Vice President Compliance

Role OverviewAs the Vice President of Compliance Oversight at Barclays, you will play a pivotal role in supporting the Americas Chief Compliance Office. Your primary responsibility will be to assist the Director in generating management information and insights related to the firm's compliance with applicable laws and regulations, ensuring that Compliance...

Compliance Advisory Vice PresidentSumitomo Mitsui Banking Corporation is a leading global financial institution with a rich history and diverse range of financial services. Our Compliance Advisory team plays a critical role in ensuring the firm's operations are in compliance with regulatory requirements.The Compliance Advisory Vice President will assist in...

Position OverviewSenior Vice President of Compliance at The Goldman Sachs Group, Inc.This role involves overseeing compliance measures and providing essential guidance on conducting operations in alignment with relevant rules, regulations, and industry standards.Key ResponsibilitiesEnsure adherence to compliance protocols and regulatory requirements.Offer...

Compliance Attorney Vice PresidentTop-Tier Commercial Bank is seeking a seasoned Compliance / Regulatory Attorney at the VP level to lead the bank's corporate compliance program and policies.Key Responsibilities:Develop and implement effective compliance strategies to mitigate risks and ensure regulatory compliance.Provide expert advice and guidance on U.S....

Compliance Advisory Vice PresidentSumitomo Mitsui Banking Corporation (SMBC) is a leading global financial institution with a rich history dating back to 1609. As a top-tier bank, SMBC offers a wide range of financial services, including corporate and investment banking, securities, and consumer finance. With over 130 offices and 80,000 employees worldwide,...

Compliance Leader for Asset-Based FinanceCardea Group is seeking a seasoned Compliance professional to lead our Asset-Based Finance team. As a Compliance Vice President, you will be responsible for managing key compliance-related projects and initiatives, collaborating closely with senior and junior team members to advance projects, support business growth,...

Compliance Advisory Vice PresidentSumitomo Mitsui Banking Corporation (SMBC) is a leading global financial institution with a rich history dating back to 1609. As a top-tier bank, SMBC offers a wide range of financial services, including corporate and investment banking, securities, and consumer finance. With over 130 offices and 80,000 employees worldwide,...

Compliance Advisory Vice PresidentSumitomo Mitsui Banking Corporation (SMBC) is a leading global financial institution with a rich history dating back to 1609. As a top-tier bank, SMBC offers a wide range of financial services, including banking, leasing, securities, credit cards, and consumer finance. With over 130 offices and 80,000 employees worldwide,...

The Vice President, Compliance Officer is responsible for acting in an advisory capacity to the Advanced Clearing and Prime Services (ACaPS) Division and Fixed Income, Commodities, Currencies and Stock Lending Division (FICCS) as well as the Operations Department. Activities in these departments include correspondent clearing services, prime brokerage...

VP, Compliance - Marketing (New York, NY): Our client, a prominent asset manager with more than $40B in AUM, is looking to hire an exceptional Vice President of Compliance with a focus on marketing material review. This leadership position involves overseeing investor and third-party communications while providing guidance on compliance issues related to...

Top-Tier Bank in Midtown, Manhattan is seeking a Vice President of Compliance to support their Front Office!Responsibilities:Support the implementation and execution of compliance initiatives, processes, and controls that manage compliance risksMaintain business line and support function policies and procedures addressing compliance requirements, including...

Top-Tier Bank in Midtown, Manhattan is seeking a Vice President of Compliance to support their Front Office!Responsibilities:Support the implementation and execution of compliance initiatives, processes, and controls that manage compliance risksMaintain business line and support function policies and procedures addressing compliance requirements, including...

The Vice President, Compliance Officer is responsible for acting in an advisory capacity to the Advanced Clearing and Prime Services (ACaPS) Division and Fixed Income, Commodities, Currencies and Stock Lending Division (FICCS) as well as the Operations Department. Activities in these departments include correspondent clearing services, prime brokerage...

The Vice President, Compliance Officer is responsible for acting in an advisory capacity to the Advanced Clearing and Prime Services (ACaPS) Division and Fixed Income, Commodities, Currencies and Stock Lending Division (FICCS) as well as the Operations Department. Activities in these departments include correspondent clearing services, prime brokerage...

VP, Compliance - Marketing (New York, NY): Our client, a prominent asset manager with more than $40B in AUM, is looking to hire an exceptional Vice President of Compliance with a focus on marketing material review. This leadership position involves overseeing investor and third-party communications while providing guidance on compliance issues related to...

VP, Compliance - Marketing (New York, NY): Our client, a prominent asset manager with more than $40B in AUM, is looking to hire an exceptional Vice President of Compliance with a focus on marketing material review. This leadership position involves overseeing investor and third-party communications while providing guidance on compliance issues related to...

Position Overview:The role of Senior Vice President of Compliance Oversight is a critical position within a distinguished organization. The incumbent will be tasked with implementing the annual compliance assessment and oversight strategy, defining the review parameters, fostering relationships with essential stakeholders, and managing the resolution of...

Position Overview: We are seeking a Vice President of Compliance for Municipal Securities to enhance our compliance advisory capabilities. The successful candidate will possess extensive experience in compliance advisory roles specifically within the Municipal Securities sector. Key Responsibilities: - Provide expert compliance guidance and support in...

Vice President / Director Salary: Base - $175,000 - $200,000 + Discretionary Bonus Company Summary: My client is a private investment firm with $1.7 billion in assets under management, specializing in flexible capital solutions through debt and equity instruments. They focus on sectors such as technology, software, and fin tech. The firm offers tailored...

Job Title: Assistant Vice President of Fixed Income ComplianceJoin the StoneX Group Inc. team as an Assistant Vice President of Fixed Income Compliance, where you will play a critical role in ensuring the firm's compliance with regulatory requirements and industry standards.About the Role:This is a full-time, exempt position that requires a strong...