Sign up to access all features of our service.
  • Job search
  • Favorites
  • Create a CV
    New
  • Salaries
  • Subscriptions

Senior Compliance Officer — Financial Services

Larson Financial Group

Larson Financial Group seeks a Compliance Officer (CO) to lead regulatory compliance for the Larson Network Services and affiliates, ensuring adherence to SEC/FINRA/MSRB rules and firm policies. You will research requirements, review materials, and support audits across the network. The role reports to the Chief Compliance Officer and requires extensive financial services experience, advanced licenses, and strong analytical skills to identify and mitigate risk in a fast-paced environment. #J-18808-Ljbffr Larson Financial Group

Vacancy posted 3 days ago
Similar jobs that could be interesting for youBased on the Senior Compliance Officer — Financial Services in Brooklyn, NY vacancy
  • $130k - $160k

     ...established in 2018 as a leading independent financial advisory services firm. Originally founded in 1882 as the family office of John D. Rockefeller, the Firm has...  ...The Rockefeller Global Family Office Compliance Team is seeking a senior Compliance professional to provide... 
    Senior
    Work at office
    Local area

    Rockefeller Financial

    Brooklyn, NY
    4 days ago
  • $10k

     ...it. About the Role Ramp is seeking its first dedicated Financial Crimes Compliance Controls Senior Strategist to build and own the framework that...  ...Ramp employees (Global) Flexible PTO Centralized home-office equipment ordering Health and wellness stipend Budget... 
    Senior
    Full time
    Work at office
    Relocation
    Home office
    Flexible hours

    RAMP

    Brooklyn, NY
    5 days ago
  • $80k - $90k

    ## Senior Compliance Analyst - Advertising Reviewer (Hybrid)Applylocations: Denver, Colorado...  ...century ago, we were among the first financial services companies in America to serve everyday...  ...skills.* Proficiency using MS Office tools.**Preferred Qualifications:***... 
    Senior
    Contract work
    Remote work
    Worldwide

    Transamerica

    Brooklyn, NY
    5 days ago
  • Integrity is seeking a Compliance Analyst - Supervision to oversee all activities of registered representatives and investment adviser...  ...part of a team building a differentiated model in financial services. You will review communications, monitor trading activity, and... 
    Senior

    Insurance Administrative Solutions, L.l.c.

    Brooklyn, NY
    3 days ago
  •  ...The Compliance Officer 2 at the Iowa Department of Health and Human Services leads federal and state compliance activities for FFWS programs (SNAP, Cash, SUN Bucks, Rent Reimbursement). You coordinate reporting, respond to federal inquiries, and guide program teams on... 
    Senior

    Iowa National Guard

    Brooklyn, NY
    1 day ago
  •  ...planning for Raymond James’ Compliance department and other...  ...the Chief Compliance Officer’s participation in...  ...Routinely interacts with senior leaders within...  ...Exchange Commission (SEC); Financial Industry Regulatory Authority...  ...level of customer service. Establish and... 
    Senior

    Raymond James Financial, Inc.

    Brooklyn, NY
    1 day ago
  •  ...Title: Senior Compliance Officer (CLIA Laboratory Quality Manager) Employee Classification: Senior Compliance Officer Campus: University of North Texas Health at Fort Worth Division: HSC-Div of Rsrch & Innovation SubDivision-Department: HSC-Health Institutes & Centers... 
    Senior
    Temporary work
    Local area
    Monday to Friday

    University of North Texas System

    Brooklyn, NY
    1 day ago
  • Banco Sabadell Miami seeks a BSA & OFAC Officer to lead compliance with BSA/AML/OFAC, CIP and EDD programs in a fast-paced banking environment...  ...Compliance. The role requires a strong background in financial services, college degree, and 10+ years of related experience. You... 
    Senior
    Work at office

    Banco Sabadell Miami

    Brooklyn, NY
    1 day ago
  • Cargolux Airlines International in Houston seeks an experienced Compliance professional to assist in establishing and implementing an effective compliance program for Area 1. You will advise and assist the Area 1 on daily compliance matters, monitor activities, and report... 
    Senior

    Cargolux Airlines International

    Brooklyn, NY
    4 days ago
  •  ...Senior Safety and Compliance Officer The Senior Safety and Compliance Officer (SSCO) is a leadership position...  ...to provide excellent customer service. Act as the Research Safety Committee...  ...organizational goals. Participate in strategic, financial, and personnel decisions to support... 
    Senior
    Work at office
    Local area

    University of Georgia

    Brooklyn, NY
    1 day ago
  • tastytrade, Inc. is seeking a Compliance Officer for tastyfx/tastytrade futures to support the firm’s compliance program and regulatory standing. This role reports to the Chief Compliance Officer and focuses on CFTC/NFA rules governing retail forex operations. The successful... 
    Senior
    Work at office
    3 days per week

    tastytrade, Inc.

    Brooklyn, NY
    3 days ago
  •  ...SEI's Legal, Compliance and Risk team has an immediate opening for a Compliance Officer. The Compliance Officer will support the day...  ...under the guidance of senior compliance professionals, the...  ...Internship or experience in financial services, asset management, compliance... 
    Work experience placement
    Internship
    Work at office
    Immediate start
    Flexible hours

    SEI

    Brooklyn, NY
    1 day ago
  • Mesirow Financial Holdings, Inc. is seeking a Compliance Officer to support all facets of the Compliance Department, including ethics, AML/KYC, and policy development. The role reports to the Chief Compliance Officer and operates in a hybrid model with in-office presence... 
    Senior
    Work at office
    3 days per week

    Mesirow Financial Holdings, Inc.

    Brooklyn, NY
    2 days ago
  • SUMMARY Senior Code Compliance Officer is an exempt position; must be a self-starter and operate with a minimal amount of direct supervision; position...  ...and health violations; responds to dispatched calls for service from citizens or Town staff. Conducts onsite inspections... 
    Senior
    Work experience placement
    Work at office
    Local area
    Immediate start
    Flexible hours
    Afternoon shift

    Gfoat

    Brooklyn, NY
    3 days ago
  • ## Senior Credentialing SpecialistApplylocations: Oklahoma, United Statestime type: Full timeposted on: Posted Todayjob requisition id...  ...thinking skills.* Excellent attention to detail.* Client-service oriented.* Highly effective team collaboration, accountable, and... 
    Senior

    MediSolution

    Brooklyn, NY
    3 days ago
  • ENSTAR is seeking a Senior Regulatory Financial Analyst in Anchorage to join the Rates and Regulatory team, reporting to the Supervisor...  ...to tariff revisions, testimony, and cost-of-service work, while maintaining compliance with state requirements. #J-18808-Ljbffr Alaska... 
    Senior

    Alaska Society of CPAs

    Brooklyn, NY
    4 days ago
  • Thomas & Company seeks an experienced Employment Tax Compliance Specialist in Nashville to manage complex tax compliance projects, coordinate with clients and internal teams, and deliver accurate filings for mergers, acquisitions, and other tax-related activities. The... 
    Senior

    Thomas & Company

    Brooklyn, NY
    1 day ago
  • American Airlines is seeking an Analyst/Sr Analyst in Debt Management & Compliance at our Fort Worth, TX location. You will support debt and lease payments, ensure covenant and SEC reporting compliance, and maintain treasury data across multiple systems. This role offers... 
    Senior

    American Airlines

    Brooklyn, NY
    2 days ago
  • $176.72k - $265.08k

     ...institutions with a broad range of financial products and services, including consumer banking and credit...  ..., highly technical, and Hands-on Senior Principal Platform & AI Architect with...  ...its clients and assets, by driving compliance with applicable laws, rules and regulations... 
    Senior
    Full time

    Citigroup

    Jersey City, NJ
    1 day ago
  •  ...driving significant business impact in financial services, we are looking for people just like...  ...changing, high-quality solutions.As a Senior Principal Architect at JP Morgan Chase...  ...adoption outcomes. Embedding risk, control, compliance, and resilience considerations into... 
    Senior

    JP Morgan Chase

    Jersey City, NJ
    4 days ago
  • Americold is seeking a financial reporting professional to join our team in Atlanta. You will prepare monthly and external financial statements, including analytical reviews and footnote disclosures, and maintain share-based compensation activity reports. The role includes... 
    Senior

    Americold

    Brooklyn, NY
    4 days ago
  •  ...driving significant business impact in financial services, we are looking for people just like...  ...changing, high-quality solutions.As a Senior Principal Architect at JPMorganChase within...  ...craftsmanship, and ensure compliance with data governance and resiliency standards... 
    Senior

    JP Morgan Chase

    Jersey City, NJ
    1 day ago
  •  ...Operations Lead to oversee end-to-end accuracy and regulatory compliance of mortgage escrow accounts across the real estate portfolio....  ...point for complex escrow discrepancies, collaborate with loan servicing, compliance, and accounting teams, and perform annual escrow... 
    Senior

    State Employees' Credit Union

    Brooklyn, NY
    2 days ago
  • $95k - $125k

    Mesirow is an independent, employee-owned financial services firm founded in 1937. Headquartered in Chicago, with offices around the world, we serve clients through a personal...  ...is one of Barron’s Top 100 RIA firms. As a Compliance Officer at Mesirow, the role will be... 
    Work at office
    3 days per week

    Mesirow Financial Holdings, Inc.

    Brooklyn, NY
    2 days ago
  •  ...experience in the utility industry with a relevant degree. Key responsibilities include developing regulatory strategies and maintaining compliance. The company offers a collaborative work environment with comprehensive benefits including a company-funded pension and 401k... 
    Senior

    Liberty

    Brooklyn, NY
    4 days ago
  •  ...compile revenues, sales, and general business statistics for compliance reporting, and support the general rate case management process...  ...commitment in their daily responsibilities. Company Details Seniority level: Mid-Senior level Employment type: Full-time Job function... 
    Senior
    Full time
    Flexible hours

    Liberty

    Brooklyn, NY
    4 days ago
  • Title: Senior Compliance Officer (CLIA Laboratory Quality Manager) Employee Classification: Senior Compliance Officer Campus: University of North Texas Health at Fort Worth Division: HSC-Div of Rsrch & Innovation SubDivision-Department: HSC-Health Institutes & Centers Department... 
    Senior
    Temporary work
    Local area
    Monday to Friday

    University of North Texas System

    Brooklyn, NY
    4 days ago
  • $110.7k - $218.3k

    Position Summary Senior Consultant - Regulatory & Compliance - Enterprise Operations & Risk Our Deloitte...  ...consulting, advisory, or professional services environmentAbility to travel 50%,...  ...Reserve Board Y-9C, Federal Financial Institutions Examination Council 0... 
    Senior
    Local area
    Visa sponsorship

    Deloitte

    Jersey City, NJ
    4 days ago
  •  ...methodologies, improve process efficiency, and keep the fair lending compliance program aligned with industry and regulatory standards....  ...responsible banking is a plus. JPMorganChase, one of the oldest financial institutions, offers innovative financial solutions to... 
    Senior

    JP Morgan Chase

    Jersey City, NJ
    4 days ago
  •  ...part of Risk Management and Compliance, you are at the center of keeping...  ...to be best-in-class.As a Senior Associate, Full Stack Software...  ...applications, interfaces, and services that compliance users rely on...  ...as Tableau or ThoughtSpot.Financial crimes compliance, AML, risk,... 
    Senior
    Contract work

    JP Morgan Chase

    Brooklyn, NY
    1 day ago

Do you want to receive more vacancies?

Subscribe and receive similar vacancies to Senior Compliance Officer — Financial Services. Be the first to apply!