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Compliance jobs

Viewing 1 - 10 of 11,218 jobs

  • Leading US Financial Institutions – Credit Risk Management – VP – Credit Risk/Credit/Compliance/Regulatory

    Gqr Global Markets - New York City, NY

    JOB DESCRIPTION As an expansion hire due to consistent growth, this financial institution is seeking a leader in risk management, regulatory knowledge, modeling and model validation. We are looking for a candidate with both interpersonal...

    2 days ago from eFinancial Careers

  • Deputy Director or Chief Compliance Officer

    Compliance Search Group - San Francisco, CA

    firm in the nation specializing in the recruitment of Compliance, Legal, Regulatory, Risk Management, Dodd-Frank, ... Compliance professionals ranging from staff levels to Chief Compliance Officers with the nation's top-tier firms.

    17 hours ago from The Ladders

  • 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...

    30+ 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

  • Compliance Counsel

    Access Staffing - Stamford, CT

    manual; policies, procedures and controls. Oversee compliance staff monitoring portfolio compliance on separate ... Act Of 1974. Any experience with Bloomberg pre-trade compliance modules and post trade compliance system;...

    8 days ago from The Ladders

  • Chief Compliance Officer, Anti-Money Laundering

    Leading Financial Services Firm - New York City, NY

    Manage the AML Compliance program Ensure AML and KYC policies and procedures remain current Advise the staff with ... complete manner Requirement: 10+ years experience in the compliance department of a regulated financial services...

    21 days ago from IvyExec

  • Senior Business Practices (Regulatory Compliance) Analyst

    Houston Methodist Medical - Houston, TX

    Job Description: Work Shift: DAYWork Week: M - FCompany ProfileSince its founding in 1919, Houston Methodist has earned worldwide recognition. Houston Methodist is affiliated with the Weill Medical College of Cornell University and New...

    2 days ago from ZipRecruiter

  • Compliance Director

    Durino Consulting - Santa Clara, CA

    business functions on highly complex ethics and compliance issues, including policy interpretation, compliance ... with the Ethics and Compliance Officer and business on compliance audits, oversees the fulfillment of auditor’s...

    7 days ago from ZipRecruiter

  • Chief Compliance Officer

    Compliance Search Group - Austin, TX

    Chief Compliance Officer A registered investment adviser firm seeks a Chief Compliance Officer who will be responsible ... of Compliance professionals ranging from staff levels to Chief Compliance Officers with the nation's top-tier firms.

    7 days ago from The Ladders

  • 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

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