Brown Brothers Harriman-New York, NYEst. $82,000 - $110,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

Ability to work well with junior and senior Compliance Officers. Monitor compliance with applicable US regulations and ensures consistent implementation for...

9 days ago

BNY Mellon-Lake Mary, FLEst. $100,000 - $140,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

To ensure compliance with laws, rules and regulations. Compliance efforts for the Company as they relate to complex regulatory and....

Bank of America-New York, NY

Minimum 7 years compliance or municipal securities regulatory experience with a Municipal broker dealer or regulator....

Keystone Capital Corporation-San Diego, CAEst. $73,000 - $98,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

This role we are hiring for is Chief Compliance Officer. Keystone is a 30 year old broker dealer based in San Diego, CA....

11 days ago

Ramax Search-Jersey City, NJ$190,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

This position requires an experienced compliance professional to join the Compliance Team in Jersey City, NJ....

BGC Partners-New York, NYEst. $110,000 - $140,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

Some experience in broker dealer. Assistant Vice President, AML Compliance Officer. Firm is looking for an AML Compliance Officer (AVP) with extensive knowledge...

11 days ago

Vanguard-Scottsdale, AZEst. $81,000 - $110,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

Familiarity with and experience in using relevant broker dealer systems and applications, as applicable....

Capital One-New Orleans, LAEst. $120,000 - $170,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

Performs other related work as assigned by a Commercial Bank Compliance Officer or the Chief Compliance Officer....

Marsh-New York, NYEst. $120,000 - $150,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

This position is under the general supervision of a Chief Compliance Officer. The Senior Compliance Officer is responsible for supporting the compliance agenda...

5 days ago

Marsh & McLennan Companies-New York, NYEst. $120,000 - $150,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

Senior Compliance Officer. This position is under the general supervision of a Chief Compliance Officer....

5 days ago

SunTrust-Atlanta, GAEst. $90,000 - $130,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

Compliance Officer - Monitoring & Surveillance Team Leader - Atlanta, GA-W442016. Performing trade surveillance of broker-dealer, swap dealer and bank dealer...

Morgan Stanley-Baltimore, MDEst. $120,000 - $160,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

The Global Compliance Department manages a Firmwide Compliance Risk Management program, including Compliance risks that transcend business lines, legal entities...

Advisor Group-Phoenix, AZEst. $100,000 - $140,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

Draft and/or review advisory program documents, supervisory procedures and compliance policies and procedures;...

Guardian Life Insurance Company-New York, NY

Assisting the Chief Compliance Officer in developing and operating a robust compliance and risk management program for PAS....

Robert Walters-White Plains, NY$70,000 - $80,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

A well known wealth manager is looking to add a compliance officer to their wealth management and broker/dealer compliance team....

10 days ago

Triad Advisors, Inc.-Norcross, GAEst. $75,000 - $100,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

The RIA Compliance Manager will report to the Deputy Chief Compliance Officer of the RIA and will provide support services to both advisors under the Triad...

HighTower Advisors-Chicago, ILEst. $90,000 - $110,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

This position reports to the Chief Compliance Officer. Management of the firm’s compliance software and recordkeeping system – Schwab Compliance Technologies....

3 days ago

Northstar Wealth Partners-West Hartford, CTEst. $65,000 - $95,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

Our Chief Compliance Officer will lead the continuous enhancement and operation of the firm’s current compliance program, ensuring our adherence to all FINRA...

Brighton Securities-Rochester, NYEst. $72,000 - $100,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

Compliance manager of the broker dealer and RIA. Knowledge of compliance regulations as they pertain to the Broker Dealer and RIA....

6 days ago

Robinhood-Orlando, FLEst. $82,000 - $100,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

Internal testing of compliance in functional areas such as new accounts, acats, cashiering, securities processing, and settlements and communicating findings to...


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