Top 19 Compliance officer Jobs in Plainfield, Nj

Chief Compliance Officer (FINRA Broker Dealer or SEC RIA)
Frec Markets, Inc. —New York, NY
- $180,000 - $260,000 a year
- Full-time
- Hybrid work
- Senior level
- Communication skills
- Dental insurance
- 401(k)
14d
Head of US Compliance and Deputy Chief Compliance Officer
Menarini Group —New York, NY
- $263,001 - $360,926 a year
- 11+ years
- Office
- Bachelor's degree
- Health savings account
- AD&D insurance
Chief Compliance Officer
New Jersey Institute of Technology —Newark, NJ
- $130,000 - $150,000 a year
- Full-time
- HIPAA
- Residential
- 8 years
Chief Compliance Officer
Moment —New York, NY
- $260,000 - $290,000 a year
- Full-time
- Office
- Senior level
- Under 1 year
- Dental insurance
- Vision insurance
Quick Apply
Head of Broker Dealer Compliance, Americas and Chief Compliance Officer
Marex —New York, NY
- $290,000 - $335,000 a year
- Full-time
- Office
- Senior level
- Leadership
Quick Apply
3d
Chief Compliance Officer, Swap Dealer
FalconX —New York, NY
- $191,000 - $252,000 a year
- Full-time
- Hybrid work
- Bachelor's degree
- Team management
- Conflict management
- Paid holidays
- Relocation assistance
Quick Apply
4d
Senior Director, Compliance
Fiserv —Berkeley Heights, NJ
- $150,000 - $240,000 a year
- Full-time
- 6 years
- Office
- Finance
- Paid parental leave
- Employee stock purchase plan
Director, Compliance Monitoring
NORTHEAST POWER COORDINATING —New York, NY
- $200,000 - $220,000 a year
- Full-time
- Microsoft Excel
- Microsoft Outlook
- 5 years
Quick Apply
Deputy Chief Diversity Officer - Business Program Compliance
Metropolitan Transportation Authority —New York, NY
- $165,000 - $185,000 a year
- Weekends as needed
- Bachelor of Science
- 11+ years
- Office
Director, Compliance Regulatory
moomoo —Jersey City, NJ
- $190,000 - $230,000 a year
- Full-time
- 7 years
- Writing skills
- Office
- Paid holidays
- Health insurance
Quick Apply
Director, Compliance
BLDG SVC 32 B-J —New York, NY
- $245,000 - $260,000 a year
- Full-time
- Office
- Analysis skills
- Bachelor's degree
Quick Apply
Director, Compliance
Cosette Pharmaceuticals Inc. —Bridgewater, NJ
- $184,000 - $230,000 a year
- Full-time
- Hybrid work
- HIPAA
- Office
- Microsoft Office
- Wellness program
- Paid holidays
14d
Director, Compliance (AML)
moomoo —Jersey City, NJ
- $145,000 - $180,000 a year
- Full-time
- Office
- In-person
- Senior level
- Paid holidays
- Health insurance
Quick Apply
Deputy Chief Compliance Officer, Corporate Vice President
New York Life —New York, NY
- $160,000 - $250,000 a year
- Hybrid work
- Office
- Bachelor's degree
- Continuous improvement
- Loan repayment program
- Adoption assistance
Director, Compliance and Validation
Design Group —East Brunswick, NJ
- Full-time
- Background check
- Word processing
- Bachelor of Science
Director - Compliance Consulting
WTW —New York, NY
- $95,000 - $165,000 a year
- Full-time
- Management
- HIPAA
- Bachelor's degree
- Paid jury duty
- Health savings account
7h
Director, Compliance Advisory, Debt Capital Markets, US/Americas
Standard Chartered —New York, NY
- $140,300 - $210,400 a year
- Hybrid work
- Office
- 8 years
- Project management
- Health savings account
- Health insurance
Senior Director, Compliance & Program Fidelity
Acelero Inc —New York, NY
- $130,000 - $140,000 a year
- Full-time
- System design
- Master's degree
- Driver's License
- Health savings account
- Disability insurance
Quick Apply
5d
Deputy Chief Compliance Officer
Kaztronix —United States
- 11+ years
- Office
- Bachelor's degree
Quick Apply

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Head of US Compliance and Deputy Chief Compliance Officer
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Chief Compliance Officer (FINRA Broker Dealer or SEC RIA)

Frec Markets, Inc.
New York, NY

Apply Now

Job Details

Full-time
$180,000 - $260,000 a year
14 days ago

Benefits

Dental insurance
401(k)
Paid time off
Vision insurance

Qualifications

Securities & Exchange Commission
Series 7
Series 24
Securities law
FINRA License

Full Job Description

About Frec

Our mission is to help create enduring wealth. To do this, we don't promise shortcuts or magic strategies. We respect the realities of investing as it actually works, and challenge the long-standing assumption that returns and taxes belong in separate conversations. By building tax-aware investment tools once reserved for the ultra-wealthy, Frec empowers investors to hold onto more of what they earn.

In the last year, Frec has been growing exponentially – 50% QoQ growth with over $1B+ in customer assets. We raised our Series A with Greylock Partners and have an impressive list of other funds and angel investors backing our company. If you're looking to join a fast-growing team with high potential, Frec could be the place for you. Learn more about Frec as a company at www.frec.com.

About the Role

Frec operates two regulated entities: a broker-dealer and a registered investment advisor. Today a single individual holds both seats. As we scale, we're adding a second Chief Compliance Officer to take on one of the two CCO roles (broker-dealer or RIA, based on fit and experience), while our current CCO retains the other. You'll work in close partnership with them to divide responsibilities cleanly, share context, and build a compliance function that's built to scale with two dedicated leaders instead of one. We're customer-centric, every decision starts with how it benefits our customers. We're efficiency-seeking, we scale with accuracy while reducing risk. And we're team-focused, we succeed and face challenges together, with accountability and humility. If that resonates, join us at a pivotal time to help shape our compliance program and Frec's future.

What You Will Do

You'll build, own, and scale the compliance program for the entity you serve as CCO of (broker-dealer or RIA), working in close coordination with the other Frec CCO and cross-functionally with Operations, Legal, Product, and Engineering to ensure the firm operates within regulatory requirements while moving at startup speed.

Regulatory compliance program — Serve as CCO of either Frec's broker-dealer or its RIA, maintaining and evolving written supervisory procedures (WSPs) and compliance manuals to reflect current regulations and business practices.
Regulatory relationships — Act as a primary liaison with FINRA, the SEC, and state regulators for your entity; manage exams, inquiries, and filings, and ensure timely, accurate responses.
Supervision & surveillance — Design and oversee supervisory and surveillance systems across trading, communications, and account activity, ensuring escalations are identified and resolved promptly.
Account opening & KYC/AML — Own the compliance framework for account opening, KYC, and AML/BSA programs, including suspicious activity monitoring and reporting.
Marketing & communications review — Review marketing materials, advertising, and customer communications for regulatory compliance, coordinating with the other CCO where materials touch both entities.
Policy development — Draft and maintain compliance policies as Frec launches new products and features, partnering with Product and Engineering early in the development process.
Training & culture — Build and lead compliance training programs for your entity, fostering a culture of compliance across the organization.
Regulatory filings & audits — Oversee required regulatory filings and support annual audits, exams, and financial reporting for your entity.
Risk assessment — Conduct ongoing risk assessments across the business and recommend controls to mitigate emerging risks.

Beyond core compliance responsibilities, you'll also:

Partner closely with Frec's other CCO to ensure consistent standards and clean handoffs between the broker-dealer and RIA compliance programs.
Partner cross-functionally with Operations, Legal, Product, and Engineering as a subject-matter expert on regulatory matters.
Help build the compliance infrastructure and technology needed to scale a compliance function without scaling headcount linearly.
Contribute to strategic decisions as a member of the senior leadership team.

What You Bring

Active FINRA Series 7 and Series 24 licenses required for BD
Significant experience working with both or either Registered Investment Advisors (RIAs) or Broker-Dealers (BDs), with a deep understanding of the regulatory frameworks governing each
A track record of building and scaling compliance programs, ideally at a technology-driven or fintech firm
Prior experience serving as a CCO, or in senior compliance leadership, at a broker-dealer and/or RIA
A Juris Doctorate (JD) or other advanced degree preferred
Strong working knowledge of FINRA, SEC, and state regulatory requirements
Excellent written and verbal communication skills, with the ability to work cross-functionally across compliance, operations, legal, product, and engineering
Comfort partnering closely with a fellow senior compliance leader to divide ownership and keep both entities' compliance programs aligned
Comfort with the ambiguity and pace of an early-stage company — you're happy to build programs and processes that don't have a playbook yet

Location

This role is ideally based in San Francisco or New York. Exceptional remote candidates are encouraged to apply. Compensation ranges are based on our San Francisco and New York markets and may vary for candidates in other locations.

What We Offer

Base salary of $180,000–$260,000, determined by experience, skills, qualifications, and location
Meaningful equity: we want you to own a piece of what you're building
Fully paid health, vision, and dental insurance
401(k)
Monthly wellness allowance for physical and mental health
Flexible PTO
Catered lunch every day in our SF and NYC offices

Apply Now

Refine Your Search

compliance officer jobs in plainfield, nj

Chief Compliance Officer (FINRA Broker Dealer or SEC RIA)

Head of US Compliance and Deputy Chief Compliance Officer

Chief Compliance Officer

Chief Compliance Officer

Head of Broker Dealer Compliance, Americas and Chief Compliance Officer

Chief Compliance Officer, Swap Dealer

Senior Director, Compliance

Director, Compliance Monitoring

Deputy Chief Diversity Officer - Business Program Compliance

Director, Compliance Regulatory

Director, Compliance

Director, Compliance

Director, Compliance (AML)

Deputy Chief Compliance Officer, Corporate Vice President

Director, Compliance and Validation

Director - Compliance Consulting

Director, Compliance Advisory, Debt Capital Markets, US/Americas

Senior Director, Compliance & Program Fidelity

Deputy Chief Compliance Officer