will manage workflows and validate deliverables while partnering with internal and external teams for...SeniorRemote job
- ...that produces and analyzes the gamut of Regulatory Reports that need to be filed with the appropriate US Regulators with a focus on Capital and Liquidity... ...proficient communicator. Additional Information In compliance with federal law, all persons hired will be required...Senior
- ...organizations, capable of writing in 128 countries on 6 continents. Starr Insurance Companies is seeking an experienced Senior Regulatory Reporting Analyst with a deep insurance, and data analysis background. The Senior Regulatory Reporting Analyst will work in collaboration...SeniorWork at officeShift work
$85k - $115k
Regulatory Compliance Specialist (Americas) Category: R&D Country: United States... ...products meet complex regional regulations. In this role, you’ll... ...between your home and our office in Pine Brook, NJ. Applicants... ...of complex regulatory reports, documents and filings. Prepare...Work at office- ...market position. Position Summary Reporting to the Wholesale carrier... ...Wholesale Carrier Commercial Senior Manager will have a key role... ...carrier partnerships in North America (USA and Canada) to 1) solidify... ...Desired Qualifications Regulations knowledge is a plus Experience...SeniorTemporary workRemote work
$81.4k - $151.8k
...Risk & ComplianceThe Capital Markets Senior Compliance Officer will assist in the effective implementation... ...information for analysis and reporting.Conduct surveillance reviews and evaluate... ...to inquiries from auditors and regulators; participate in initiatives to drive...SeniorContract workPart timeLocal area- ...North American Infrastructure Finance Senior Reporter will be a vital member of IJGlobal team... ...infrastructure finance market in North America. This is an exciting opportunity to write... ..., developers, bankers, lawyers and regulators). IJGlobal has an established reputation...Senior
- ...Our client, a global investment platform , is seeking a senior compliance professional to support a growing private credit strategy . This... ...for a registered investment vehicle , including governance, reporting, and program execution Interpret and apply Investment Advisers...Senior
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Senior Compliance Officer - Americas Regulation & Reporting. Be the first to apply!
- regulatory officer New York, NY
- regulatory compliance specialist New York, NY
- senior compliance officer New York, NY
- research compliance officer New York, NY
- coding compliance specialist New York, NY
- trade compliance specialist New York, NY
- legal compliance analyst New York, NY
- medicare compliance specialist New York, NY
- entry level compliance analyst New York, NY
- aml compliance analyst New York, NY

