Vice President Compliance Officer Jobs in Riverdale, NJ

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

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

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

Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)'s Surveillance team responsible for the design, implementation, and oversight for a... Read More

Serves as a Services product compliance risk officer across the North American Cluster for Independent Compliance Risk Management (ICRM) responsible for assisting with... Read More

Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)'s Surveillance team responsible for the design, implementation, and oversight for a... Read More

Serves as an Electronic Trading (ET) product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies,... Read More

Global Compliance Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of... 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

Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies, procedures, processes,... 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

Location: New York, NY, New York Type: Perm (Contingency) Job #36052 Salary: $250,000 Position Overview - Deputy Chief Compliance Officer: Our client, a leading investment... Read More

Serves as a function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for assisting with internal strategies,... Read More

Work Location : United States of America Hours: 40 Line of Business: Compliance Pay Detail: $160,000 - $187,000 USD TD is committed to providing fair and equitable... Read More

Manage the registration function for Jefferies LLC a FINRA member Broker-Dealer and its various North American affiliates. Including providing support for various... Read More

At BNY, our culture empowers you to grow and succeed. As a leading global financial services company at the center of the world's financial system we touch nearly 20% of... Read More

Overview: Permanent, full time onsite Connecting clients to markets and talent to opportunity With 4,300 employees and over 400,000 retail and institutional clients from... Read More

Overview Permanent, full time onsite Connecting clients to markets - and talent to opportunity With 4,300 employees and over 400,000 retail and institutional clients from... Read More

Who We Are NFP, an Aon Company, is a multi-year Best Places to Work award winner in Business Insurance who has also earned the 5-Star Diversity, Equity and Inclusion (DEI)... Read More