Chief Compliance Officer
4 days ago
{"h1": "Chief Compliance Officer at Salient", "p": "We are seeking a highly skilled and experienced senior compliance professional to join our team as Chief Compliance Officer. As a key member of our organization, you will be responsible for ensuring that our business operations are in compliance with all relevant laws and regulations.
Key Responsibilities:
* Develop and implement a comprehensive compliance program that aligns with our business objectives
* Provide strategic guidance on compliance matters and assess compliance risks
* Oversee regulatory examinations and audits, ensuring timely and effective responses
* Manage and develop a high-performing compliance team
* Maintain strong relationships with regulatory agencies
* Conduct regular compliance training and awareness programs for employees
* Investigate and address compliance issues and breaches promptly
Requirements:
* Strong expertise in trade surveillance, reporting requirements, and institutional client KYC/AML/onboarding
* Extensive experience in the financial services industry, with a focus on fintech and trading
* Proven success working in a retail and institutional focused environment
* ATS and Futures experiences are a plus but not a requirement
If you are a motivated and experienced compliance professional looking for a new challenge, please submit your application. We look forward to hearing from you"}
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Chief Compliance Officer
3 weeks ago
New York, New York, United States Department For The Aging Full timeJob DescriptionJob Title: Chief Compliance OfficerDepartment: Department For The AgingJob Summary:The Department For The Aging is seeking a highly motivated and experienced Chief Compliance Officer to join our team. As a key member of our leadership team, the Chief Compliance Officer will be responsible for ensuring that our organization is in compliance...
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Chief Compliance Officer
2 weeks ago
New York, New York, United States StoneX Group Inc. Full timeJob Title: Chief Compliance OfficerStoneX Group Inc. is seeking a highly experienced Chief Compliance Officer to lead our swap dealer compliance program. As a key member of our team, you will be responsible for ensuring our compliance with applicable rules and regulations.Job Summary:The Chief Compliance Officer will serve as the leader in all aspects of...
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Chief Compliance Officer
2 weeks ago
New York, New York, United States StoneX Group Inc. Full timeJob Title: Chief Compliance OfficerStoneX Group Inc. is seeking a highly experienced Chief Compliance Officer to lead our swap dealer compliance program. As a key member of our team, you will be responsible for ensuring our compliance with applicable rules and regulations.Key Responsibilities:Lead the oversight of the swap dealer compliance program, ensuring...
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Chief Compliance Officer
6 days ago
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Chief Compliance Officer
3 days ago
New York, New York, United States Tradeweb Full timeJob Title: Chief Compliance OfficerTradeweb is seeking a highly skilled and experienced Chief Compliance Officer to join our team. As a key member of our organization, you will be responsible for ensuring that our company operates in compliance with all relevant laws, regulations, and industry standards.Key Responsibilities:Develop and implement effective...
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Deputy Chief Compliance Officer
4 days ago
New York, New York, United States Banking Careers Full timeDeputy Chief Compliance Officer Job DescriptionWe are seeking a seasoned banking professional to fill the role of Deputy Chief Compliance Officer. As a key member of the Compliance team, you will be responsible for ensuring that our Compliance Programs are effective in addressing regulatory risks.Key Responsibilities:Provide compliance advice and guidance to...
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Chief Compliance Officer
2 weeks ago
New York, New York, United States Tradeweb Full timeJob Title: Chief Compliance OfficerWe are seeking a highly skilled and experienced Chief Compliance Officer to join our team at Tradeweb. As a key member of our organization, you will be responsible for ensuring that our company operates in compliance with all relevant laws, regulations, and industry standards.Key Responsibilities:Develop and implement...
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Chief Compliance Officer
7 days ago
New York, New York, United States Tradeweb Full timeJob Title: Chief Compliance OfficerWe are seeking a highly skilled and experienced Chief Compliance Officer to join our team at Tradeweb. As a key member of our organization, you will be responsible for ensuring that our business operations are in compliance with all relevant laws, regulations, and industry standards.Key Responsibilities:Develop and...
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Chief Compliance Officer
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New York, New York, United States Neuberger Berman Group LLC Full timeJob Title: Chief Compliance OfficerNeuberger Berman Group LLC is seeking a seasoned Chief Compliance Officer to lead our compliance program for our registered funds business. As a key member of our Legal and Compliance Department, you will be responsible for ensuring our compliance program is robust, effective, and aligned with regulatory...
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Chief Compliance Officer
4 days ago
New York, New York, United States Sumitomo Mitsui Banking Corporation Full timeJob Title: Chief Compliance OfficerSumitomo 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 asset management. With a presence in over 40 countries and a team of...
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Deputy Chief Compliance Officer
3 weeks ago
New York, New York, United States Banking Careers Full timeWe are seeking a seasoned banking professional to serve as Deputy Chief Compliance Officer. This role is ideal for a seasoned banking compliance professional looking to take on a leadership position in a dynamic and growing organization. Reporting to the Chief Compliance Officer, the Deputy Chief Compliance Officer will be responsible for ensuring that the...
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Chief Compliance Officer
3 days ago
New York, New York, United States GCM Grosvenor Full timeJob SummaryThe Compliance team at GCM Grosvenor is seeking a Chief Compliance Officer to oversee the firm's compliance program and ensure adherence to regulatory requirements. As a key member of the team, you will be responsible for maintaining and establishing standards, implementing procedures, and identifying, preventing, detecting, and correcting...
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Deputy Chief Compliance Officer
3 weeks ago
New York, New York, United States Banking Careers Full timeWe are seeking a seasoned banking professional to fill the role of Deputy Chief Compliance Officer. This position requires a strong background in commercial banking and compliance, with a minimum of 10 years of experience in the industry.Key Responsibilities:Serve as a subject matter expert and support the compliance team in executing its...
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Chief Compliance Officer
3 weeks ago
New York, New York, United States SS&C Full timeJob SummarySS&C is a leading provider of investment and financial services and software for the financial services and healthcare industries. As a global company, we have 20,000+ employees in over 90 offices in 35 countries. Our clients include 18,000 financial services and healthcare organizations, from the world's largest institutions to local firms, who...
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Chief Compliance Officer
2 weeks ago
New York, New York, United States Sumitomo Mitsui Banking Corporation Full time{"h1": "Chief Compliance Officer", "p": "At Sumitomo Mitsui Banking Corporation, we are seeking a highly skilled Chief Compliance Officer to lead our compliance program for an investment advisory firm in Manhattan. As a key member of our team, you will be responsible for ensuring that our activities are conducted in compliance with applicable regulatory...
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Chief Compliance Officer
7 days ago
New York, New York, United States Larson Maddox Full timeHead of Trading Compliance Job DescriptionLarson Maddox is seeking a seasoned professional to lead the day-to-day execution of the trading compliance program. The ideal candidate will have a deep understanding of equities and fixed income trading compliance, as well as experience managing a program or team.Key Responsibilities:Develop and implement a...
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Compliance Officer
3 days ago
New York, New York, United States JCW Full timeCompliance Officer Job DescriptionAt JCW, we are seeking a highly skilled Compliance Officer to join our team in New York City. This role offers the unique opportunity for compliance professionals to work closely with and learn directly from the Chief Compliance Officer.Key Responsibilities:Ensure compliance with all relevant regulations, including SEC and...
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Compliance Officer
5 days ago
New York, New York, United States JCW Full timeCompliance OfficerAt JCW, we are seeking a highly skilled Compliance Officer to join our team in New York City. This role offers a unique opportunity for compliance professionals to work closely with and learn directly from the Chief Compliance Officer.Key Responsibilities:Ensure compliance with all relevant regulations, including SEC and FINRA rules.Assist...
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Chief Compliance Officer
3 weeks ago
New York, New York, United States Tradeweb Markets Full timeJob DescriptionWe are seeking a highly skilled and experienced Chief Compliance Officer to join our team at Tradeweb Markets. As a key member of our organization, you will be responsible for ensuring that our company remains compliant with all relevant laws and regulations in the financial industry.Key Responsibilities:Compliance Program Management: Develop...
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Senior Compliance Officer
2 weeks ago
New York, New York, United States Ares Management Corporation Full timeJob Title: Senior Compliance OfficerAres Management Corporation is seeking a highly skilled Senior Compliance Officer to join our Legal and Compliance team. As a key member of our team, you will be responsible for creating and implementing the Firm's Registered Investment Adviser program.Key Responsibilities:Collaborate with the Chief Regulatory Officer to...