Current jobs related to Chief Compliance Officer - New York, New York - Tradeweb

  • Chief Compliance Officer

    2 weeks ago

    New York, New York, United States Department For The Aging Full time

    The Department for the Aging seeks a highly motivated Senior Manager with broad-based experience in compliance, internal and external audit, financial reporting, and programmatic fiscal processes to serve as Chief Compliance Officer.Reporting to the Chief Financial Officer, with additional accountability to the First Deputy Commissioner on investigative...

  • Chief Compliance Officer

    2 weeks ago

    New York, New York, United States Department For The Aging Full time

    The Department For The Aging seeks a highly motivated Senior Manager with broad-based experience in compliance, internal and external audit, financial reporting and programmatic fiscal processes to serve as Chief Compliance Officer.The selected candidate for this position will use an independent, structured and disciplined approach to adhere to reporting...

  • Chief Compliance Officer

    4 weeks ago

    New York, New York, United States Department For The Aging Full time

    Job DescriptionThe 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, you will be responsible for ensuring that our agency complies with all relevant laws, regulations, and industry standards.Key Responsibilities:Develop and implement compliance programs...

  • Chief Privacy Compliance Officer

    2 weeks ago

    New York, New York, United States Taboola Full time

    Discover a world of opportunity as a Chief Privacy Compliance Officer at Taboola, the world's number 1 discovery platform.**Job Summary**We're seeking an experienced Privacy Counsel to join our global Legal team, focusing on the U.S. market. As a Chief Privacy Compliance Officer, you'll be responsible for maintaining and developing Taboola's privacy program,...

  • Chief Compliance Officer

    4 weeks ago

    New York, New York, United States Arootah Full time

    Job Title: Chief Compliance Officer - Hedge Fund/Family Office ExpertArootah is seeking a seasoned Chief Compliance Officer with expertise in hedge fund and family office compliance to join our team.Job Summary:We are looking for a highly experienced Chief Compliance Officer to advise our hedge fund and family office clients on industry best practices. As a...

  • Chief Compliance Officer

    3 weeks ago

    New York, New York, United States Barclays Full time

    Job DescriptionTo provide expert oversight and challenge on business and compliance matters to ensure Barclays operates in compliance with legal, regulatory, and ethical responsibilities.Key ResponsibilitiesIdentify and assess compliance risks through thorough reviews of business activities, changes, processes, testing, and systems.Investigate potential...

  • Chief Compliance Officer

    2 weeks ago

    New York, New York, United States Tradeweb Markets Full time

    Job DescriptionYou will have strong analytical, process management and communication skills with a proven ability to work with cross-functional teams.As the Chief Compliance Officer, you will be responsible for managing interactions with regulatory agencies to ensure compliance with applicable laws and regulations.You will be responsible for preparing...

  • AVP Americas Chief Compliance Officer

    3 weeks ago

    New York, New York, United States Barclays Full time

    Job Summary:The Americas Chief Compliance Office AVP will provide data-led expert oversight and challenge on business and compliance matters to ensure the organization operates in compliance with Barclays legal, regulatory, and ethical responsibilities.Key Responsibilities:Identification and assessment of compliance risks through thorough reviews of business...

  • Chief Compliance Officer

    4 weeks ago

    New York, New York, United States Marsh & McLennan Companies Full time

    Job Title: Chief Compliance OfficerMarsh McLennan Agency (MMA) is seeking a seasoned Chief Compliance Officer (CCO) to lead its global compliance program. As a trusted advisor to senior management, you will be responsible for advising on risk and compliance issues, leading a team of colleagues across the United States, and promoting a culture of ethical...

  • Senior Compliance Officer

    3 weeks ago

    New York, New York, United States Ares Management Full time

    Job DescriptionAres Management is seeking a seasoned Compliance professional to join our Legal and Compliance team as a Senior Compliance Officer. This role will focus on creating and implementing the Firm's Registered Investment Adviser program, with a strong emphasis on compliance with complex regulatory regimes.Key ResponsibilitiesCollaborate with the...

  • Chief Compliance Officer

    3 weeks ago

    New York, New York, United States DriveWealth Full time

    Job OverviewDriveWealth is a pioneering financial technology organization dedicated to democratizing access to financial independence globally. Our mission is achieved through a cutting-edge API-based platform, empowering partners to offer seamless investing and trading experiences to clients worldwide, all from their mobile devices.Our technology provides...

  • Senior Compliance Officer

    1 month ago

    New York, New York, United States Ares Management Corporation Full time

    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:Develop and maintain a deep understanding of SEC...

  • Americas Chief Compliance Officer, Vice President

    2 weeks ago

    New York, New York, United States Barclays Full time

    Job SummaryThe Americas Chief Compliance Officer, Vice President 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 Barclays legal, regulatory, and ethical responsibilities.Key ResponsibilitiesIdentification and assessment of compliance...

  • Chief Financial Officer

    4 weeks ago

    New York, New York, United States City of New York Full time

    Job Title: Chief Financial OfficerJoin the City of New York as a Chief Financial Officer and play a critical role in shaping the financial future of our great city.About the RoleThe Chief Financial Officer will oversee the financial management of the Department of Small Business Services, ensuring the efficient delivery of services and programs while...

  • Chief Financial Officer

    2 weeks ago

    New York, New York, United States CareWell Health Full time

    Chief Financial Officer Job SummaryThe Chief Financial Officer serves as a member of the senior leadership team at CareWell Health, providing financial expertise and decision support through analysis, budget development, and strategic planning.As a key member of the executive team, the CFO supports the President/CEO and other senior executives in financial...

  • Chief Development Officer

    3 weeks ago

    New York, New York, United States Oliver Scholars Full time

    Job Title: Chief Development OfficerOliver Scholars is seeking a seasoned fundraising professional to join our team as Chief Development Officer. As a key member of our leadership team, you will work closely with our CEO, Donors, Program team, and Development team to drive fundraising efforts and support our mission impact.The successful candidate will have...

  • Chief Compliance Officer

    3 weeks ago

    New York, New York, United States Arootah Full time

    Job SummaryArootah is seeking a seasoned Chief Compliance Officer to advise clients on industry best practices. As a Compliance Consultant, you will work with our hedge fund and family office clients to provide expert advice on regulatory matters.Key ResponsibilitiesDevelop and implement full compliance programs for leading hedge funds and family officesWork...

  • Chief Financial Officer

    4 weeks ago

    New York, New York, United States Robert Half - US Full time

    Robert Half - US is seeking a Chief Financial Officer to lead their financial team in NYC. The ideal candidate will oversee all financial aspects of the organization, ensuring financial health and viability while supporting growth objectives. Key responsibilities include leading the annual budgeting process, analyzing financial performance, and implementing...

  • Chief Risk Officer

    4 weeks ago

    New York, New York, United States Arena Investors I Quaestor Advisors Full time

    Arena Investors, LP: Chief Risk OfficerArena Investors, LP is a global investment management firm seeking a seasoned Chief Risk Officer to spearhead its risk management function. The ideal candidate will possess a deep understanding of risk management principles and experience in designing and implementing corporate-wide risk management systems.Key...

  • Chief Financial Officer

    3 weeks ago

    New York, New York, United States Fund for Public Health in New York Full time

    The Fund for Public Health in New York City is a leading non-profit organization dedicated to advancing the health and well-being of all New Yorkers. As a key member of the executive team, the Chief Financial Officer will play a critical role in overseeing the organization's financial management systems and ensuring compliance with regulatory agencies.The...

Chief Compliance Officer

2 months ago

New York, New York, United States Tradeweb Full time
Job Title: Chief Compliance Officer

We 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 implement effective compliance programs to mitigate regulatory risks
  • Oversee the development and maintenance of written supervisory procedures, policies, and training programs
  • Manage the firm's FINRA Gateway filings and coordinate efforts related to broker-dealer audits, inspections, reviews, and examinations
  • Manage all aspects of the firm's AML compliance program, as outlined in FINRA Rule 3310
  • Work with various teams and departments to identify and address regulatory risks
  • Communicate compliance issues and trends and provide routine compliance reports to management
  • Provide reactive and proactive advice on internal policies to colleagues
  • Monitor and oversee the completion of periodic regulatory reporting requirements
Requirements:
  • Bachelor's degree required
  • Series 7, 24 required
  • A minimum of ten years of experience working in a compliance-related role within a financial services firm in the role of a CCO or similar senior role supporting a broker-dealer
  • Strong understanding of regulatory and self-regulatory agencies' rules and regulations, specifically FINRA and SEC rules and regulations
  • Knowledge and experience with industry best practices in compliance management
  • Ability to read and interpret regulations and implement changes, particularly as it relates to broker-dealer compliance
  • Strong written and verbal communication skills
  • Project management and/or demonstrable organizational skills, with a willingness and capability to handle multiple projects at one time
What We Offer:
  • Competitive salary and benefits package
  • Opportunity to work with a leading fintech company in the financial services industry
  • Collaborative and dynamic work environment
  • Professional development and growth opportunities