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Compliance jobs

Viewing 1 - 10 of 10,161 jobs

  • Chief Compliance Officer

    Efinancial Careers - Chicago, IL

    CFTC and NFA regulatory filings, registration rules and compliance protocols is required. Ideally the candidate will ... and comprehensive benefits. Alternative asset management firm based in Chicago is seeking a Chief Compliance...

    18 days ago from eFinancial Careers

  • Asset & Wealth Management Legal Group –Product & Regulatory Position

    Compliance Search Group - New York City, NY

    working closely with the relevant Business units, the Compliance Department and other parts of the Legal Department, including bank regulatory lawyers and lawyers outside of the US. The position will entail the following primary areas of...

    3 days ago from eFinancial Careers

  • Leading US Financial Institutions – Credit Risk Management – Director – Economic Capital/Compliance/Regulatory

    Gqr Global Markets - Boston, MA

    JOB DESCRIPTION This financial institution is seeking an experienced Economic Capital team lead to manage their continued growth and desire to remain solvent. The successful candidate will not only be proficient in economic capital...

    5 days ago from eFinancial Careers

  • SENIOR COMPLIANCE OFFICER

    BNP Paribas Investment Partners - New York City, NY

    As a member of the Compliance team, the Senior Compliance Officer will be responsible for various regulatory compliance ... in maintaining, updating, developing and testing firm wide compliance policies and programs; managing compliance...

    12 days ago from eFinancial Careers

  • Chief Compliance Officer - Registered Investment Advisor

    Dm Stone Jobsinbrokerage.com - San Francisco, CA

    include 1940 Act and institutional accounts. Must have RIA compliance officer experience (5+ years), preferably with ... to compliance essentials. Will involve management of compliance program, reviewing investment contracts, periodic...

    30+ days ago from Net-Temps

  • Global Chief Compliance Officer- Broker Dealer

    Michael Page International - US - New York City, NY

    in the broker dealer space. Description The Head of Compliance * Point of contact for all exams/inquiries & ... Profile 10-20 years plus experience required in regulatory compliance. A JD is not required but a plus. Job Offer...

    18 days ago from eFinancial Careers

  • Chief Compliance Officer

    California Broker Dealer - Central, CA

    of new and existing compliance issues Manages a compliance training program, including appropriate ... and resolve potential compliance issues. • Supervises, hires, and trains compliance associates. • Serves as...

    6 days ago from ZipRecruiter

  • SEF Compliance Officer Job

    Bloomberg - Entertainment and Media Industry - New York City, NY

    Execution Facility Compliance Program designed to ensure compliance with all applicable regulatory requirements ... to the compliance program and the Swap Execution Facility Compliance Manual and related policies/procedures as needed...

    30+ days ago from VelvetJobs

  • Compliance

    Green Key Resources - New York City, NY

    and account documentation for anti-money laundering compliance · Review, assess, devise, and conduct training of ... experience preferred Manage team of compliance professionals, and advise clients on all compliance-related...

    30+ days ago from eFinancial Careers

  • Government Programs Compliance Officer

    Healthcare Support Staffing - Harrisburg, PA

    of Daily Responsibilities as a Government Programs Compliance Officer: The Government Programs Compliance Officer ... developing, implementing and monitoring the Government Compliance Program to ensure compliance with all applicable...

    18 days ago from ZipRecruiter

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