Chief Compliance Executive for Financial Services Company
6 days ago
Job Overview
AJ Consultancy is seeking an experienced Chief Compliance Executive to lead our regulatory affairs efforts. The successful candidate will have a strong understanding of regulatory and self-regulatory agencies rules and regulations (specifically FINRA and SEC) with best practices in compliance management.
The ideal candidate will have a minimum of 5 years of experience working in a senior compliance role (CCO or similar) within a financial services firm supporting an electronic broker-dealer.
Key responsibilities include establishing and maintaining standards and procedures that are effective in identifying, preventing, detecting and remediating regulatory issues at a tech-enabled broker-dealer, overseeing the broker-dealer compliance program functions, and managing regulatory interactions.
The selected candidate will also oversee a team responsible for registrations, coordination of broker-dealer audits, inspections, reviews, and examinations, monitoring complaints, conducting surveillance and transaction monitoring, and reporting.
Additionally, they will manage all aspects of the Firm's AML compliance program as outlined in FINRA Rule 3310 and handle additional projects as needed in a rapidly changing regulatory environment.
Estimated Salary: $170,000 - $230,000 per year
-
Chief Financial Strategist
5 hours ago
New York, New York, United States Keller Executive Search Full timeWe are seeking a Chief Financial Strategist to join Keller Executive Search, a leader in executive search and recruitment. The successful candidate will oversee all financial aspects of the organization, providing strategic financial insights and guidance to senior management, and ensuring compliance with financial regulations and accounting standards.The...
-
Executive Financial Director
6 days ago
New York, New York, United States Keller Executive Search Full timeLead a multinational grocery chain's financial growth with an experienced Chief Financial Officer. About the RoleOversee all financial aspects, including planning, analysis, accounting, treasury, tax, and investor relations.Develop and implement financial strategies to support the company's growth objectives while ensuring financial stability and compliance...
-
Chief Operating Officer
6 days ago
New York, New York, United States Keller Executive Search Full timeThis is an exciting opportunity for a seasoned finance leader to join our client, a multinational grocery chain, as their Chief Financial Officer. In this role, you will be responsible for driving financial growth and ensuring financial stability across international operations.About the PositionOversee all financial functions, including financial planning,...
-
Chief Financial Director
2 days ago
New York, New York, United States ACCUR Recruiting Services Full timeJob Title: Chief Financial DirectorWe are seeking a seasoned Chief Financial Director to join our team at ACCUR Recruiting Services. The ideal candidate will have extensive experience in luxury retail and the automotive industry, with a proven track record of managing significant growth programs.About the Role:The Chief Financial Director will be responsible...
-
Chief Financial Reporting Officer
4 weeks ago
New York, New York, United States Phaxis - Financial Services Full timeJob OverviewWe are seeking a highly skilled Chief Financial Reporting Officer to join our team at Phaxis - Financial Services.
-
Chief Finance Officer
5 days ago
New York, New York, United States Center for Reproductive Rights Full timeJob OverviewThe Center for Reproductive Rights seeks a highly experienced Senior Financial Leader to join their team as Chief Finance Officer. This key role will oversee the organization's financial operations, ensuring financial health and sustainability.About the RoleThis position reports to the Chief Strategy and Operations Officer.Lead the development...
-
Chief Financial Strategist
4 weeks ago
New York, New York, United States Institute for Comm Living Full timeOverviewThe Institute for Comm Living seeks a seasoned Chief Financial Strategist to drive financial management and strategic initiatives across the organization.About the RoleThis is a key leadership position that requires a highly skilled and experienced professional to oversee all aspects of finance, including accounting, compliance, revenue recognition,...
-
Chief Financial Strategist
3 days ago
New York, New York, United States Institute for Comm Living Full timeJob Title: Chief Financial StrategistInstitute for Comm Living is seeking a highly experienced and skilled Chief Financial Strategist to drive financial management for all matters of the organization. The ideal candidate will have a strong background in nonprofit accounting, including fund and grant accounting, compliance, and reporting.The estimated salary...
-
Senior Tax Executive
6 days ago
New York, New York, United States Keller Executive Search Full timeSenior Tax Executive PositionWe are seeking a highly experienced Senior Tax Executive to lead our client's tax function and drive strategic growth through effective tax planning and compliance.In this role, you will have the opportunity to leverage your expertise in international tax and collaborate with a talented team to deliver exceptional results.About...
-
Chief Financial Operations Specialist
4 weeks ago
New York, New York, United States Phaxis - Financial Services Full timeJob DescriptionPhaxis - Financial Services seeks an experienced Chief Financial Operations Specialist to support the financial operations team. This role involves assisting with month-end close procedures, booking journal entries, and investigating variances in financial data.The ideal candidate will have strong analytical skills and be able to prepare and...
-
Executive Financial Manager
6 days ago
New York, New York, United States CENTER FOR URBAN COMMUNITY SVC Full timeAbout the Role:The Chief Financial Officer will play a crucial role in shaping the financial strategy and direction of CUCS, working closely with the executive team, board of directors, and staff to ensure the organization's fiscal health and sustainability. This individual will be responsible for overseeing all aspects of financial planning, budgeting, and...
-
Financial Services Compliance Specialist
2 weeks ago
New York, New York, United States Michael Page Full timeCompliance Consultant Job DescriptionAs a Compliance Consultant at Michael Page, you will work on-site in New York City five days a week, collaborating directly with the Chief Compliance Officer (CCO) and the compliance department to ensure the bank adheres to all policies and procedures.Our client, a major financial institution in their country, specializes...
-
New York, New York, United States Savvy Wealth Full timeAbout Savvy WealthWealth management is a massive industry in the US with $545 billion annual revenue. However, it remains archaic and inefficient with low technology penetration. This inefficiency results in a poor client experience and over 70% of a financial advisor’s time spent on non-client facing tasks.Savvy Wealth is a digital-first platform for...
-
Chief Financial Officer
1 week ago
New York, New York, United States Institute for Comm Living Full timeJob OverviewWe are seeking a highly skilled and experienced Chief Financial Officer to join our team at the Institute for Comm Living. As a key member of our leadership team, you will be responsible for driving financial management and strategic initiatives that support the organization's mission.Estimated Salary: $180,000 - $220,000 per yearThe ideal...
-
Chief Financial Officer
2 days ago
New York, New York, United States America Needs You Full timeAmerica Needs You is seeking a highly skilled and experienced Chief Financial Officer to lead the organization's financial management, operations, and strategy. The ideal candidate will have a strong background in finance, accounting, and business administration, with at least 5 years of progressive experience in a managerial role. A bachelor's degree in...
-
Chief Compliance Officer
16 hours ago
New York, New York, United States IQ-EQ Full timeIQ-EQ is a leading service provider to the alternative asset industry, seeking a Chief Compliance Officer to join our team. As a key member of our compliance team, you will be responsible for overseeing the development, implementation, and maintenance of effective compliance programs for our clients in the alternative and traditional investment sector.Our...
-
Chief Financial Reporting Specialist
3 weeks ago
New York, New York, United States Creative Financial Staffing Full timeJob DescriptionWe are seeking a skilled Chief Financial Reporting Specialist to join our finance team at Creative Financial Staffing. This role is perfect for a dedicated individual who is passionate about maintaining financial integrity and supporting our mission through accurate financial reporting and compliance.About the RolePrepare and oversee financial...
-
Chief Compliance Auditor
3 weeks ago
New York, New York, United States HR Recruiting Services Full timeJob OverviewThis is an exciting opportunity to join HR Recruiting Services as a Chief Compliance Auditor. The successful candidate will oversee assigned areas of audit work, acting as an Auditor-in-Charge (AIC), and execute on the audit strategy for Lines of Business (LOBs).About the RoleIn this role, you will be responsible for executing audit strategy for...
-
Chief Tax Compliance Officer
6 days ago
New York, New York, United States Keller Executive Search Full timeWe are seeking an experienced Chief Tax Compliance Officer to join our team. As a key member of the leadership team, you will be responsible for developing and implementing tax strategies to minimize liabilities and ensure compliance with tax laws and regulations.Job Description:Develop and implement tax strategies to minimize liabilities and ensure...
-
Executive Financial Manager
2 days ago
New York, New York, United States Keller Executive Search Full timeJob DescriptionThe Finance and Operations Director will be responsible for overseeing all financial and operational aspects of the company, including financial planning, budgeting, forecasting, and cash flow management.Key Responsibilities:Develop and implement financial strategies aligned with the company's overall business objectives.Manage cash flow and...