Compliance Officer
JW Michaels & Co.
Global investment management firm is seeking a compliance officer to join their dynamic team. Strong expertise with Trading Compliance is required, JD is a plus. They are on a hybrid schedule and working 4 days in office. Duties and Responsibilities: Provide real-time compliance coverage for traders, providing trade approvals and trading conduct Support the trading compliance program for the firm’s trading desks, driving measurable improvements in controls and monitoring Work collaboratively with legal, risk, operations, finance, technology, and third-party vendors to implement and enhance compliance solutions Build and enhance pre-trade and post-trade surveillance processes, including tuning alerts and escalating significant issues Assist in advising on new trading strategies, products, and market access to ensure compliant go-to-market execution and risk mitigation Investigate trading exceptions and potential breaches, prepare concise findings and remediation plans, and present results to senior compliance leaders Qualifications: 4 year degree and a JD is a strong plus but not required 5-7 years of compliance experience within an investment manager, hedge fund, or broker-dealer with direct responsibility for trading compliance Demonstrated working knowledge of U.S. securities laws and regulations applicable to trading and market conduct Proven experience designing, operating, or materially enhancing pre-trade and post-trade surveillance programs Demonstrated experience working directly with traders, portfolio managers, and trading operations to provide timely compliance advice Proven ability to analyze trading activity and alert data Experience conducting compliance investigations and producing clear written summaries, escalation materials, and remediation plans Track record of leading cross-functional projects to implement policy, system, or process changes related to trading The firms offers an amazing benefits package! #J-18808-Ljbffr JW Michaels & Co.
$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...SuggestedWork at office$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$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$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$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- ...Benefits: 401(k) 401(k) matching Company parties Flexible schedule Opportunity for advancement Job Overview The Compliance Officer will be responsible for ensuring that all moving and cleaning operations adhere to federal and state-specific regulations....Full timePart timeFor contractorsLocal areaRemote workLong distanceFlexible hours
JULIAN EIAN JUEL MOVING AND CLEANIN
New York, NY3 days ago $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 Risk Bloomberg’s Legal & Compliance...Temporary workFor contractorsWork experience placementWork at officeLocal areaBloomberg
New York, NY3 days ago$160k - $250k
...Compliance Officer About Millennium Millennium is a global, diversified alternative investment firm, founded in 1989. Defined by evolution, innovation and focus, Millennium's mission is to deliver results for our investors. Our people are empowered with...Millennium Management Corp
New York, NY3 days 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, NY1 day ago$220k - $270k
Head of Monitoring & Surveillance Compliance Officer - Director, CA CIB Americas (New York, NY) Summary: The Head of Monitoring and Surveillance Americas will oversee the electronic and voice communications of the Firm's employees, in addition to trade surveillance review...Work at office$200k - $250k
...The Role We are seeking to hire an exceptional Trading and Systematic Advisory Compliance Officer to join our global compliance team in our New York office. You will act as subject matter expert for regulations that apply to the market infrastructure, and investment...Work at officeSchonfeld
New York, NY3 days ago$140k - $185k
...Compliance Officer – Career Launch AI Talent Network Location: New York, NY Estimated Compensation: $140,000 – $185,000 total annual compensation (varies by employer) About This Posting This job description represents a sample Compliance Officer position commonly found...TEEMA Solutions Group
New York, NY1 day ago$90k - $110k
...Make an impact in sanctions compliance and financial crime prevention. Grow your expertise in OFAC and international payments. About Our Client A company operating in the financial services industry based in New York. Job Description Core ResponsibilitiesSanctions...Permanent employmentLocal areaMichael Page International Inc.
New York, NY3 days ago- ...Ares Management seeks an experienced attorney to join its Legal & Compliance team as VP - Investment Adviser Compliance, providing senior regulatory guidance across global platforms and investment strategies. The role requires advising on complex structures, regulatory...
Ares Management
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, NY10 hours 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, NY1 day ago $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, NY3 days ago$1,000 per day
...A leading consulting firm is seeking an experienced Compliance Officer to oversee regulatory governance within a U.S. broker-dealer. The role focuses on maintaining compliance across Operations, Treasury, and Finance interfaces. Key responsibilities include managing the...Contract workWork at officeG MASS Consulting
New York, NY4 days ago- ...ISS is seeking a senior Compliance Officer to oversee and enhance the firm’s compliance program, focusing on conflicts of interest and information barriers within its SEC-registered adviser framework. The role reports to the CCO and collaborates across the STOXX Compliance...
issgovernance
New York, NY2 days ago - ...Remote Public Compliance Officer – 50862 Turing is looking for candidates with strong experience in government and regulatory compliance, especially for compliance officers, auditors, legal analysts, or public policy professionals working within or alongside public...Full timeFor contractorsFreelanceRemote work
Turing Inc
New York, NY4 days ago - ...IDB Bank in New York is seeking a Senior Compliance Manager and Privacy Officer to lead privacy and non-lending consumer regulatory efforts. You will advise the Chief Compliance Officer and senior management, guide regulatory examinations, and manage Privacy, Identity...
IDBNY
New York, NY3 days ago $88 per hour
...Job Description 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...Contract workImmediate startRemote workBizTek People, Inc. | APA International Placement Consultant...
New York, NY1 day ago$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$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$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$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...Full timeLocal areaWork from homeFlexible hours$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
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