Chief Compliance Officer Broker Dealer And Registered Investment Advisor in united states (1000+)

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2 weeks ago
Chief Compliance Officer - Broker-Dealer and Registered Investment Advisor
Mercury
/
Banking · Financial Services · Late Stage
New York, NY
Full-time
$270K/yr - $303K/yr
Onsite
Director/Executive
10+ years exp
32 applicants


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H1B Sponsor Likely

1 day ago
Broker Dealer Regulatory Governance Advisory Compliance Officer
SMBC Group
/
Advice · Banking · Late Stage
New York, NY
Full-time
$139K/yr - $200K/yr
Hybrid
Mid, Senior Level
66 applicants


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H1B Sponsor Likely

1 week ago
Chief Compliance Officer for Investments & Reinsurance - Director
KKR
/
Advice · Asset Management · Public
New York, NY
Full-time
$225K/yr - $250K/yr
Onsite
Director/Executive
15+ years exp
61 applicants


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1 week ago
Regional Compliance Officer (West) - Key Investment Services (KIS)
KeyBank
/
Banking · Late Stage
United States
Full-time
$71K/yr - $125K/yr
Onsite
Mid, Senior Level
5+ years exp
49 applicants


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1 week ago
Chief Officer Investigations & Compliance
Metropolitan Transportation Authority
/
Transportation/Trucking/Railroad · Late Stage
New York, NY
Full-time
$138K/yr - $189K/yr
Onsite
Director/Executive
10+ years exp
Less than 25 applicants


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1 month ago
Broker Dealer Compliance Officer
BTG Pactual
/
Asset Management · Banking · Public
Miami
Full-time
Onsite
Mid Level
3+ years exp
Less than 25 applicants


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Comp. & Benefits

1 week ago
Compliance Officer - Broker Dealer
Phaxis
/
Delivery · Human Resources · Growth Stage
New York, NY
Contract
$60/hr - $70/hr
Onsite
Senior Level
5+ years exp
Less than 25 applicants


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4 days agoBe an early applicant
Associate Regional Consultant – Broker Dealer, AVP - State Street Investment Management
State Street
/
Banking · Finance · Public
Boston, MA
Full-time
$70K/yr - $130K/yr
Hybrid
Mid Level
3+ years exp
Less than 25 applicants


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1 week ago
Marketing Compliance Broker/Dealer Officer
TCW
/
Asset Management · Finance · Late Stage
Los Angeles, CA
Full-time
$115K/yr - $150K/yr
Hybrid
Senior Level
6+ years exp
48 applicants


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H1B Sponsor Likely

1 week ago
Broker Dealer Compliance Officer
Fortune 500
/
Staffing & Recruiting · Early Stage
NYC Metro Area
Contract
Onsite
Entry, Mid, Senior Level
73 applicants


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2 months ago
Director of Compliance (Broker/Dealer Investment Banking)
Texas Capital
/
Banking · Finance · Public
Dallas, TX
Full-time
Onsite
Senior Level, Lead/Staff
10+ years exp
Less than 25 applicants


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1 week ago
Regional Compliance Officer - Key Investment Services (KIS)
KeyBank
/
Banking · Late Stage
Brooklyn, OH
Full-time
$71K/yr - $125K/yr
Hybrid
Senior Level
5+ years exp
Less than 25 applicants


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3 weeks ago
Compliance Advisory Associate - Private Side, Broker-Dealer
SMBC Group
/
Advice · Banking · Late Stage
Jersey City, NJ
Full-time
$82K/yr - $140K/yr
Hybrid
Mid, Senior Level
4+ years exp
43 applicants


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H1B Sponsor Likely

1 month ago
Associate Regional Consultant – Broker Dealer, AVP - State Street Investment Management
State Street
/
Banking · Finance · Public
Boston, Massachusetts
Full-time
$70K/yr - $130K/yr
Hybrid
Mid Level
3+ years exp
88 applicants


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5 days ago
Compliance Officer-Broker Dealer Advisory
Atlas Search
/
Finance · Recruiting · Growth Stage
NYC Metro Area
Full-time
$150K/yr - $200K/yr
Hybrid
Mid Level
58 applicants


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Growth Opportunities

6 days ago
Deputy Compliance Officer - Registered Investment Advisor
Conselium Compliance Search
/
Recruiting · Staffing Agency · Early Stage
Dallas, TX
Full-time
Onsite
Mid Level
32 applicants


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1 week ago
VP Compliance Officer - Broker Dealer
JCW Group
/
Human Resources · Recruiting · Growth Stage
New York, United States
Full-time
Onsite
Senior Level, Lead/Staff, Director/Executive
7+ years exp
71 applicants


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Growth Opportunities

3 hours agoBe an early applicant
Business Compliance Officer, AMS - Global Payment
ByteDance
/
Content · Data Mining · Late Stage
San Jose, CA
Full-time
$142K/yr - $333K/yr
Onsite
Senior Level
5+ years exp
Less than 25 applicants


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Comp. & Benefits
H1B Sponsor Likely

7 hours agoBe an early applicant
Contract Compliance Officer
City of Dayton
/
Government Administration · Late Stage
Dayton, OH
Contract
Onsite
Entry Level
1+ years exp
Less than 25 applicants


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4 hours ago
Executive Director, Lending Advisor
Morgan Stanley
/
Asset Management · Finance · Public
Menlo Park, CA
Full-time
$299K/yr - $299K/yr
Onsite
Mid, Senior Level
5+ years exp
49 applicants


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H1B Sponsor Likely