Chief Compliance Officer

Job 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...

Job 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...

Job 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...

Job 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...

Job 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...

Job 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...

We 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...

We 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...

Job 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...

{"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...

Head 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...

Compliance 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...

Job 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...

Job SummaryWe are seeking a highly skilled Compliance Risk Oversight Specialist to join our team at Barclays Americas Chief Compliance Office. As a key member of our compliance team, you will be responsible for providing data-led expert oversight and challenge on business and compliance matters to ensure that the organization is operating in compliance with...

Job 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...

Job 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 play a critical role in ensuring that our company remains compliant with all relevant laws and regulations.Key ResponsibilitiesCompliance Program Management: Develop and implement...

Job SummaryWe are seeking a highly 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 broker-dealer compliance program remains effective and efficient in identifying, preventing, detecting, and remediating regulatory issues.Key ResponsibilitiesDevelop and...

About the RoleAres Management is seeking a highly skilled and experienced 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 ResponsibilitiesCollaborate with the Chief Regulatory Officer to direct the...

About FalconXFalconX is a leading digital asset platform for institutions, providing trade execution, credit & treasury management, prime offering, and market making services. With global operations, industry-leading technology, and deep liquidity, we have facilitated client transactions of $1 trillion in volume. Our products and services are regulated,...

Job SummaryAres Management Corporation is seeking a highly skilled and experienced Compliance professional to join our Legal and Compliance team as a Senior Compliance Officer. This role will be responsible for creating and implementing the Firm's Registered Investment Adviser program, ensuring compliance with complex regulatory regimes, and providing...