Senior Compliance Manager

Senior Compliance ManagerLarson Maddox is seeking an experienced Compliance professional to provide specialist advice and guidance to senior leaders and key members of our Fixed Income business, focusing on Municipal Bonds (Munis).Key Responsibilities:Provide Compliance advice to stakeholders and senior leaders in the Munis business, focusing on Controls and...

Senior Compliance ManagerLarson Maddox is seeking an experienced Compliance professional to provide specialist advice and guidance to senior leaders and key members of our Fixed Income business, focusing on Municipal Bonds (Munis).The ideal candidate will report directly to the US Head of Wholesale Banking Compliance and be responsible for:Providing expert...

Job Title: Senior Compliance Project ManagerSia Partners is a next-generation management consulting firm that offers a unique blend of AI and design capabilities. We are seeking a talented Senior Compliance Project Manager to support our Risk, Regulatory & Compliance Business Unit.As a Senior Compliance Project Manager, you will work closely with our...

Larson Maddox is seeking a seasoned Compliance professional to lead specialist Compliance Testing programs across the firm's Broker Dealer business. The ideal candidate will have a strong background in Compliance Testing, with a focus on Volcker rule testing. The role will involve devising and delivering the firm's annual Compliance Testing program, leading...

Job SummaryLarson Maddox is seeking a highly experienced Senior Compliance Manager to join our Investment Banking team. As a key member of our Compliance department, you will provide specialist Compliance advice and guidance to senior leaders and key members of our growing Investment Banking business.About the RoleThe Senior Compliance Manager will be...

About the RoleWe are seeking a highly skilled Accounts Receivable Collections Manager to join our team at Sovos Compliance. As a key member of our finance department, you will be responsible for managing all aspects of revenue and assisting with our management accounts process.Key ResponsibilitiesWork closely with internal and external stakeholders to...

Job Title: Senior Compliance AuditorJoin Bank of China Limited, New York Branch as a Senior Compliance Auditor and play a key role in ensuring the bank's compliance with regulatory requirements and internal policies.Job Summary:The Senior Compliance Auditor will assist the Team Lead in the oversight, design, and execution of audit coverage for the bank's...

Job SummaryWe are seeking a highly experienced Senior Manager to lead our Volcker Compliance team in the United States. As a key member of our Global Banking and Markets organization, you will be responsible for ensuring compliance with the Volcker Rule and other regulatory requirements.Key ResponsibilitiesLead and drive a customer-focused culture by working...

About the RoleBessemer Trust is seeking an experienced Compliance Manager to join our Investment Compliance team. As a senior member of the team, you will assist in the management of the and 38a-1 Compliance Programs, including oversight of the Investment Compliance testing and monitoring program.Key Responsibilities:Assist in the management of the and 38a-1...

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 Title: Senior Compliance OfficerJoin Sumitomo Mitsui Banking Corporation as a Senior Compliance Officer and play a critical role in ensuring the company's compliance with regulatory requirements.About the RoleThe Senior Compliance Officer will be responsible for providing regulatory and compliance advice to business units, identifying and providing...

Job Title: Senior Compliance OfficerSumitomo Mitsui Banking Corporation (SMBC) is a leading global financial institution with a rich history and diverse range of financial services. As a Senior Compliance Officer, you will play a critical role in ensuring the company's compliance with regulatory requirements and maintaining a strong reputation in the...

Job Title: Senior Compliance AuditorWe are seeking a highly motivated and experienced Senior Compliance Auditor to join our team at Société Générale Assurances.About the Role:The Senior Compliance Auditor will be responsible for leading audit assignments, overseeing all aspects of the audit process, and having full ownership of the audits assigned. The...

Job Title: Senior Compliance OfficerSumitomo Mitsui Banking Corporation (SMBC) is a leading global financial institution with a rich history and diverse range of financial services. As a Senior Compliance Officer, you will play a critical role in ensuring the company's compliance with regulatory requirements and maintaining a strong reputation in the...

Senior Compliance ProfessionalA reputable asset management firm, Tandym Group, based in New York City, is seeking an experienced Senior Compliance Professional to join their dedicated team in Manhattan.Key Responsibilities:Develop and implement comprehensive compliance strategies to ensure regulatory adherence and prevent violations across internal...

Job Title: Senior Project Manager - Compliance PrivacyMontefiore Health System is seeking a highly motivated and team-oriented individual to support the development and implementation of a robust compliance program across the organization.Key Responsibilities:Collaborate with the Compliance team to develop and implement compliance initiatives and best...

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...

Job SummaryWe are seeking a highly skilled and experienced Senior Compliance Officer to join our team. As a key member of our Compliance and Control department, you will be responsible for ensuring that our Swap Dealer entities comply with all relevant regulations and laws.Key ResponsibilitiesDesign and implement effective compliance programs and policies to...

Job SummaryWe are seeking a highly skilled Compliance Manager to join our team at Raymond James Financial, Inc. in St. Petersburg, FL. As a key member of our compliance team, you will be responsible for ensuring that our firm's policies and procedures are up-to-date and commensurate with the level of risk being mitigated.Key ResponsibilitiesManage the...

Compliance Consultancy Director - Private Funds ExpertWe are seeking an experienced Compliance Consultancy Director to join our team in New York. As a key member of our Regulatory Consulting team, you will be responsible for providing strategic compliance advice and resolutions to complex questions involving multiple regulators.Key Responsibilities:Acting as...