Nurse Practitioner - Cardiology Columbia UniversityNurse Practitioner - CardiologyNew York, NYThe Nurse Practitioner will work collaboratively with physicians, APP peers, registered nurses, other members of the care team, and administrative support staff to deliver safe, evidenced-based, patient-centered care. . Order and interpret diagnostic tests, prescribe pharmacologic and non-pharmacologic treatments, and administer point-of-care testing, vaccinations, and medication administrations as part of cardiovascular services.
Divisional Control Office (DCO), Investment Bank (Non-Financial Risk & Regulatory Adherence) - Vice President Deutsche BankDivisional Control Office (DCO), Investment Bank (Non-Financial Risk & Regulatory Adherence) - Vice PresidentNew YorkThe role combines hands-on ownership of Risk & Control Assessment (RCA) execution, regulatory remediation and governance, and forward-looking regulatory readiness, with strong expectations for stakeholder management, thought leadership, and delivery discipline consistent with a VP-level appointment. This Vice President role sits within the Americas Investment Bank Divisional Control Office (DCO) and is responsible for the end-to-end management of non-financial risk, regulatory adherence, and divisional controls across Investment Bank businesses.
Assistant Chief Investigator Manhattan District Attorney's OfficeAssistant Chief InvestigatorNew York, NY$165,000–$185,000 / yearIn addition to the Minimum Qualification Requirements, candidates must possess the following: A baccalaureate degree from an accredited college and four years of full-time experience in the performance of criminal investigations, 18 months of which must have been in an administrative, managerial, executive, or supervisory capacity; Education and/or experience equivalent to "1" above. Must possess a valid certificate of completion from a New York State Basic Course for Police Officers academy or must be eligible to attend and successfully complete a Police Officer refresher course.
Managing Consultant - Financial Institution Advisory Berkeley Research GroupManaging Consultant - Financial Institution AdvisoryNew York, Illinois$115,000–$160,000 / yearThe work will involve both execution and oversight of engagement work streams that often combine qualitative and quantitative analyses, and responsibilities include business process reviews, current state and independent assessments, risk assessments, developing roadmaps to enhance compliance, assisting clients with technology enablement and dashboard reporting, investigations, mentoring, and coaching junior staff, quality control, developing and presenting client deliverables, managing client relationships, and conducting industry research. BRG’s Financial Institution Advisory (FIA) practice specializes in helping financial institutions (including banks, broker dealers, and money services businesses), governments and regulatory bodies, and fintech firms solve pressing industry and regulatory issues.
Sr. Program Integrity Analyst Homecare Software Solutions LLCSr. Program Integrity AnalystNYRemote$155,000–$165,000 / yearThis role sits at the intersection of investigative analysis, product development, and customer engagement - serving as the domain expert who grounds product development in operational and regulatory reality, ensuring that detection logic is clinically sound, investigatively credible, and directly actionable by the customers who rely on it to protect public funds and program integrity. The Sr Program Integrity Analyst is a key member of HHAeXchange's growing Program Integrity function, responsible for identifying fraud, waste, and abuse patterns in Medicaid home and community-based care data and translating those findings into scalable detection capabilities embedded within the HHAeXchange platform.
Senior Director, International Risk Oversight SofiSenior Director, International Risk OversightNew York City, NY$195,200–$335,500 / yearThis leader will serve in a Business Unit Risk Officer (BURO)-style capacity, partnering closely with business, compliance, legal, and functional risk teams to establish scalable governance frameworks for international expansion and consumer financial products. Lead IRM deal teams in partnership with Business Compliance Officers and cross-functional risk partners to deliver a holistic second-line risk perspective on new products, strategic initiatives, and expansion activities.
Legal & Compliance Executive Assistant and Operations Coordinator Soros Fund ManagementLegal & Compliance Executive Assistant and Operations CoordinatorNew York, NY$100,000–$125,000 / yearWe support all aspects of SFM’s business including providing advice and counsel to senior management, negotiating complex investment transactions, drafting and reviewing contracts, managing disputes and litigation, and ensuring compliance with applicable laws and regulations. The ideal candidate will blend strong executive assistant skills with the ability to coordinate departmental operations, manage projects, and improve processes.
Claims Advisor, Professional Liability | Medical Malpractice Sedgwick Claims Management Services, Inc.Claims Advisor, Professional Liability | Medical MalpracticeNY$100,000–$125,000 / yearDesignations and/or licensing including but not limited to Bachelor of Science in Nursing, Legal Nurse Consultant, Associate in Claims (AIC), Chartered Property and Casualty Underwriter (CPCU), Associate in Risk Management (ARM), Associate in Insurance Claims (AIC), Certified Professional in Health Care Risk Management (CPHRM) preferred. Skills: In-depth knowledge of appropriate medical malpractice insurance principles and laws for line-of-business handled, recoveries offsets and deductions, claim and disability duration, cost containment principles including medical management practices and Social Security application procedures as applicable to line-of-business.
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.
NewPublic Compliance Officer TuringPublic Compliance OfficerNew York, New YorkRemote$100–$150Turing supports customers in two ways: first, by accelerating frontier research with high-quality data, advanced training pipelines, plus top AI researchers who specialize in coding, reasoning, STEM, multilinguality, multimodality, and agents; and second, by applying that expertise to help enterprises transform AI from proof of concept into proprietary intelligence with systems that perform reliably, deliver measurable impact, and drive lasting results on the P&L. Turing is looking for candidates with strong experience in government and regulatory compliance, particularly at the level expected for compliance officers, auditors, legal analysts, or public policy professionals working within or alongside public institutions.
Compliance Officer Broker-Dealer Advisor Equities and Options - VN2750 MAREX Group LimitedCompliance Officer Broker-Dealer Advisor Equities and Options - VN2750New York, NY$150,000–$185,000 / yearPurpose 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.
Director, Compliance Columbia UniversityDirector, ComplianceNew York, NY$150,000–$160,000 / yearThe Director contributes to the success of CUIMC's mission provides strategic direction and operational leadership for a team of compliance professionals, supports provider education and dispute resolution, and partners closely with Revenue Cycle, Clinical Departments, Legal, and Leadership to mitigate risk and promote compliant billing practices across a large academic medical center. Expert knowledge of the General Compliance Program Guidance issued by the HHS OIG and the DOJ's Evaluation of Corporate Compliance Programs, as well as fraud, waste, and abuse laws (Stark Law, Anti-Kickback Statute, False Claims Act).
Analyst, Compliance Columbia UniversityAnalyst, ComplianceNew York, NY$80,000–$90,000 / yearProvide oversight and perform, as needed, ongoing, risk-based, and ad hoc coding auditing of complex services, across multiple specialties, rendered by physician and non-physician practitioners using current coding guidelines, with attention to Medicare/Medicaid, medical necessity, and NCD/LCD requirements; including but not limited to retrospective audits for established providers and prospective audits for newly onboarded providers to ensure appropriate documentation, coding accuracy, and billing compliance. Support departmental compliance teams by providing advisory guidance and expert knowledge of CPT/HCPCS and ICD-10 guidelines across multiple specialties, as well as teaching facility guidance, professional fee billing, including global surgical package rules, modifier usage, incident-to services, split/shared services, and emerging regulatory changes.
Compliance Officer Sixth Street Specialty Lending IncCompliance OfficerNew York, NY$175,000–$200,000 / yearOur 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.
Compliance Officer - Digital Assets Specialist FLOW TRADERSCompliance Officer - Digital Assets SpecialistAmsterdam, NYAll 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. Ability to act as a trusted advisor to trading teams and to provide pragmatic guidance in ambiguous settings, working closely with Legal and other support / control functions.
ED, Regional Compliance Officer (Northeast) Morgan StanleyED, Regional Compliance Officer (Northeast)Purchase, New Yorkgifts, non-cash compensation, outside business activities, trading, etc.); > Ability to challenge the Business where there is a potential for regulatory or reputational risk; > The ideal candidate will be proactive, have strong verbal and written communications skills, and the ability to prioritize and handle multiple tasks in a fast-paced environment; > Ability to analyze data and identify and escalate key trends, patterns, and root causes; > Evidence strong leadership capabilities or previous supervisory experience; > Ability to work within a team and act independently; > Relevant Wealth Management Business experience; > Proven ability to interact with Financial Advisors and Branch staff in a professional and productive manner; > Excellent judgment and the ability to be discreet in all matters; > Bachelor's Degree required; > Preference for FINRA SIE, Series 7, 9/10, 24, and/or 65/66. > Provide Compliance guidance and advice to Regional Management and Market management on Firm and regulatory policies and procedures; > Participate in senior Compliance management meetings as well as meetings and coordination with senior business leaders in Wealth Management; > Collaborate with Regional Management on high-risk matters identified within the Region (e.g., sales practice issues, conduct matters, outside business activities, and recruits); > Engage with senior stakeholders in Field Management on various issues, including conduct-related matters, policy enhancements, and supervisory functions.
Security Officer Patrol Compliance Allied UniversalSecurity Officer Patrol ComplianceWebster, NYAs an Unarmed Patrol Officer at a food and beverage location, you will monitor and patrol assigned areas, maintain a visible presence to help deter security-related incidents, and provide exceptional customer service and communication. Conduct regular and random unarmed patrols of production areas, warehouses, offices, parking areas, loading docks, and the facility perimeter to help deter unauthorized activity.
Senior Compliance Officer Trade Surveillance - VN2849 MAREX Group LimitedSenior Compliance Officer Trade Surveillance - VN2849New York, NY$125,000–$175,000 / yearThe 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.
Senior Compliance Officer FCM Advisor VN2537 MAREX Group LimitedSenior Compliance Officer FCM Advisor VN2537New York, NY$150,000–$180,000 / yearThe 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.
Compliance Officer - Commercial Servicing Keybank National AssociationCompliance Officer - Commercial ServicingAlbany, NY$71,000–$125,000 / yearAs subject matter expert, the Commercial Compliance Officer- Servicing, will provide consultative advice, 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. The Commercial Compliance Officer- Servicing, will provide loan servicing support to business and commercial lines of business by researching, interpreting and assisting with applying the related laws and regulations.
Compliance Officer - Home Lending Compliance Keybank National AssociationCompliance Officer - Home Lending ComplianceAlbany, NY$71,000–$125,000 / yearThey 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.
Director Regulatory Compliance Nascentia Health IncDirector Regulatory ComplianceSyracuse, NY$108,599–$135,363 / yearThe Director of Regulatory Compliance is responsible for the operational oversight and execution of the organizations compliance, regulatory, audit, and monitoring activities across the Managed Long Term Care (MLTC), Medicare Advantage Dual Eligible Special Needs Plan (MAPD/D-SNP), Certified Home Health Agency (CHHA), Licensed Home Care Services Agency (LHCSA), Article 28 Clinic and other lines of business as applicable. We can address immediate needs, help support positive long term medical and lifestyle choices that provide for better outcomes, leverage cutting edge in-home care technologies, and help avoid unnecessary visits to busy healthcare facilities.
Compliance Officer - Consumer Lending Servicing Keybank National AssociationCompliance Officer - Consumer Lending ServicingAlbany, NY$71,000–$125,000 / yearGeneral Office - Prolonged sitting, ability to communicate face to face in person or on the phone with teammates and clients, frequent use of PC/laptop, occasional lifting/pushing/pulling of backpacks, computer bags up to 10 lbs. Ability to identify and accurately rate/prioritize risks, including the ability to develop creative risk mitigation techniques that keep the bank within its risk appetite while achieving relevant business goals.
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.
Senior Compliance Officer, Prudential Regulation Compliance (Reg W, Reg O, Anti-Tying) Keybank National AssociationSenior 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 Key's 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, Swap Dealer FalconXCompliance Officer, Swap DealerNew York City, NY$132,000–$167,000 / 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. Regulatory Compliance : Ensure compliance with relevant regulations such as the Dodd-Frank Act, Commodity Futures Trading Commission (CFTC) and Securities and Exchange Commission (SEC) regulations, National Futures Association (NFA) rules, and other applicable laws governing swap dealers.
US Compliance Officer LMAX GroupUS Compliance OfficerNew York, NY$150,000–$250,000 / yearYou will play a key role in navigating US regulatory frameworks, designing and implementing compliance infrastructure, and supporting licensing efforts including potential: Digital asset licenses including: NYDFS BitLicense application. 5 –12+ years of experience in financial services compliance, preferably within: Digital Assets, trading venues (SEF, MTF, exchanges) FX or derivatives, Direct experience with US regulators (CFTC, NFA, NYDFS strongly preferred).
Monitoring & Surveillance Compliance Officer (Vice President) Credit Agricole SAMonitoring & Surveillance Compliance Officer (Vice President)NEW YORK, NY$135,000–$165,000 / yearKey Responsibilities:Review and handle communications alerts and pertinent data to assess potential violations of laws, rules, regulations and the Firm's policiesDirect the Monitoring & Surveillance review team, ensuring effective risk identification, escalation, and resolution. Key Internal contacts:All business units;IT Department;Legal department;Audit department;Risk departments; andOperations departments.
Assistant Regulatory Compliance Officer SUNY Upstate Medical UniversityAssistant Regulatory Compliance OfficerSyracuse, NYMust have comprehensive knowledge of pertinent state and federal rules and regulations applicable to a healthcare organization in an academic medical center, including but not limited to, Anti-Kickback Statute, Stark Law, False Claims Act, Civil Monetary Penalties, Fraud and Abuse, etc. Job Summary: The Assistant Regulatory Compliance Officer will support the duties of the Regulatory Compliance Officer (RCO) in enforcing and providing guidance on compliance with pertinent fraud and abuse laws and regulations that apply to all employees of the organization.
Senior Compliance Officer - Monitoring and Testing (Associate) - TD Securities (US) TD BankSenior Compliance Officer - Monitoring and Testing (Associate) - TD Securities (US)New York, New YorkTotal 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.
Senior Compliance Officer - Monitoring and Testing (Associate) - TD Securities (US) The Toronto-Dominion BankSenior Compliance Officer - Monitoring and Testing (Associate) - TD Securities (US)New York, NY$100,000–$130,000 / yearGeneral Job Description The Senior Compliance Office provides advice, guidance and support to business units in adhering to regulatory/compliance requirements and assists in implementing compliance initiatives to help manage regulatory risk. Client service skills - the candidate must demonstrate the judgment and ability to closely partner with and advise senior and line managers and other stakeholders on regulatory interactions.
Compliance Officer (Distribution Marketing) Franklin ResourcesCompliance Officer (Distribution Marketing)New York City, NY$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.
Compliance Officer (Business Analyst) Franklin Resources IncCompliance Officer (Business Analyst)New York City, NY$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.
Compliance Officer Millennium Management LLCCompliance OfficerNew York, NY$160,000–$250,000 / yearOur people are empowered with both independence and support: the autonomy to pursue ideas with conviction and the backing of a global network committed to collaboration, disciplined risk management and continuous learning. The team works to help prevent and detect violations of applicable laws, rules, regulatory requirements, and firm policies through a disciplined and well-controlled framework.
Marketing Compliance Officer Oppenheimer & Co. Inc.Marketing Compliance OfficerNew York, NY$90,000–$125,000 / yearWith 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. Understanding 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.
Executive Administrative Assistant to the CEO Charter School of Educational ExcellenceExecutive Administrative Assistant to the CEOMamaroneck, NYServing as a trusted right hand to school leadership, this individual plays a central role in coordinating written and oral communication among the CEO''s office, the elementary, middle, and high school teams, and manages relationships across the Central Office - including the Principals'' offices, Student Data, the Business Office, and the Parent Coordinator. The ideal candidate proactively alerts the CEO to matters requiring attention, anticipates needs before they arise, and independently manages a wide range of tasks with minimal supervision.
NewExecutive Assistant to the CEO & HR Assistant Workholding US HoldingsExecutive Assistant to the CEO & HR AssistantElmira, New YorkRemoteThis position serves as a trusted partner to the CEO by managing executive priorities, coordinating complex schedules and travel, organizing Board and leadership meetings, preparing executive presentations and communications, and supporting key strategic initiatives. The Executive Assistant to the CEO & Human Resources Assistant provides high-level administrative support to the Chief Executive Officer while also providing administrative support to the Human Resources department.
Chief Financial Officer The Quest OrganizationChief Financial OfficerNYA privately held, vertically integrated real estate development and capital platform is seeking a Chief Financial Officer to lead all finance and accounting functions across a rapidly growing multibillion-dollar enterprise spanning real estate development, private credit, EB-5, construction, and captive insurance. T he CFO will serve as a strategic partner to the CEO and executive team, overseeing accounting, FP&A, treasury, tax, audit, investor reporting, and financial systems infrastructure while building and scaling a high-performing finance organization.
Compliance Lead/ CCO US Assets Wise PlcCompliance Lead/ CCO US AssetsNew York, NY$202,000–$290,000 / yearThe successful candidate will operate with a high degree of independence, partnering closely with Legal, Product, Engineering, Banking, Operations, Customer Support, Financial Crime, and senior leadership to embed regulatory requirements into product design, systems, controls, and operating processes. This is a critical L7 role responsible for leading the development, implementation, and ongoing oversight of the broker-dealer compliance program for Wise US Assets Inc., while also supporting broader Assets regulatory and operational readiness across North America.
NewChief Information Officer State University of New York at NiagaraChief Information OfficerNiagara Falls, NY$115,000–$130,000 / yearAbility to lead organizational change; communicate complex technical information to non-technical audiences; supervise multiple operational areas; develop strategic technology plans; manage multiple large-scale initiatives; respond to technology emergencies outside normal business hours when necessary; effectively represent the College with SUNY and external partners; and foster an inclusive, collaborative environment. The CIO serves as the College's principal advisor on technology matters and works collaboratively with campus leadership, faculty, staff, and external partners to develop technology solutions that improve operational efficiency, enhance the student experience, support teaching and learning, and protect institutional information assets.
Vice President, Senior Compliance Manager - Regulatory Counsel Antares CapitalVice President, Senior Compliance Manager - Regulatory CounselNew York, NY$200,000–$230,000 / yearThe successful candidate will help advance the firm's compliance framework by: (1) Providing thoughtful, practical guidance on the application of global regulations, evolving industry developments, and best practices in support of our private credit strategy and fund structures and the general growth of the firm's asset management transactional activities; (2) Interpreting and operationalizing compliance policies and procedures to align with the firm's existing and newly developing products and business activities and the firm's expanding jurisdictional reach; (3) Leading and coordinating the implementation of new regulatory requirements and enhancements to existing frameworks; and (4) Partnering cross-functionally to represent Compliance in enterprise-wide initiatives, while supporting day-to-day matters and broader program oversight. Strategic thinking and decision making: Applies strong business and market insight and expertise to shape functional/team strategy, solves complex problems, recommends best practices, makes high quality decisions, anticipates future needs and delivers stakeholder aligned value.
CFO - Nonprofit All In One Accounting IncCFO - NonprofitNY$140,000–$165,000 / yearAs a CFO, your role in growth is to deepen the value AIOA delivers to your existing clients - identifying expansion opportunities, strengthening relationships, and ensuring every client on your book sees AIOA as indispensable. We do that by supporting profitable growth, protecting assets, and amplifying impact - bringing financial clarity and strategic leadership to the clients who need it most.
Compliance Officer - Governance and Reporting KeyCorpCompliance Officer - Governance and ReportingAlbany, NY$71,000–$125,000 / yearThe position is responsible for supporting executive and committee reporting, maintaining compliance risk information, performing data analysis and reporting activities, identifying emerging risks and trends, and assisting with development of future-state compliance risk assessment, monitoring, and governance capabilities. The role partners closely with Compliance, Technology, GRC, Internal Audit, Operational Risk, and business stakeholders to improve compliance risk transparency, strengthen governance reporting, enhance monitoring effectiveness, and support enterprise risk management objectives.
US Analyst - AML / OFAC Compliance Officer Credit Agricole SAUS Analyst - AML / OFAC Compliance OfficerNEW YORK, NYThe position's main responsibilities are centered on the following: reviewing and validating high risk KYC files, and providing AML and/or sanctions related guidance to the Bank's staff on proposed transactions. Assist to provide guidance to Front Office and Support staff on AML specific queries concerning proposed customers and/or transactions.
NewCompliance Officer ISS ESG CORPORATE RATINGCompliance OfficerNew York, NY$110,000–$140,000 / yearExperience (ideally 5 - 8 years) in senior compliance, risk management, legal, or regulatory roles within the financial services sector, with a significant portion in an SEC-registered investment adviser and/or a highly regulated environment. The Compliance Officer will be instrumentally involved in overseeing, administrating and enhancing the Compliance Program of Institutional Shareholder Services Inc. ("ISS"), a U.S.-registered investment adviser under the Investment Advisers Act of 1940, covering also its foreign affiliates.
Marketing Compliance Officer Oppenheimer Holdings IncMarketing Compliance OfficerNew York, NY$90,000–$125,000 / yearWith 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. Understanding 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.
Compliance Officer, Analyst BTIG Norway ASCompliance Officer, AnalystNew York, NY$60,000–$75,000 / yearThe firm's core capabilities include global execution, portfolio, electronic and outsource trading, investment banking, prime brokerage, capital introduction, corporate access, research and strategy, commission management and more. Salary range is based on a variety of factors including, but not limited to, location, years of applicable experience, skills, qualifications, licensure and certifications, and other business and organization needs.