Compliance Officer

New Start Capital is seeking a detail-oriented Compliance Officer to monitor and enforce adherence to regulatory requirements, particularly within the debt modification industry. The Compliance Officer will play a critical role in maintaining the company’s regulatory compliance by reviewing internal processes, monitoring client interactions, and developing...

New Start Capital is seeking a detail-oriented Compliance Officer to monitor and enforce adherence to regulatory requirements, particularly within the debt modification industry. The Compliance Officer will play a critical role in maintaining the company’s regulatory compliance by reviewing internal processes, monitoring client interactions, and developing...

Hi, This is Carl Rush, Sr. Staffing Manager with iStaff Global Solutions Inc., and I would like to let you know about an URGENT position I am currently recruiting for. Let’s connect when you have some time to review some of the details, the company, and the compensation package my client is offering. The job responsibilities and requirements are as...

Investment Compliance Officer (New York, NY): Our client, a hedge fund with over $3B in AUM is seeking an experienced Investment Compliance Officer to join their team a newly created position to lead surveillance initiatives within their growing New York office. The ideal candidate will have a strong background in investment compliance and direct experience...

TradeZero America (“TZA”), is a broker dealer focused on the retail active trader and institutional options trading. TZA is seeking a Compliance Officer to assist its current team located in Brooklyn NY. The role requires prior experience as a compliance officer and experience should include knowledge in:CAT reporting/ Regulatory reporting15c3-5 market...

Equities Compliance OfficerFinancial FirmNYC – Downtown225K base + bonus Hybrid, 3 days onsiteJob Summary:A leading interdealer broker covering equities, fixed income and commodities is seeking an Equities Compliance Officer to oversee the Equity and Equity Derivatives Trading Business. You will report into the head of equities compliance. You will draft,...

Equities Compliance OfficerFinancial FirmNYC – Downtown225K base + bonus Hybrid, 3 days onsiteJob Summary:A leading interdealer broker covering equities, fixed income and commodities is seeking an Equities Compliance Officer to oversee the Equity and Equity Derivatives Trading Business. You will report into the head of equities compliance. You will draft,...

About StellarPayStellarPay is a global borderless financial platform that seamlessly integrates traditional fiat currencies and digital assets like cryptocurrencies and stablecoins. We empower individuals and businesses to spend, send, and save across multiple currencies through multi-currency accounts, real-time crypto-to-fiat conversion, peer-to-peer (P2P)...

Hi, This is Carl Rush, Sr. Staffing Manager with iStaff Global Solutions Inc., and I would like to let you know about an URGENT position I am currently recruiting for. Let’s connect when you have some time to review some of the details, the company, and the compensation package my client is offering. The job responsibilities and requirements are as...

Investment Compliance Officer (New York, NY): Our client, a hedge fund with over $3B in AUM is seeking an experienced Investment Compliance Officer to join their team a newly created position to lead surveillance initiatives within their growing New York office. The ideal candidate will have a strong background in investment compliance and direct experience...

Equities Compliance OfficerFinancial FirmNYC – Downtown225K base + bonus Hybrid, 3 days onsiteJob Summary:A leading interdealer broker covering equities, fixed income and commodities is seeking an Equities Compliance Officer to oversee the Equity and Equity Derivatives Trading Business. You will report into the head of equities compliance. You will draft,...

Group Overview The TP ICAP Group is a world leading provider of market infrastructure. Our purpose is to provide clients with access to global financial and commodities markets, improving price discovery, liquidity, and distribution of data, through responsible and innovative solutions. Through our people and technology, we connect clients to superior...

About Us Wellington Management offers comprehensive investment management capabilities that span nearly all segments of the global capital markets. Our investment solutions, tailored to the unique return and risk objectives of institutional clients in more than 60 countries, draw on a robust body of proprietary research and a collaborative culture that...

Group Overview The TP ICAP Group is a world leading provider of market infrastructure. Our purpose is to provide clients with access to global financial and commodities markets, improving price discovery, liquidity, and distribution of data, through responsible and innovative solutions. Through our people and technology, we connect clients to superior...

About Us Wellington Management offers comprehensive investment management capabilities that span nearly all segments of the global capital markets. Our investment solutions, tailored to the unique return and risk objectives of institutional clients in more than 60 countries, draw on a robust body of proprietary research and a collaborative culture that...

The Senior Compliance Consultant role involves ensuring compliance with FINRA, SEC, and broker-dealer regulations by developing and implementing compliance policies, conducting audits, and overseeing risk assessments. Additionally, the position serves as a liaison with regulatory bodies and manages anti-money laundering (AML) and Know Your Customer (KYC)...

WHO WE ARE: Arootah is a rising personal and professional development leader in the Investment and Financial Services industry. Our mission is to empower and elevate the performance of individuals and companies through Coaching and Business Advisory services while utilizing cutting edge SaaS technology. Our Business Advisory Services focuses on the specific...

WHO WE ARE: Arootah is a rising personal and professional development leader in the Investment and Financial Services industry. Our mission is to empower and elevate the performance of individuals and companies through Coaching and Business Advisory services while utilizing cutting edge SaaS technology. Our Business Advisory Services focuses on the specific...

Act as the second in command to the firm's VP of Compliance, dealing with a large variety of regulatory and financial crime responsibilities Client DetailsForeign Financial Services organization looking to build out their compliance programDescriptionPossess expertise in Bank Secrecy Regulations„ Fair Credit Acts and Anti-Money Laundering Laws.Have a...

A global bank located in Midtown Manhattan looking to bring on board a “Director – Fixed Income Compliance Officer” to join their team. This role is currently in a hybrid schedule (2 days in office).Responsibilities:• Responsible for providing regulatory and compliance advice to business units, identify and provide training and conduct monitoring of...