Top Compliance Officer Jobs in NYC, NY

The Senior Compliance Manager will lead a team overseeing the Communications Surveillance Program, ensuring compliance with regulatory requirements and managing risks.

The Director, Compliance and Control will manage investment adviser compliance programs, ensure regulatory adherence, support strategic business initiatives, and develop policies in line with regulations.

The Senior Compliance Officer supports compliance monitoring and testing, executes testing engagements, and develops compliance metrics while collaborating globally to ensure regulatory adherence.

The Senior Compliance Officer will lead compliance monitoring, testing, and resource management, develop metrics, and ensure effective stakeholder communication to uphold regulatory standards.

Review marketing materials for compliance with FINRA and SEC rules, draft disclosures, submit materials to FINRA, and advise advisers on marketing issues.

Lead PIMCO's global compliance program, ensuring governance, regulatory alignment, and effective risk management while mentoring a high-performing team and enhancing operational resilience.

As the Compliance Officer, you will develop compliance frameworks, manage risk controls, advise on compliance risks, and ensure adherence to regulatory requirements.

The Senior Compliance Officer will manage trade surveillance data quality, ensuring compliance with regulatory requirements, collaborating with technology teams, and resolving data-related issues.

The Compliance Officer ensures adherence to regulatory standards through inspections, training, policy updates, and investigations, requiring strong analytical skills and clear communication.

The Regional Compliance Officer will advise Wealth Management teams on compliance, conduct risk, and regulatory issues while overseeing risk management and compliance initiatives within the region.