Chief Compliance Officer Jobs in Pine Brook, NJ

Job Description Our client company is a minority-owned financial services firm on the East Shore of NJ that provides a full suite of institutional brokerage services to a... Read More

TradeZero, which operates multiple broker-dealers focused on the active trader, is seeking a Chief Compliance Officer for its TZ Clear subsidiary. The role requires... Read More

We are actively recruiting for an seasoned banking Compliance professional to function as Deputy Chief Compliance Officer. Candidates should be in a Lead or Managerial... Read More

SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, including... Read More

We are looking for a Chief Compliance Officer who will play a crucial role in ensuring that Vise operates in compliance with all applicable laws, regulations, and industry... Read More

Who are we? FalconX is the most advanced digital asset platform for institutions. We provide trade execution, credit treasury management, prime offering and market making... Read More

The Chief Compliance Officer and Head of Regulatory will lead CLEAR's Compliance and Regulatory teams within Legal while working with teams across the company to build... Read More

You will have strong analytical, process management and communication skills with a proven ability to work with cross functional teams. You will be responsible for... Read More

Chief Compliance Officer (CCO) of Broker-Dealer at GCM Grosvenor New York, New York, United States SUMMARY The Compliance team is looking for a Chief Compliance Officer... Read More

Chief Compliance Officer for over $55 billion complex of funds registered under the Investment Company Act of 1940, covering multiple asset classes and strategies (equity,... Read More

Job Description Wedbush Securities is one of the largest securities firms and investment banks in the nation. We provide innovative financial solutions through our Wealth... Read More

Assist with the design, and execute regulatory compliance testing of the A - Ca. PS, FICCS businesses and Operations Department; test compliance with policies and... Read More

PIMCO is a global leader in active fixed income with deep expertise across public and private markets. We invest our clients' capital across a range of fixed income and... Read More

Growing Investment Banking and Broker Dealer client is seeking a strong compliance officer to join in an advisory capacity to support their clearing and prime brokerage... Read More

Wedbush Securities is one of the largest securities firms and investment banks in the nation. We provide innovative financial solutions through our Wealth Management,... Read More

Chief Compliance Officer, Broker Dealer New York City / Legal Legal / Full Time About Yieldstreet Yieldstreet is building the largest global digital wealth management... Read More

DESCRIPTION A New Jersey based SEC registered investment adviser ( RIA ) seeks candidates interested in applying for the role of Senior Compliance Officer for a firm with... Read More

Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance, you are at the center of keeping JPMorgan Chase strong and resilient. You help the firm... Read More

Summary Reporting to CACIB US Compliance s Head of Governance and Ethics, the Compliance Officer will be in charge of implementing maintaining CACIB US Compliance... Read More