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

  • Chief Compliance Officer

    4 weeks ago

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

    Job Title: Chief Compliance OfficerWe are seeking a highly motivated and experienced Chief Compliance Officer to join our team at the Department for the Aging. As a key member of our leadership team, you will be responsible for ensuring that our organization complies with all relevant laws, regulations, and industry standards.Job Summary:The Chief Compliance...

  • Chief Compliance Officer

    1 month ago

    New York, New York, United States Salient Full time

    {"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...

  • Chief Compliance Officer

    4 weeks ago

    New York, New York, United States StoneX Group Inc. Full time

    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...

  • Chief Compliance Officer

    1 month ago

    New York, New York, United States Tradeweb Full time

    Job 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...

  • Chief Compliance Officer

    4 weeks ago

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

    Job Title: Chief Compliance OfficerDepartment 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 organization complies with all relevant laws, regulations, and industry standards.Key Responsibilities:Develop and implement...

  • Chief Compliance Officer

    4 days 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...

  • Deputy Chief Compliance Officer

    1 month ago

    New York, New York, United States Banking Careers Full time

    Deputy 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...

  • Chief Compliance Officer

    4 weeks ago

    New York, New York, United States Evergreen Services Group Full time

    Job Title: Chief Compliance OfficerWe are seeking a highly skilled and experienced Chief Compliance Officer to join our team at Evergreen Services Group. As a key member of our leadership team, you will be responsible for designing, establishing, and leading our compliance function to ensure regulatory adherence, manage risk, and foster a culture of...

  • Chief Compliance Officer

    4 weeks ago

    New York, New York, United States Sumitomo Mitsui Banking Corporation Full time

    Job Title: Chief Compliance OfficerWe are seeking a highly experienced and skilled Chief Compliance Officer to join our team at Sumitomo Mitsui Banking Corporation. As a key member of our organization, you will be responsible for leading our compliance program and ensuring that our activities are conducted in accordance with applicable regulatory...

  • Chief Compliance Officer

    4 days 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 Title: Chief Compliance OfficerDepartment 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...

  • Chief Compliance Officer, Americas

    4 weeks ago

    New York, New York, United States Barclays Full time

    Job Title: Americas Chief Compliance Officer, VPAt Barclays, we are seeking a highly skilled and experienced Americas Chief Compliance Officer, VP to join our team. This role 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...

  • Chief Compliance Officer

    4 weeks ago

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

    Job SummaryThe 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 ResponsibilitiesDevelop and implement compliance policies and...

  • Chief Compliance Officer

    4 weeks ago

    New York, New York, United States GCM Grosvenor Full time

    Job Title: Chief Compliance OfficerGCM Grosvenor is seeking a highly skilled Chief Compliance Officer to join our team. As a key member of our compliance team, you will be responsible for maintaining and establishing standards and implementing procedures to ensure that our broker-dealer compliance program remains effective and efficient in identifying,...

  • Chief Compliance Officer

    2 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 days 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

    1 month ago

    New York, New York, United States GCM Grosvenor Full time

    Job 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...

  • Global Chief Compliance Officer

    3 weeks ago

    New York, New York, United States FalconX Full time

    Job Title: Global Chief Compliance OfficerFalconX is seeking an experienced Global Chief Compliance Officer to lead our distributed, global compliance team. As a key member of our organization, you will be responsible for developing and implementing our global compliance programs, ensuring that we maintain the highest standards of regulatory compliance and...

  • Chief Compliance Officer

    2 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...

  • Compliance Officer

    1 month ago

    New York, New York, United States JCW Full time

    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...

Chief Compliance Officer

1 month 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