Chief Risk & Compliance Officer Page GroupChief Risk & Compliance OfficerNew York, NY$300,000–$400,000 / yearFull timeThis position represents a critical leadership hire, responsible for developing a cohesive framework spanning regulatory compliance, enterprise risk, governance, and operational resilience. The role blends advisory and execution, requiring strong judgement, regulatory expertise, and the ability to scale systems and teams in a dynamic environment.
CFO JobotCFOBrooklyn, NY$275,000–$300,000 / yearInformation collected and processed as part of your Jobot candidate profile, and any job applications, resumes, or other information you choose to submit is subject to Jobot's Privacy Policy, as well as the Jobot California Worker Privacy Notice and Jobot Notice Regarding Automated Employment Decision Tools which are available at jobot.com/legal. Reporting to the CEO and ownership group, the CFO is responsible for financial reporting, controls, systems, compliance, and team leadership to support company growth and performance.
NewChief Financial Officer - IPO IPO Kforce Inc.Chief Financial Officer - IPO IPONew York, NYRemote$300,000–$373,750Demonstrated government and regulatory experience, such as engaging with government agencies, navigating public policy, securing incentives/grants, or managing relations with regulatory bodies (e.g., experience in sectors with heavy government oversight like infrastructure, defense, energy, or regulated industries). Experience leading/contributing to an IPO process, including f S-1 filings, SEC compliance, roadshows, and transition to public company reporting (prior successful IPO as CFO highly preferred; Experience in pre-IPO readiness or public company finance acceptable).
NewChief Medical Officer, Family Hospice UPMC Southwestern PAChief Medical Officer, Family HospiceBrentwood, NYEstablishes and maintains a schedule of physician services to ensure physician clinical and administrative services are available around-the-clock to support all hospice programs, including hospitals and inpatient units Lead quality improvement initiatives focused on patient outcomes, safety, and experience. Serve as the senior physician liaison between Family Hospice, hospitals, and system leadership Clinical & Quality Leadership Provide overall medical direction for all hospice programs, including inpatient, hospital?based, SNF, and community settings.
Chief Accounting Officer Vaco LLCChief Accounting OfficerNew York, NY$130–$150 / hourDetermining compensation for this role (and others) at Vaco by Highspring depends upon a wide array of factors including but not limited to: the individual’s skill sets, experience and training; licensure and certification requirements; office location and other geographic considerations; other business and organizational needs. Board & Auditor Engagement: Proven track record of direct interaction with Audit Committees, Boards of Directors, and managing Big Four audit relationships.
NewSVP, Chief Credit Risk Officer Vaco LLCSVP, Chief Credit Risk OfficerNew York, NY$340,000–$360,000 / yearMulti-Vertical Oversight: Direct credit strategy and underwriting across diverse lending products, including Commercial (CRE, C&I, SBA), Structured Finance, BaaS partnerships, marketplace lending, and payments. Determining compensation for this role (and others) at Vaco by Highspring depends upon a wide array of factors including but not limited to: the individual’s skill sets, experience and training; licensure and certification requirements; office location and other geographic considerations; other business and organizational needs.
Chief Operating Officer Vaco LLCChief Operating OfficerNew York, NY$250,000–$325,000 / yearDetermining compensation for this role (and others) at Vaco by Highspring depends upon a wide array of factors including but not limited to: the individual’s skill sets, experience and training; licensure and certification requirements; office location and other geographic considerations; other business and organizational needs. The successful candidate will provide leadership across areas such as operations, finance, administration, technology, and people-related functions while helping ensure the organization has the processes, resources, and infrastructure needed to achieve its goals.
Armed Security Transportation Officer PARAGON PROFESSIONAL SERVICES LLCArmed Security Transportation OfficerNew York, NY$37.15 / hourParagon offers a wide range of environmental investigation, consulting, compliance, and remediation services as well as IT solutions, Facility O&M, Materiel Support, Supply and Security to both private- and public-sector clients throughout Alaska and the Continental U.S. Paragon’s experienced professional staff is dedicated to producing high-quality documentation and providing safe field execution to support its clients’ projects in line with local, state and federal guidelines and regulations. · Level of Experience Requirements: Minimum two (2) years’ experience as a Law Enforcement Officer and/or Military Police Officer or six (6) months experience as a security officer engaged in functions related to detailing civil or administrative detainees or, two (2) years active-duty military service with an honorable discharge.
NewCommercial Loan Officer - Asset Based Lending ConnectOne BankCommercial Loan Officer - Asset Based LendingMelville, NY$180,000–$220,000 / yearAbout this role : The Commercial Loan Officer (CLO) is responsible for developing new business, broadening existing relationships, underwriting, structuring,closing of commercial loans (including asset classes for land, site and construction transactions and/or C & I and owner occupied transactions), as well as maintaining and managing an existing portfolio. Maximize bank profitability through appropriate pricing of new loan originations, fee income and selling of all bank products and services; advising clients regarding the advantages and disadvantages of different financial products.
NewSenior Obstetrician & Patient Safety Officer (Labor & Delivery) NYU Grossman School of MedicineSenior Obstetrician & Patient Safety Officer (Labor & Delivery)Brooklyn, NY$300,000–$350,000 / yearOur Department of Obstetrics and Gynecology provides high-quality, evidence-based care to a diverse patient population within a large academic health system and high-volume obstetrics service. Description: NYU Langone Health is a world-class, patient-centered, integrated academic medical center and one of the nation's premier institutions for excellence in clinical care, biomedical research, and medical education.
NewBattalion Officer SUNY Maritime CollegeBattalion OfficerBronx, NY$67,000–$72,000 / yearServe as the primary leader, mentor, and supervisor for cadets within the assigned battalion, delivering consistent, values-based guidance that fosters professionalism, accountability, ethical decision-making, and organizational excellence in supporting cadet activities during the day and in a rotationally managed after-hours activities in support of SUNY Maritime College's mission. Represent the Regiment at Open Houses, campus visits, and Accepted Student Day, as well as other campus events by delivering compelling presentations highlighting the purpose, leadership, professional development, and career opportunities available through regimental life.
NewRegimental Affairs Officer SUNY Maritime CollegeRegimental Affairs OfficerThroggs Neck, NY$70,000–$75,000 / yearCollaborate with the Cadet Indoctrination Officer (IDO) team to design, implement, and assess leadership development training programs for Mariners Under Guidance (MUGs) during INDOC and throughout the academic year Ensure consistent application of leadership development in training programs and reinforce their alignment with Sea Term training goals. Job Description: Located on a scenic 55-acre waterfront campus where the East River meets Long Island Sound, SUNY Maritime College offers a unique blend of academic excellence and mariner focused style leadership training.
Product Management and Enablement Lead Brains Workgroup, Inc.Product Management and Enablement LeadNew York, NY$180,000–$200,000 / yearFull timeData Product Enablement Lead team of Data Product Coaches that will coach Business Data Product Managers in live delivery, not classroom theory. The Product Manager will work cross-functionally with engineering, data, business, and compliance teams to deliver world-class solutions that address complex data governance challenges.
NewSenior Manager, Executive Strategy & Presentations (US CCO Office) TDSenior Manager, Executive Strategy & Presentations (US CCO Office)Ny State Campus, NYProvides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling any/all disciplinary actions, as required - Responsible for the timely execution of the Compliance testing plan - Typically deals with senior/executive management in communicating Compliance testing results - identifying operational efficiencies and opportunities with other business management/enterprise areas through testing engagements - Provides guidance and clarity around priorities and goals for Compliance testing program and works with managers to ensure the goals cascade to all workers - Manages and prioritizes the team to deliver on multiple reviews and projects at a given time - Identifies and leads problem resolution for project/program complex requirements related issues at all levels Undergraduate degree or equivalent work experience - Advanced PowerPoint skills with demonstrated ability to create polished, executive-ready presentations and effectively communicate complex information visually. The Senior Manager - Executive Strategy & Presentation leads a significant business management function and/or strategy planning, oversight, control or governance activities for highly complex / high risk / transformational (change the bank) / strategic initiatives, liaises across the organization and primarily interfaces with executive and/or functional stakeholders.
NewClinical Lab Scientist Veterans Health AdministrationClinical Lab ScientistAlbany, NYQualifications Applicants pending the completion of educational or certification/licensure requirements may be referred and tentatively selected but may not be hired until all requirements are met. ]]>5c143e31-5e48-4549-b638-05792d185386
Head of US Compliance and Deputy Chief Compliance Officer Menarini GroupHead of US Compliance and Deputy Chief Compliance OfficerNew York$263,001–$360,926 / yearPartner with Head of Compliance Risk and Assurance to (i) identify monitoring needs, provide support for live monitoring and pull through monitoring results/analytics to business stakeholders; (ii) conduct planning and inputs for risk assessments; (iii) support annual transparency reporting; and (iv) support internal investigations. Thanks to the valuable contribution of around 18,000 employees, every year more than 500 million packs of drugs are produced at the Group's 18 manufacturing sites including a biotech plant for the manufacturing of monoclonal antibodies that also serves external clients distributed across 6 continents.
Head of Broker Dealer Compliance Americas and Chief Compliance Officer VN2908 MAREX Group LimitedHead of Broker Dealer Compliance Americas and Chief Compliance Officer VN2908New York, NY$290,000–$335,000 / yearThe Head of Broker Dealer Compliance is an expert in Broker Dealer regulation that leads a team of compliance officers in providing compliance advisory services for Equities, Fixed Income, Listed Options trading activities as well as knowledge of various regulatory reporting requirements. The depth of knowledge amongst its teams and divisions provides its customers with clear advantage, and its technology-led service provides access to all major exchanges, order-flow management via screen, voice and DMA, plus award-winning data, insights, and analytics.
Head Of Broker Dealer Compliance, Americas And Chief Compliance Officer (Vn2908) Marex Group, Plc.Head Of Broker Dealer Compliance, Americas And Chief Compliance Officer (Vn2908)New York, NY$290,000–$335,000 / yearThe Head of Broker Dealer Compliance is an expert in Broker Dealer regulation that leads a team of compliance officers in providing compliance advisory services for Equities, Fixed Income, Listed Options trading activities as well as knowledge of various regulatory reporting requirements. The depth of knowledge amongst its teams and divisions provides its customers with clear advantage, and its technology-led service provides access to all major exchanges, order-flow management via screen, voice and DMA, plus award-winning data, insights, and analytics.
Head of Broker Dealer Compliance, Americas and Chief Compliance Officer (VN2908) MarexHead of Broker Dealer Compliance, Americas and Chief Compliance Officer (VN2908)New York, NY$290,000–$335,000 / yearThe Head of Broker Dealer Compliance is an expert in Broker Dealer regulation that leads a team of compliance officers in providing compliance advisory services for Equities, Fixed Income, Listed Options trading activities as well as knowledge of various regulatory reporting requirements. The depth of knowledge amongst its teams and divisions provides its customers with clear advantage, and its technology-led service provides access to all major exchanges, order-flow management via screen, voice and DMA, plus award-winning data, insights, and analytics.
Deputy Chief Compliance Officer StoneX Group IncDeputy Chief Compliance OfficerNew York, NY$120,000–$170,000 / yearInstitutional: Immerse yourself in the best-in-class institutional-grade technology, working alongside industry experts and gaining exposure to various asset classes, such as equities, options, fixed income securities, and advanced trading, research, and management technology. As a Fortune 100, Nasdaq-listed provider, we connect clients to the global markets - focusing on innovation, human connection, and providing world-class products and services to all types of investors.
Chief Compliance Officer MomentChief Compliance OfficerNew York City, New York$260,000–$290,000 / yearExpand and own the RIA and BD compliance programs end to end: own written policies and supervisory procedures, Code of Ethics, registration and licensing, regulatory filings, marketing and advertising review, best execution, net capital, books and records, and the annual compliance review. Provide Effective Risk Assessment and Management: proactively identify and asses inherent risks of the various business units, and implement mitigating controls to address and minimize regulatory risk exposure.
Deputy Chief Compliance Officer, Corporate Vice President New York Life Insurance CoDeputy Chief Compliance Officer, Corporate Vice PresidentNew York, NY$160,000–$228,500 / yearNYLIFE Securities and Eagle Strategies sit at the heart of New York Life's retail distribution strategy-delivering a broad product platform that includes variable annuities and variable life insurance, mutual funds, alternative investments, 529 plans, managed account programs through our advisory platform, and comprehensive fee-based financial planning-through a nationwide career agency distribution system. The Deputy CCO will lead the core elements of the compliance program, including compliance risk assessments, policy and procedure design, controls testing, supervisory oversight coordination, and the modernization of how compliance is delivered across one of the largest career agency distribution systems in the industry, with over 12,000 insurance agents, 6,500 registered representatives, and 1,700 investment adviser representatives.
Deputy Chief Compliance Officer Stonex GroupDeputy Chief Compliance OfficerNew York, NY$120,000–$170,000 / yearInstitutional: Immerse yourself in the best-in-class institutional-grade technology, working alongside industry experts and gaining exposure to various asset classes, such as equities, options, fixed income securities, and advanced trading, research, and management technology. As a Fortune 100, Nasdaq-listed provider, we connect clients to the global markets – focusing on innovation, human connection, and providing world-class products and services to all types of investors.
NewChief Compliance Officer Moment Technology IncChief Compliance OfficerNew York, NY$260,000–$290,000 / yearExpand and own the RIA and BD compliance programs end to end: own written policies and supervisory procedures, Code of Ethics, registration and licensing, regulatory filings, marketing and advertising review, best execution, net capital, books and records, and the annual compliance review. Provide Effective Risk Assessment and Management: proactively identify and asses inherent risks of the various business units, and implement mitigating controls to address and minimize regulatory risk exposure.
Chief Compliance Officer, Swap Dealer FalconXChief Compliance Officer, Swap DealerNew York City, NY$191,000–$252,000 / yearOperating at the intersection of traditional finance and cutting-edge technology, FalconX addresses the industry''s foremost challenges: Navigating the digital asset market can be complex and fragmented, with limited products and services that support trading strategies, structures, and liquidity found in conventional financial markets. This person will advise internal stakeholders on implementation and development of CFTC, and NFA swap dealer requirements, including day-to-day oversight and program enhancements relating to policies and procedures, employee training, risk assessments, issues management, governance and management reporting, and metrics.
Chief Compliance Officer NovigChief Compliance OfficerNew York City, New York$275,000–$325,000 / yearEnergized by partnering cross-functionally with Information Security (cybersecurity and systems controls), Surveillance (market monitoring and abuse prevention), Finance and Regulatory Finance (financial resource requirements and reporting), Legal (regulatory interpretation and external counsel coordination), and Engineering and Product to embed regulatory requirements directly into systems and workflows. Prepared to serve as the primary internal owner of the compliance framework, with the authority and judgment to identify issues, recommend solutions, and escalate matters to the Chief Regulatory Officer when appropriate.
Compliance Officer - Trade Surveillance Chicago Trading CompanyCompliance Officer - Trade SurveillanceNew York, NY$150,000–$200,000 / yearAs a Compliance Officer, you will report to the Chief Compliance Officer and handle various tasks supporting the firm's global compliance operations, focusing on securities and futures trade surveillances for all CTC trading affiliates globally. Candidates should have at least 8 years of experience in a compliance function that directly supports a professional trading business, or at least 3 years in a compliance function that supports a professional trading business and 5 additional years in non-compliance roles in financial services.
["Compliance Officer","Compliance Officer"] First Farmers & Merchants Bank["Compliance Officer","Compliance Officer"]ColumbiaCompliance Testing and Monitoring - Execute and document risk-based compliance testing and monitoring activities across applicable consumer, deposit, lending, operations, and related regulatory areas; maintain schedules, workpapers, exception tracking, validation, and follow-up to support timely issue resolution. Audit, Examination, and Remediation Coordination - Assist with internal audits, external audits, compliance reviews, and regulatory examinations by gathering documentation, coordinating responses, tracking findings, and supporting corrective action and remediation efforts.
NewChief Compliance Officer Community Financial System, Inc.Chief Compliance OfficerSyracuse, New YorkFull timeDevelop, document and maintain a compliance program that includes: risk assessments; development and maintenance of applicable policies and procedures and guidelines; and monitoring, testing and reporting protocols that are appropriately tailored to prevent, detect and correct specific compliance risks. Experience: Large bank compliance department, consulting or examination experience preferred; Minimum of 7-10 years experience in bank compliance related positions; Strong leadership and management experience.
Compliance Officer Flow Traders LtdCompliance OfficerNew York, NY$95,000–$130,000 / yearSupport the broader employee compliance program, including in the areas of employee onboardings/terminations, personal trading, outside business activities, gifts and entertainment, political contributions, exchange registrations, social media, electronic communications, and continuing education. All resumes, and any other information identifying potential candidates, submitted to any employee at Flow Traders via-email, the Internet or directly without a valid and signed search agreement will be deemed free to contact by Flow Traders without any restrictions and no placement fee of any kind will be paid in the event the candidate is hired by Flow Traders.
NewChief Compliance Officer Community Bank, N.A.Chief Compliance OfficerSyracuse, NYDevelop, document and maintain a compliance program that includes: risk assessments; development and maintenance of applicable policies and procedures and guidelines; and monitoring, testing and reporting protocols that are appropriately tailored to prevent, detect and correct specific compliance risks. Ancillary Duties: As the leader of Consumer Compliance and a member of the Risk Management Group, this person is responsible for achieving the function's goal of measuring, monitoring and controlling the Bank's residual exposure to compliance risk.
Private Markets Compliance Officer - Senior Analyst/Associate KKR & Co IncPrivate Markets Compliance Officer - Senior Analyst/AssociateNew York, NY$115,000–$150,000 / yearMonitoring compliance with regulatory guidance for all aspects of the KKR's private markets investing business, including assisting with transactional due diligence and managing anti-bribery, anti-corruption and anti-money laundering processes for fund transactions, trading (including best execution), investor reporting, and regulatory filings. The successful candidate will support Firm-wide compliance operations and initiatives by managing policies, processes, controls, disclosure obligations, technology systems, and partnering with business leaders to identify and mitigate legal, regulatory, operational and reputational risks.
["Compliance Officer (Distribution Marketing)","Compliance Officer (Distribution Marketing)"] Franklin Resources, LLC.["Compliance Officer (Distribution Marketing)","Compliance Officer (Distribution Marketing)"]New York$130,000–$150,000 / yearWe also offer a comprehensive benefits package, which includes a range of competitive healthcare options, insurance, and disability benefits, employee stock investment program, learning resources, career development programs, reimbursement for certain education expenses, paid time off (vacation / holidays / sick / leave / parental & caregiving leave / bereavement / volunteering / floating holidays) and a motivational wellbeing program. This person will achieve this by advocating for and owning key compliance review processes, leading improvements, resolving issues and driving marketing content changes to keep up with evolving regulatory requirements.
NewSenior Compliance Manager and Privacy Officer IdbnySenior Compliance Manager and Privacy OfficerNew York City, New YorkIn addition to base salary, our total rewards package also includes eligibility for an annual bonus, medical, pharmacy, dental, and vision plans, life and disability insurance, employee wellness program, retirement and savings plans with employer contributions, generous holiday and paid time off schedules, parental leave, and tuition reimbursement. 5 plus years’ experience of increasing responsibility working for either a regulatory agency examining banks or in a bank within the Compliance or Legal Departments providing advice and/or guidance on banking regulations and laws.
Senior Compliance Officer - Capital Markets PJT PartnersSenior Compliance Officer - Capital MarketsNew York, NY$175,000–$200,000 / yearOur team of senior professionals delivers a wide array of strategic advisory, shareholder advisory, restructuring and special situations and private fund advisory and placement services to corporations, financial sponsors, institutional investors and governments around the world. We also provide, through PJT Park Hill, private fund advisory and fundraising services for alternative investment managers, including private equity funds, real estate funds and hedge funds.
Private Markets Compliance Officer - Senior Analyst/Associate KKR & Co. Inc.Private Markets Compliance Officer - Senior Analyst/AssociateNew York, NY$115,000–$150,000 / yearMonitoring compliance with regulatory guidance for all aspects of the KKR's private markets investing business, including assisting with transactional due diligence and managing anti-bribery, anti-corruption and anti-money laundering processes for fund transactions, trading (including best execution), investor reporting, and regulatory filings. The successful candidate will support Firm-wide compliance operations and initiatives by managing policies, processes, controls, disclosure obligations, technology systems, and partnering with business leaders to identify and mitigate legal, regulatory, operational and reputational risks.
Chief Risk and Compliance Officer Syracuse UniversityChief Risk and Compliance OfficerSyracuse, NYEducation, Reporting and Engagement - Prepares and delivers risk, ethics, and compliance dashboards; annual compliance plans; investigation and trend analyses; program maturity and effectiveness assessments; emerging regulatory updates; performance metrics; and written reports for the Audit and Risk Committee of the Board of Trustees and senior leadership, ensuring clear, accurate, and timely communication of key institutional risks and compliance obligations. The Chief Risk and Compliance Officer works with University leadership and internal stakeholders to evaluate strategic, operational, reputational, and compliance risks and to advance effective mitigation strategies that strengthen institutional resilience.
Principal, Legal Compliance (Ethics & Compliance Officer) L3Harris Technologies IncPrincipal, Legal Compliance (Ethics & Compliance Officer)Rochester, NY$133,000–$247,000 / yearGlobal Trade Technical Senior Specialist Legal Port Hueneme, California, Fort Wayne, Indiana, Herndon, Virginia, Northampton, Massachusetts, Camden, New Jersey, Greenville, Texas, Anaheim, California, Fall River, Massachusetts, Clifton, New Jersey, Rockwall, Texas, Colorado Springs, Colorado, North Amityville, New York, Waco, Texas, Rochester, New York. Essential Functions: Internal Investigations: Conduct thorough internal investigations, including document reviews, interviews, and data analysis, including privileged internal investigations conducted under the supervision and direction of in-house and/or outside counsel; strategically plan each phase of investigations and effectively manage the logistics of travel, appointment scheduling, and timely escalation and reporting.
Trade Compliance Officer Bloomberg LPTrade Compliance OfficerNew York, NY$180,000–$215,000 / yearPartner with Engineering, Product, Chief Technology Office (CTO), Chief Information Security Office (CISO), and other relevant technical teams to ensure accurate export classifications of products and solutions and implement controls to restrict access for prohibited or export-restricted parties. We'll Trust You To: Manage and support regional trade compliance activities, including: o Conduct Export Control Classification Number (ECCN) (particularly with a focus on software, technology, and related items), and Harmonized Tariff Schedule (HTS) determinations.
["Compliance Officer","Compliance Officer"] Man Group["Compliance Officer","Compliance Officer"]New York$130,000–$150,000 / yearThe Compliance team provides a second line of defense, their role includes providing oversight and guidance on the Firm's compliance with applicable rules, regulations and internal policies and procedures including working with other areas of the Firm to devise and maintain appropriate systems and controls for the Firm. Powered by talent and advanced technology, our single and multi-manager investment strategies are underpinned by deep research and span public and private markets, across all major asset classes, with a significant focus on alternatives.
Senior Compliance Officer, Prudential Regulation Compliance (Reg W, Reg O, Anti-tying) KeyCorpSenior Compliance Officer, Prudential Regulation Compliance (Reg W, Reg O, Anti-tying)Albany, NY$96,000–$181,000 / yearThe Senior Compliance Officer, Horizontal Compliance is responsible for assisting the applicable Compliance Executive in overseeing compliance risk mitigation and discouraging actions that may expose KeyCorp and its subsidiaries to regulatory, compliance, or reputational risks in excess of Keys risk tolerance. This position will be responsible for compliance oversight of Regulation W, Regulation O, and Anti-tying regulations, including serving as the second line of defense point of contact for Finance and Law Group Material Business Units.
Compliance Officer - Home Lending Compliance KeyCorpCompliance Officer - Home Lending ComplianceAmherst, NYThey will provide consultative advice to applicable lines of business related to compliance, perform oversight activities and assume responsibility for mitigating and discouraging actions that may expose KeyCorp and its affiliates to risk outside its desired risk appetite. They will provide support to the Mortgage and Home Equity Origination lines of business by researching, interpreting, and assisting with applying the assigned laws and regulations to each applicable line of business processes and systems.
Compliance Officer Flow TradersCompliance OfficerNew York, NY$95,000–$130,000 / yearSupport the broader employee compliance program, including in the areas of employee onboardings/terminations, personal trading, outside business activities, gifts and entertainment, political contributions, exchange registrations, social media, electronic communications, and continuing education. All resumes, and any other information identifying potential candidates, submitted to any employee at Flow Traders via-email, the Internet or directly without a valid and signed search agreement will be deemed free to contact by Flow Traders without any restrictions and no placement fee of any kind will be paid in the event the candidate is hired by Flow Traders.
["Compliance Officer","Compliance Officer"] D. E. Shaw &["Compliance Officer","Compliance Officer"]New York$140,000–$180,000 / yearThe D. E. Shaw group may collect, use, hold, transfer, and process candidates' resumes and associated information (including personal information contained therein) for purposes reasonably related to their application, including without limitation: review and management of employment applications and supporting materials; administration and management of offers to and communication with candidates; and administration, management, and improvement of the recruiting operations of the D. E. Shaw group; and/or where reasonably required in connection with a proposed sale, spin-out, reorganization, or outsourcing of all or some of the business of the D. E. Shaw group. The D. E. Shaw group may transfer such personal information within and outside the country and jurisdiction of the locations where the D. E. Shaw group maintains offices, to other D. E. Shaw group affiliates, to government and regulatory authorities, and to third parties which provide or may provide support and/or services to the D. E. Shaw group and for the purposes set forth above.
Broker Dealer Compliance Officer Remote CXG Holdings IncBroker Dealer Compliance Officer RemoteSmithtown, NYRemote$40–$60 / hourFull timeCompliance Exchange Group (CXG) is the market leader in providing a complete turn-key service for Broker Dealers including CMA / NMA services, buying, selling and building Broker Dealers. This includes principal outsourcing on all levels, including CCO, FINOP, CEO, and developing regulatory compliance systems to satisfy FINRA, SEC, state and federal regulators.
Fractional Chief Compliance Officer FraxionalFractional Chief Compliance OfficerNew York, NYRemote$75–$100 / hourKey Responsibilities: Responsibilities vary by client need, but may include the following: Compliance Program Development: Design, implement, and maintain comprehensive compliance programs that align with federal and state healthcare regulations, including HIPAA, Stark Law, Anti-Kickback Statute, and fraud and abuse laws. Regulatory Liaison: Serve as the primary point of contact for regulatory agencies, ensuring timely and accurate responses to inquiries and maintaining positive relationships.
["Compliance Officer (Hybrid)","Compliance Officer (Hybrid)"] Atlantic Group["Compliance Officer (Hybrid)","Compliance Officer (Hybrid)"]New York$130,000–$160,000 / yearCollaborate with internal teams and service providers to maintain a robust compliance culture while managing key projects, regulatory filings, and compliance training initiatives. Technical Skills: Strong knowledge of the Investment Advisers Act of 1940 and the Code of Ethics, with required familiarity with the SEC Marketing Rule.
Corporate Vice President - Compliance Officer New York Life Insurance CoCorporate Vice President - Compliance OfficerNew York, NY$135,000–$160,000 / yearThe AML function supports a diverse portfolio of businesses, including life and annuity products, retail broker-dealer and investment advisory services through NYLIFE Securities and Eagle Strategies, mutual funds and distributor relationships, and oversight of affiliated U.S. and international asset management businesses. The AML Compliance Officer will serve as a key member of the AML leadership team - supporting the Enterprise AML Compliance Officer across program strategy, policy, sanctions compliance, transaction monitoring, training, and regulatory readiness, while taking meaningful ownership of key program components.
Chief Compliance Officer (CCO) for Truist Investment Services, Inc. and Truist Advisory Services, Inc. Truist Financial CorpChief Compliance Officer (CCO) for Truist Investment Services, Inc. and Truist Advisory Services, Inc.New York, NY$200,000–$290,000 / yearRIA expertise and coordination: Provide compliance leadership for advisory activities within an SEC-registered RIA framework (including Advisers Act obligations such as disclosures, conflicts management, Code of Ethics oversight, and best execution), and coordinate broker-dealer/RIA requirements to promote consistent client outcomes and a cohesive control environment. Please review the following job description: The Chief Compliance Officer (CCO) for Truist Investment Services, Inc. and Truist Advisory Services, Inc. is responsible for leading an integrated broker-dealer and SEC-registered registered investment adviser (RIA) compliance program and serving as the primary regulatory-facing executive for the firms.
["Maryland Compliance Officer - Columbia, MD","Maryland Compliance Officer - Columbia, MD"] Genoa Telepsychiatry["Maryland Compliance Officer - Columbia, MD","Maryland Compliance Officer - Columbia, MD"]Columbia$112,700–$193,200 / yearProven ability to effectively deal with ambiguity - can effectively cope with change, can shift gears comfortably, can decide and act without having the total picture, comfortably handles risk and uncertainty in a manner consistent with UnitedHealth Groups core values, culture and common language of leadership. Ability to flex by working across different markets with varying needs and expectations, as well as across the broader national compliance teams and various compliance program focus areas as needed.