742 Results for

Compliance Officer Jobs in Staten Island, NY

Jobs

Brooklyn, NY

$275,000–$300,000 / year

Information 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.

3 days ago

Cranford, NJ

Remote

$160,000–$175,000 / year

Information 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. This is a high-impact role for an experienced accounting professional who is passionate about leveraging cutting-edge technology to deliver controller and CFO-level services to a diverse client portfolio.

3 days ago

New York, NY

$190,000–$230,000 / year

Reporting directly to the Chief Executive Officer (CEO), the CFO will manage financial planning, budgeting, accounting operations, grant and contract fiscal management, and financial reporting to support organizational goals and compliance requirements. The Chief Financial Officer (CFO) is responsible for overseeing and directing the overall financial operations of the Client Health Center.

30+ days ago

New York, NY

Remote

$200,000–$340,000 / year

li>Advanced knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Act of 1933, and Securities Exchange Act of 1934 is required, with knowledge of bank non-deposit investment product requirements, OCC Regulation 9, and ERISA regulations.

Advance compliance programs that focus on regulatory requirements across applicable regulatory regimes, including: the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Act of 1933, Securities Exchange Act of 1934, and OCC Regulation 9.

2 days ago

Jersey City, NJ

Remote

$99,000–$176,000 / year

CRR also serves as an internal advisor to lending units and credit administration / risk management to identify, recommend and effect process changes regarding credit risk management activities, regulatory issues related to credit risk, credit policy, and general credit underwriting guidelines; identifies current or potential problems regarding the assessment of credit risk and the administration of Bank credit/loan exposure; analyzes and monitors the quality of various retail and commercial credits that represent the wide range of credit products offered by the Bank.

Performs risk based independent reviews of all types of CNB loan portfolios (including quality assurance document and underwriting reviews) to identify current or potential problems, as well as positive elements, regarding the assessment of credit risk and the administration of Bank credit/loan exposure.

2 days ago

New Brunswick, NJ

$275,000–$300,000

p> 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.
Canadian residents may access our policies in English here and in French here.

1 day ago

Monmouth Junction, NJ

$200,000–$300,000

This role requires deep expertise in construction accounting, including WIP, AIA billing, job costing, and percentage-of-completion revenue recognition.

Must-Have Qualifications

Prior CFO experience or currently serving as a CFO (highly preferred). Vaco/Highspring does not have knowledge of the tools used by its clients in making final hiring decisions and cannot opine on their use of AI products.
Vaco by Highspring values a diverse workplace and strongly encourages women, people of color, LGBTQ+ individuals, people with disabilities, members of ethnic minorities, foreign-born residents, and veterans to apply.

1 day ago

Newark, NJ

$94,300–$94,300 / year

p>· 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.

Essential and marginal functions may require maintaining physical condition necessary for bending, stooping, sitting, walking, or standing for prolonged periods of time; most of the time spent sitting will be in a transportation vehicle with limited opportunity to move about.

30+ days ago

Newark, NJ

$37.60–$37.60 / hour

Paragon 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.

30+ days ago

Brooklyn, NY

$300,000–$350,000 / year

Our 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.

4 days ago

$160,000–$228,500 / year

NYLIFE 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.

22 days ago

$255,000–$300,000 / year

p> Advise business teams on regulatory requirements related to futures, event contracts, and options on futures, including new product launches and updates to existing offerings. The team ensures adherence to Commodity Futures Trading Commission (CFTC) and National Futures Association (NFA) requirements while supporting the compliant launch of new products.

30+ days ago

New Jersey, NY

Remote

This role ensures compliance with federal and state financial regulations including AML/BSA, UDAAP, SEC/FINRA (where applicable), and multi state licensing requirements. The Chief Compliance Officer (CCO) provides enterprise wide regulatory governance and oversight across US FinTech operations.

9 days ago

New York, NY

$270,000–$300,000 / year

Proven people leadership and people-management skills — the ability to build, motivate, and develop a high-performing compliance team, hold people accountable in a constructive way, and create an environment where talent wants to grow. Strong AI literacy and genuine enthusiasm for working in an organisation where AI is central to the product and operational model — the CCO must be comfortable engaging with AI tools directly, forming views on their regulatory implications, and shaping how AI is deployed responsibly.

6 days ago

NEW YORK, NY

$90,000–$105,000 / year

p>We are seeking a highly organized, proactive, and versatile professional to serve as Executive Assistant to Chief Compliance Officer for Credit Agricole CIB Americas (CCO). • Oversee daily office operations, ensuring the office runs smoothly and efficiently by handling tasks such as managing supplies, workstations, and coordinating maintenance.

30+ days ago

Jersey City, NJ

$102,000–$171,500 / year

p>In this role, you'll make an impact in the following ways:

Experienced Senior Compliance Officer to act as a strategic partner to business leaders responsible for development of advisory tech for the wealth management industry. Every day, our teams harness cutting-edge AI and breakthrough technologies to collaborate with clients, driving transformative solutions that redefine industries and uplift communities worldwide.

15 days ago

New York, NY

$175,000–$225,000 / year

We provide innovative financial solutions through our Wealth Management, Investment Banking & Capital Markets, and Multi Asset Clearing and Prime services divisions. Develop and administer the AML transaction monitoring systems to ensure appropriate parameters are in place to identify suspicious transactions and activity.

30+ days ago

Hoboken, NJ

$270,000–$300,000 / year

Proven people leadership and people-management skills - the ability to build, motivate, and develop a high-performing compliance team, hold people accountable in a constructive way, and create an environment where talent wants to grow. Strong AI literacy and genuine enthusiasm for working in an organisation where AI is central to the product and operational model - the CCO must be comfortable engaging with AI tools directly, forming views on their regulatory implications, and shaping how AI is deployed responsibly.

3 days ago

Jersey City, NJ

$115,000–$150,000 / year

Working closely with the Global Head of Financial Crime and US Chief Compliance Officers, you will support the delivery of financial crime compliance initiatives across Tradeweb's global business lines, helping to ensure the firm meets its regulatory obligations and manages financial crime risk effectively.

Tradeweb plays a central role in modernizing market structure by developing innovative trading protocols, embedding analytics into execution, and building technology infrastructure that supports the convergence of traditional and digitally native financial markets.

30+ days ago

Ridgefield Park, New Jersey

$120,000–$130,000

Tasks will include visiting pharmacy sites for mock inspection, authoring and updating internal policies and manuals, completing annual attestations for all locations, answering compliance and regulatory questions, and helping to obtain and maintain JCAHO accreditation for all sites. SpecialtyRx is an innovative, full-service pharmacy who partners with subacute and long-term care facilities throughout the United States, transforming drug care by facilitating the complete medication dispensing process.

3 days ago

New York, New York

Assist with developing, implementing, and coordinating the Compliance Oversight program, including evaluating program design elements, analyzing Risk Owner testing and monitoring routines contributing to Compliance coverage plans, and enhancing and implementing key program elements.

16 days ago

$180,000–$240,000 / year

The Vice President, Registered Fund Compliance Officer will be responsible for maintaining and enhancing the compliance program for Wilshire's registered fund complex, including mutual funds, a variable insurance trust (VIT), and an interval fund. This role serves as a key compliance resource to the fund boards and works closely with internal stakeholders and sub-advisors to ensure adherence to the Investment Company Act of 1940 (the "40 Act") and applicable SEC regulations.

20 days ago

$145,000–$160,000 / year

You'll gain unparalleled visibility through regular senior leadership presentations, develop sophisticated regulatory expertise across banking compliance domains, and build executive communication skills that accelerate career advancement into Compliance, Risk, or Internal Audit leadership roles. The combination of strategic impact, cross-functional exposure, investigative problem-solving, and the professional development infrastructure of a global banking platform like CACIB makes this the ideal next step for building a high-trajectory career in financial services compliance.

29 days ago

$29,064–$31,537 / year

Integrated Passenger Transport is responsible for the delivery of the following services across North Yorkshire:

Home to School Transport and Health and Social Care Transport,
Local & Community Transport Bus Services, Bus Information and Infrastructure, Transport Policy, ENCTS,
Transport Operator Performance and Contract Compliance.
As a North Yorkshire Council employee, you will have access to some great benefits via our everybody benefit's scheme such as shopping discounts, home technology and green car salary sacrifice schemes, financial wellbeing and health assured and our employee assistance programme to assist with your health and wellbeing.

6 days ago

New York, NY

$100,000–$135,000 / year

Specifically, the Data Quality Team works with TDS Chief Data Officer (CDO), Data and Delivery Initiatives (DDI) team, Compliance Technology, First-Line Risk and Control, and Front Office Technology to deliver a Surveillance data quality framework that includes: policies and procedures for effective data governance. Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions.

30+ days ago

Newark, NJ

Assist with drafting audit reports and associated administrative fine paperwork to support the issuance of Notices of Intent to Fine, Final Orders, Warning Notices and other related documentation for HSI audits related to the employment eligibility verification process. The role assists in reviewing employment eligibility documentation, conducting database research, and preparing audit-ready case files and reports that support administrative enforcement actions and related determinations.

3 days ago

New York, NY

$150,000–$175,000 / year

strong>Senior Compliance Officer

A global financial services firm is seeking a Senior Compliance Officer to provide real-time advisory support to its Futures Commission Merchant (FCM) business, including Introducing Brokers (IBs), Guaranteed Introducing Brokers (GIBs), and Swap Dealer activities. This role partners closely with front office teams, delivering practical, risk-based compliance guidance across trading and business operations.

30+ days ago

New York, NY

$125,000–$175,000

19 days ago

New York, NY

$156,625–$223,190 / year

Computershare (ASX: CPU) is a global market leader in transfer agency and share registration, employee equity plans, mortgage servicing, proxy solicitation and stakeholder communications. Founded in 1978, Computershare is renowned for its expertise in high integrity data management, high volume transaction processing and reconciliations, payments and stakeholder engagement.

30+ days ago

New York, NY

$125,000–$175,000 / year

The role will primarily focus on Surveillance (Trade Activity and Communications) across a range of asset classes (Cash Equity, Fixed Income, Commodities, Derivatives (Futures, Options, Swaps)) on multiple exchanges, trading platforms and venues with an opportunity to gain exposure to a wider range of compliance activities at a market-leading firm. 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.

17 days ago

$150,000–$180,000 / year

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.

Purpose of Role:

Marex is seeking a Senior Compliance Officer - FCM Advisor who will provide compliance advisory services for FCM as well as related Introducing Brokers (IBs), Guaranteed Introducing Broker (GIBs), and Swap Dealers.

30+ days ago

$125,000–$175,000 / year

The role will primarily focus on Trade Surveillance (Trade Activity and Communications) across a range of asset classes (Cash Equity, Fixed Income, Commodities, Derivatives (Futures, Options, Swaps)) on multiple exchanges, trading platforms and venues with an opportunity to gain exposure to a wider range of compliance activities at a market-leading firm. 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.

6 days ago

NY, NY

$150,000

Growing Asset Management client is seeking a Senior Compliance Officer that will lead its trade compliance function and provide real-time advisory support to trading teams across products, strategies, and regions. Provide on-desk advisory guidance on Rule 105 of Regulation M, Regulation SHO, cross trades, trade allocations, best execution, MNPI, and ERISA considerations.

30+ days ago

New York, NY

$145,000–$185,000

It is provided to help job seekers understand the responsibilities and qualifications typically associated with compliance, regulatory, and risk management roles in investment and corporate finance. Estimated Compensation: $145,000 – $185,000 total annual compensation (varies by employer).

10 days ago

New York, NY

$191,000–$305,000 / year

Deep expertise in broker-dealer compliance frameworks with a strong focus on Equities Finance activities, including Knowledge of rules and regulations applicable to short sales, securities lending, portfolio margining, listed options position limits, Large Options Position Reporting, electronic blue sheets, Regulation T, and SEC Rule 15c3-3. The Senior Lead Compliance Officer will provide compliance coverage for Prime Brokerage, while extending support across Cash Equities and broader broker-dealer activities, partnering closely with business leadership to deliver regulatory guidance, governance oversight, and strategic direction as the platform scales.

21 days ago

New York, NY

$200,000–$290,000 / year

RIA 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.

30+ days ago

New York, NY

$150,000–$185,000 / year

Purpose of Role: Marex is a seeking a Broker-Dealer Compliance Advisor (focusing on Equities and Options) who is meant to be a subject matter expert in U.S. Broker-Dealer regulation providing compliance advisory services, with a strong background on Equities and 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.

30+ days ago

New York, NY

$90,000–$150,000 / year

Founded in 1998, Fortress manages assets on behalf of approximately 2,000 institutional clients and private investors worldwide across a range of credit and real estate, private equity and permanent capital investment strategies. The investment model emphasizes deep industry and asset class specific research along with substantial data analysis as a backdrop to formulating opinions on attractive transactions and deal structures.

30+ days ago

New York, NY

$191,000–$305,000 / year

They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. Expert-level knowledge of compliance program operations including compliance risk assessment, compliance monitoring programs, compliance issues management, and compliance risk data architecture and technology platforms commensurate with large financial institution independent risk management programs.

30+ days ago

New York, NY

$191,000–$305,000 / year

21 days ago

New York, NY

$175,000–$200,000 / year

Required Background & Skills: Ideally applicants should have the following skills and exposure: Experience working in a Control Group and Investment Banking advisory and/or Research advisory function in an International Investment Bank. Jefferies is a leading global, full-service investment banking and capital markets firm that provides advisory, sales and trading, research, and wealth and asset management services.

30+ days ago

$105,000–$235,000 / year

p>Tradeweb plays a central role in modernizing market structure by developing innovative trading protocols, embedding analytics into execution, and building technology infrastructure that supports the convergence of traditional and digitally native financial markets.

Tradeweb is seeking a mid level Compliance Officer with expertise in data privacy, privacy by design, and AI governance to lead the organization''s efforts in embedding privacy and privacy related AI practices across business operations.

7 days ago

$150,000–$250,000 / year

You will play a key role in navigating US regulatory frameworks, designing and implementing compliance infrastructure, and supporting licensing efforts including potential: CFTC SEF (Swap Execution Facility) registration. This is a hands on role, requiring a willingness to roll up sleeves across policy drafting, regulatory engagement, operational implementation, and ongoing compliance execution.

22 days ago

$175,000–$200,000 / year

Our firm is designed for cross-platform collaboration at scale: we build businesses, invest for growth, acquire assets, provide direct financing, identify value in public markets, purchase royalty streams, and regularly develop first-of-their-kind structures to meet the strategic objectives of management teams. The Compliance Officer will also drive key compliance-related projects and initiatives, including those pertaining to Sixth Street's Global Capital Markets platform, compliance testing, training, regulatory filings, and designing, implementing and advising on policies and procedures.

19 days ago

New York, New York

Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions.

24 days ago

New York, New York

24 days ago

$170,000–$180,000 / year

p>Ensure the Firm meets its obligations pursuant to key regulations related to equities trading, including but not limited to, electronic and algorithmic trading, Reg ATS, REG NMS, Market Access, Regulatory Reporting (CAT, TRF, Rules 605 and 606), Order Routing and Best Execution;

Manage and respond to regulatory examinations, investigations, and inquiries related to the firm's equities businesses;

Ensure timely filing of regulatory reports and updates to Forms ATS-N and ATS-R and respond to any regulatory inquiries;

Work collaboratively with cross-functional teams as needed (e.g., Legal, Compliance, Client On-Boarding, Risk, AML Office, Marketing, and Information Security);

Conduct periodic assessments and other reviews to identify and remediate potential gaps;

Draft and revise policies, WSPs, and controls as needed;

Operate and execute specific controls owned by the Compliance Function;

Provide accurate and timely advice to the Business and other functions, including inquiries and escalations from various trading and operations staff;

Develop and enhance supervisory reports as needed;

Analyze rule proposals and amendments to assess business impact and ensure proper implementation of any final rules;

Review and advise on new business initiatives;

Conduct periodic training;

Identification of risks and risk mitigation solutions; and.

Essential:

In-depth knowledge of Reg ATS, Reg NMS, and Regulatory Reporting Requirements related to equities trading (e.g., CAT, TRF);

5-10 years of experience supporting equities compliance at a broker-dealer;

College degree required, and.

30+ days ago

New York, New York

Advise on Cerberus-related compliance matters including (i) management incentive plan approvals, (ii) management-fee offsets, and (iii) employee matters including moves between Cerberus and portfolio companies, among Cerberus affiliates, and of full-time employees to consulting roles (and vice versa). The role will involve participation in all stages of the investment lifecycle including pre-acquisition diligence, advising companies in the adoption of compliance policies and procedures, monitoring, testing, and mitigation during the course of an investment, and reverse-diligence and sale-readiness on exit.

30+ days ago

$81,400–$151,800 / year

The role provides compliance advisory services, coordinates and performs ongoing risk assessment, monitoring and surveillance activities to ensure that the Compliance Program remains current and aligned with the Firm's Enterprise-wide Compliance Program.

This role provides real-time guidance to Capital Markets management on implications of new regulatory policies or Bank products and assists in the implementation of new or revised policies and programs to address them.

21 days ago

New York, NY

$150,000–$185,000

30+ days ago

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Compliance Officer Jobs in Staten Island, NY

CFO Jobot

REMOTE - Controller - CFO Services / Outsourced Accounting Jobot

Chief Financial Officer Engage Partners, Inc.

Head of Wealth Management Compliance City National Bank City National Bank

Senior Credit Risk Review Officer City National Bank

Chief Financial Officer Vaco LLC

CFO Vaco LLC

Lead Armed Transportation Officer PARAGON PROFESSIONAL SERVICES LLC

Armed Security Transportation Officer PARAGON PROFESSIONAL SERVICES LLC

Senior Obstetrician & Patient Safety Officer (Labor & Delivery) NYU Grossman School of Medicine

Deputy Chief Compliance Officer, Corporate Vice President New York Life Insurance Co

Chief Compliance Officer, RHD Robinhood Markets Inc

Chief Compliance Officer (CCO) – US FinTech MastarRec

Chief Compliance Officer (CCO) eToro

Executive Assistant - Chief Compliance Officer Americas Credit Agricole SA

Senior Vice President, Compliance Officer The Bank of New York Mellon Corp

Vice President, AML Compliance Officer Wedbush Securities

Chief Compliance Officer (CCO) eToro Group Ltd

Financial Crime Compliance Officer Tradeweb Markets Inc

Compliance Officer SpecialtyRx

Sr. Compliance Officer (Associate) - Compliance Oversight Program - TD Securities (US) TD Bank

Vice President, Registered Fund Compliance Officer Wilshire Advisors, LLC

Compliance Testing and Monitoring Officer Credit Agricole SA

Compliance Officer North Yorkshire County Council

Trade Surveillance - Data Quality Associate (Sr. Compliance Officer) - TD Securities (US) The Toronto-Dominion Bank

Junior Compliance Officer/Auditor SGI Global, LLC

Futures Compliance Officer Phaxis LLC

Senior Compliance Officer - Trade Surveillance - VN2849 Marex

Chief Compliance Officer US Computershare Ltd

Compliance Officer - Surveillance - VN2849 MAREX Group Limited

Senior Compliance Officer - FCM Advisor - VN2537 MAREX Group Limited

Compliance Officer - Trade Surveillance - VN2849 MAREX Group Limited

Senior Compliance Officer - Asset Management Phaxis

Compliance Officer Initio Capital

Senior Lead Compliance Officer - Prime Brokerage & Equities Wells Fargo & Co

Chief Compliance Officer (CCO) for Truist Investment Services, Inc. and Truist Advisory Services, Inc. Truist Financial Corp

Compliance Officer Broker-Dealer Advisor Equities and Options - VN2750 MAREX Group Limited

Surveillance Compliance Officer Fortress Investment Group LLC

Senior Lead Compliance Officer - CIB Wells Fargo & Co

Senior Lead Compliance Officer - Futures Commission Merchant (FCM) - Executive Director Wells Fargo & Co

Compliance Officer, Control Room VP Jefferies Financial Group Inc

Privacy and AI Governance Compliance Officer Tradeweb Markets Inc

US Compliance Officer LMAX Exchange Group Ltd

Compliance Officer Sixth Street Specialty Lending Inc

Senior Compliance Officer - Monitoring and Testing (Associate) - TD Securities (US) TD Bank

Sr. Compliance Officer - Monitoring & Testing (Associate) - TD Securities (US) TD Bank

Equities Compliance Officer TP ICAP Group plc

Vice President, Compliance Officer Cerberus Capital Management

Capital Markets, Senior Compliance Officer Bank of Montreal

Compliance Officer, Broker-Dealer Advisor (Equities and Options) - VN2750 Marex

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