Compliance Officer Jobs in Pearl River, NY

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

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

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

Description Our client, a pension fund, is seeking a Privacy Compliance Associate to join their NYC based team. The Privacy and Compliance Specialist is responsible for... Read More

Job Description With an overarching mission to eliminate ageism and ensure the dignity and quality of life of approximately 1.8 million older New Yorkers, the NYC... Read More

Objective The Compliance Officer is an integral part of the Firm s Compliance team. Compliance professionals facilitate business decisions within a dynamic regulatory... Read More

Role Summary/Purpose The Company is looking for a dedicated compliance professional to join its legal and compliance team. The Senior Compliance Officer will report... Read More

COMPLIANCE OFFICER SENIOR WHAT IS THE OPPORTUNITY? The Senior Compliance Officer is responsible for managing and maintaining assigned areas of the compliance program... Read More

About this role: Wells Fargo is seeking a Senior Lead Compliance Officer to support the business aligned compliance functions on the Fixed Income Sales Trading Compliance... Read More

Job Purpose Compliance officer that will be responsible for supporting the local compliance program and related regulatory obligation. Key Accountabilities Support the... 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

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

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

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

Tradeweb Compliance is looking for a junior to mid-level compliance officer to support our core compliance functions across our regulated entities globally. You will... 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

Location: Downtown NYC Compensation: $350k total comp Job Function: CCO of Newly formed Public Real Estate Investment Trust (REIT) Build out and manage the compliance... Read More

Product Compliance Officer Location: Las Colinas, TX Aborder Products , founded in 2019, specializes in research and development in consumer products with the goal of... Read More

Together we fight for everyone's opportunity for a better financial future. We will do this together - with customers, partners and colleagues. We will fight for others,... Read More