Marketing Compliance Officer
$90k - $125kOppenheimer & Co
Who We Are:Oppenheimer & Co. Inc. (Oppenheimer) is a leading middle-market investment bank and full service broker-dealer. With roots tracing back to 1881, the Company is engaged in a broad range of activities in the financial services industry, including retail securities brokerage, institutional sales and trading, investment banking (both corporate and public finance), equity & fixed income research, market making, trust services and investment advisory and asset management services.Job Description:Oppenheimer & Co. Inc. is seeking a Compliance Professional to join our Compliance Department in New York. The position will be part of a team that supports the Oppenheimer Asset Management business, which includes a dually registered broker-dealer and an investment adviser with several affiliated advisers. The ideal candidate must be able to work in a fast-paced environment, work independently, and demonstrate strong relationship management skills.Responsibilities:Review marketing and advertising materials for proprietary and third-party funds and advisory programs to ensure compliance with the applicable FINRA and SEC marketing rules for the dually registered broker-dealer and investment adviserDraft appropriate disclosures for marketing and advertising materialsSubmit required marketing materials to FINRA and coordinate correspondenceAdvise broker-dealer and investment advisers on marketing and advertising issuesAssist in the preparation and filing of the annual Form ADV brochures, and amendments thereto for several registered investment advisersQualifications:2+ years of working experience with Advisers Act and FINRA regulationsUnderstanding of wealth management and investment advisory products, including wrap fee separate account programs, private and registered investment funds, as well as the regulatory landscape of investment advisers and broker-dealers.Ability to interpret legal and business terms and grasp concepts quicklyStrong attention to detail, critical-thinking, and analytical skillsMust be an ambitious, dedicated, and results-oriented individual that is an independent thinker and takes ownership of his/her work and enjoys collaborating within a team environmentProficient computer skills and knowledge of web browsers and web searching skillsStrong written and verbal communication and presentation skillsCompensation:For job postings in New York City, Oppenheimer is required by law to include a reasonable estimate of the salary range for this role. This salary range is specific to the City of New York and takes into account the wide range of factors that are considered in making salary decisions including but not limited to your skills, qualifications, experience, licensure and certifications, and other business and organizational needs. A reasonable estimate of the current base salary range is $90,000.00 - $125,000.00 at the time of this posting. Also, certain positions are eligible for additional forms of compensation such as discretionary bonus.Location: New York, NY Type of Hire: Experienced Hires Division: Compliance
$81.4k - $151.8k
Application Deadline 06/19/2026 Address 151 W 42nd Street Job Family Group Audit, Risk & Compliance The Capital Markets Senior Compliance Officer will assist in the effective implementation, maintenance and administration of the Capital Markets Compliance Program. The...SuggestedLocal area$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...SuggestedFull timeWork at office$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... ...communities. When it comes to salary, Flow Traders uses reliable market research to create base ranges. Where candidates will fall...SuggestedLocal area$130k - $150k
...understand their goals, and navigate complex markets together. We leverage cutting edge... ...DepartmentFranklin Templeton’s Global Regulatory Compliance department provides oversight, guidance... ..., and internal policies.The Compliance Officer will play a critical role in supporting...SuggestedFull 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...SuggestedRemote work
$110k - $140k
The Compliance Officer will be instrumentally involved in overseeing, administrating and enhancing the Compliance Program of Institutional... ...drive to help us bring clarity and transparency to capital markets, we want to work with you.Together, we can grow your career...Full timeLocal area$100k - $150k
...more specific details for this role.Job Description:CIB Credit Compliance plays an important control and oversight role within TD... ...institutionWho We Are TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional...Full timeLocal areaWork from homeFlexible hours$100k - $200k
Our client is a private equity firm. They seek a Compliance Officer to join their Manhattan, NY office.ResponsibilitiesCoordinate monthly compliance... ...with AML/KYC reviews, investor diligence requests, marketing material reviews, and compliance inquiriesCollaborate with internal...Work 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...Local area$145k - $175k
A Career with Point72's Compliance TeamThe Point72 Compliance department is an industry-leading team of compliance professionals who support... ...in advising on new trading strategies, products, and market access to ensure compliant go-to-market execution and risk mitigationPartner...Work experience placement$175k
Reference: 13578Senior Compliance Officer, Investec USAInvestec - Where Out of the Ordinary HappensAt Investec, we do things differently. We... ...lending desks, and global affiliates with a focus on equity markets.Advise on U.S. securities regulations (SEC, FINRA) and...Full timeWork at officeRemote work$150k - $200k
...understand their goals, and navigate complex markets together. We leverage cutting edge... ...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,...Full timeLocal area3 days per week$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... ...Compliance guidance and advice to Regional Management and Market management on Firm and regulatory policies and procedures;>...Temporary workWork experience placement$21.5 - $27 per hour
...years of credentialing experience. - Required Provider Credentialing - Preferred: Credentialing in a Healthplan setting. - Microsoft Office/Suite Proficient Solid problem solving and time management skills. Have the ability to review and draft correspondence in email...Work at officeLocal areaImmediate startMonday to Friday$150k - $190k
...corporations, and tax-exempt organizations within the BBH Multi-Family Office (MFO) Tax group. The position also includes selective tax... ...to identify discrepancies and ensure completeness and compliance.Build and maintain strong relationships with internal and external...Full timeSeasonal workWork at officeLocal areaImmediate start$110k - $150k
...seriously. With a 200-year legacy and a shared passion for what’s next, this is the right place to build a fulfilling career.The Tax Officer prepares all necessary tax authority filing requirements for clients of Private Wealth Management, either directly or through...Full timeWork at officeLocal area$130k
The VP, Compliance Officer will play a crucial role in offering real-time advice and guidance to the trading and sales teams, ensuring the firm's activities adhere to regulatory standards. This position demands a deep understanding of fixed-income regulations and the ability...Temporary workWork at officeImmediate start$160k - $180k
Department: ComplianceDivision: Risk & Compliance DivisionTitle: Senior Compliance Manager and Privacy Officer Job SummaryProvide advice and guidance to the Chief Compliance... ...Time Deposit Terms and Conditions and related marketing materials and disclosuresWork with business...Local area$104k - $177k
...team member for the role of Senior Vice President, Consumer Compliance Officer - Global Payments & Trade. to join our Risk & Compliance team... ..., regulations and rules of relevant regulators. BNY assesses market data to ensure a competitive compensation package for our employees...Temporary workWorldwideFlexible hours- ...Type AnnuallyIndustry Hedge FundSelling Points Lead impactful compliance operations in a dynamic investment environment. Collaborate with... ...processes.Job DescriptionSenior Hedge Fund Compliance Officer / Legal Counsel OverviewThe Senior Hedge Fund Compliance Officer...Contract work
$75k - $123.75k
This role will be responsible for garnering support from ETF liquidity providers and Authorized Participants to provide market quality and liquidity in State Street Investment Management’s ETFs. This individual will be a point of contact for ETF traders regarding the pricing...Temporary work$130k - $150k
...deep research and span public and private markets, across all major asset classes, with a... ....6 billion* and operate across multiple offices globally. Man Group plc is listed on the... ...of the role This role sits in the Compliance team based in NY and to work as part of...Local areaFlexible hoursMan Group
New York, NY15 hours ago$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... ...and/or compliance audits or reviews. Review marketing materials, disclosures, and other customer communications...Full timeTemporary workPart timeSeasonal workWork at officeImmediate startFlexible hoursPopular
New York, NY1 day ago$300k
...mission.About The RoleEliseAI is entering its next phase of growth—and we’re looking for a strategic and operationally minded Chief Marketing Officer to help us get there. We’ve seen strong, consistent revenue performance and are now focused on scaling our go-to-market engine...Work at officeLocal areaRelocation package$300k - $337k
...Location: This is a hybrid remote/in-office role. Medidata follows a hybrid office policy in which employees who are hired for an in... ...experiences, accelerate clinical breakthroughs, and bring therapies to market faster. A Dassault Systèmes brand (Euronext Paris: FR0014003TT8,...Work at officeRemote workFlexible hoursShift workMediData
New York, NY2 days ago- ...Maximus is looking for a Head of Growth & Marketing Company: Maximus | Location: Remote (US) | Reports to: CEO | Type: Full-time, Executive... ...experience (familiarity with health-claim ad policies and compliance-constrained creative) Experience marketing a multi-product...Full timeRemote workFlexible hours
Maximus Health, Inc.
New York, NY3 days 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- Job Description Job Description Now Hiring: Home Inspector (Full-Time | Nights & Weekends Availability) We’re growing and looking for a licensed Home Inspector to join our team at Pillar To Post of Ocean County. This is a great fit for someone who wants steady work, flexibility...Full timeImmediate startFlexible hoursNight shiftWeekend workAfternoon shift
6AM City
New York, NY3 days ago $135k - $175k
...with groundbreaking optical and digital solutions. With a culture rooted in customer focus, innovation, and teamwork, we lead the market in microscopy, imaging, and analysis - empowering our customers to build a better, healthier world.Leica is strengthening its focus...Full timeRemote workWork from homeFlexible hoursNight shift$90k - $120k
...paid volunteer days.This Role is Tailor-Made for You Because:You are a strong storyteller, sharp editor, and brand-minded content marketer who knows how to turn ideas into content that moves across formats — from short-form video and social series to newsletters, founder...Full timeCasual workSeasonal work
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