All Jobs (13)

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Cadre - New York, NY

The position requires close collaboration with the company’s chief compliance officer, general counsel, senior legal and compliance team members, company...

Estimated: $91,000 - $120,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired or its affiliates. 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.

COR Clearing LLC - Omaha, NE

Chief Compliance Officer*. The Chief Compliance Officer (CCO) will report to the Chief Legal Officer. Oversight of various compliance duties....

Estimated: $100,000 - $150,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired or its affiliates. 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.

Sponsored

Redwood Investment Management - Los Angeles, CA

Senior Compliance Professional will quarterback Redwood’s compliance program and report to the Firm’s Chief Compliance Officer/Chief Operating Officer....

$75,000 - $110,000 a yearSponsored1d

Triad Advisors, Inc. - Norcross, GA

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...

Estimated: $60,000 - $83,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired or its affiliates. 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.

Sponsored

Financial Advocates - Olympia, WA

Hands-on monitoring, testing, and execution of compliance tasks, including employee trading monitoring, compliance training, and other supervisory functions....

Estimated: $88,000 - $110,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired or its affiliates. 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.

10d

Marsh - New York, NY

This role reports to the Chief Compliance Officer. Compliance project management; The Senior Compliance Specialist also assists with the development of...

Estimated: $110,000 - $140,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired or its affiliates. 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.

Boenning & Scattergood, Inc - Conshohocken, PA

Work with compliance staff on retail brokerage compliance, as needed (and perform corresponding compliance duties). Monitor alpha capture trading....

Estimated: $73,000 - $95,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired or its affiliates. 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.

ORIX - Columbus, OH

Furthermore, the Deputy Chief Compliance Officer will support the Chief Compliance Officer for the following entities, among others:....

Estimated: $110,000 - $150,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired or its affiliates. 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.

4d

COR Clearing LLC - Omaha, NE

Chief Compliance Officer*. The Chief Compliance Officer (CCO) will report to the Chief Legal Officer. Oversight of various compliance duties....

Estimated: $100,000 - $150,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired or its affiliates. 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.

Scotiabank - New York, NY

A minimum of 3 years of legal or compliance experience supporting broker dealer trading businesses. The position will be involved in a variety of projects to...

Estimated: $75,000 - $110,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired or its affiliates. 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.

Redwood Investment Management - Los Angeles, CA

Senior Compliance Professional will quarterback Redwood’s compliance program and report to the Firm’s Chief Compliance Officer/Chief Operating Officer....

$75,000 - $110,000 a year1d

Empala Securities LLC - San Francisco Bay Area, CA

Performing reviews of various transactions on reports and escalating to the Chief Compliance Officer (COO) for a response, as needed....

Estimated: $64,000 - $83,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired or its affiliates. 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.

11d

OFFICE OF THE COMPTROLLER - Manhattan, NY

And,Conducting special projects as required by the Chief Compliance Officer. This over $180 billion total portfolio is managed primarily by external investment...

$65,000 - $80,000 a year

CBIZ - Cleveland, OH

Broker Dealer and Registered Investment Advisory compliance experience. Work with external compliance consultants and the Chief Compliance Officer to maintain...

Estimated: $62,000 - $87,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired or its affiliates. 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.

CIBC - New York, NY

Incumbent must have a minimum of 3yrs+ credit experience in a banking or broker dealer environment. Risk Management is led by the Senior Executive Vice...

Estimated: $140,000 - $190,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired or its affiliates. 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.

12d

NEXT Financial Group, Inc. - Houston, TX

Investigate activities of associated persons under the direction of the Surveillance Supervisor, Compliance Director and Chief Compliance Officer....

Estimated: $39,000 - $52,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired or its affiliates. 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.