Chief Compliance Officer Broker Dealer And Registered Investment Advisor in united states (1000+)
1 day agoBe an early applicant
Chief Compliance Officer - Broker-Dealer and Registered Investment Advisor
Mercury
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Financial Services · Late Stage
New York, NY
Full-time
$270K/yr - $303K/yr
Onsite
Director/Executive
10+ years expLess than 25 applicants
H1B Sponsor Likely
11 hours agoBe an early applicant
Regional Compliance Officer - Key Investment Services (KIS)
KeyBank
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Late Stage
United StatesFull-time$71K/yr - $125K/yrOnsiteSenior Level5+ years expLess than 25 applicants
11 hours agoBe an early applicant
Regional Compliance Officer - Key Investment Services (KIS)
KeyBank
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Late Stage
Brooklyn, OHFull-time$71K/yr - $125K/yrHybridSenior Level5+ years expLess than 25 applicants
2 days ago
Compliance Officer Senior-Investment Advisory
City National Bank
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Banking · Public
New York, NYFull-time$99K/yr - $176K/yrOnsiteMid, Senior Level7+ years exp37 applicants
H1B Sponsor Likely
3 days ago
Chief Compliance Officer for Investments & Reinsurance - Director
KKR
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Financial Services · Public
New York, NYFull-time$225K/yr - $250K/yrOnsiteDirector/Executive15+ years exp57 applicants
6 days ago
Broker Dealer Regulatory Governance Advisory Compliance Officer
SMBC Group
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Financial Services · Late Stage
New York, NYFull-time$139K/yr - $200K/yrHybridMid, Senior Level47 applicants
H1B Sponsor Likely
1 week ago
Associate Regional Consultant – Broker Dealer, AVP - State Street Investment Management
State Street
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Financial Services · Public
Boston, MAFull-time$70K/yr - $130K/yrHybridMid Level3+ years expLess than 25 applicants
1 week ago
Compliance Analyst – Registered Investment Advisors
Natixis Investment Managers
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Financial Services · Growth Stage
Boston, MAFull-time$70K/yr - $90K/yrHybridMid Level3+ years exp61 applicants
3 weeks ago
Broker Dealer Compliance Officer
BTG Pactual
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Financial Services · Public
MiamiFull-timeOnsiteMid Level3+ years expLess than 25 applicants
Comp. & Benefits
1 week ago
Chief Compliance Officer: VALIC Financial Advisors (VFA) - Registered Investment Advisor
Corebridge Financial
/
Financial Services · Public
Houston, TXFull-timeOnsiteDirector/Executive10+ years exp39 applicants
1 week ago
Marketing Compliance Broker/Dealer Officer
TCW
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Financial Services · Late Stage
Los Angeles, CAFull-time$115K/yr - $150K/yrHybridMid, Senior Level6+ years exp57 applicants
H1B Sponsor Likely
1 month ago
Investment Advisory Compliance Program Office Manager
PanAgora Asset Management
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Financial Services · Growth Stage
United StatesFull-time$106K/yr - $149K/yrRemoteSenior Level5+ years exp47 applicants
No H1B
4 days ago
Compliance Advisory Associate - Private Side, Broker-Dealer
SMBC Group
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Financial Services · Late Stage
Jersey City, NJFull-time$82K/yr - $140K/yrHybridMid, Senior Level4+ years exp36 applicants
H1B Sponsor Likely
2 weeks ago
Associate Regional Consultant – Broker Dealer, AVP - State Street Investment Management
State Street
/
Financial Services · Public
Boston, MassachusettsFull-time$70K/yr - $130K/yrHybridMid Level3+ years exp88 applicants
6 days ago
Associate, Broker-Dealer Private Side Compliance Advisory
SMBC Group
/
Financial Services · Late Stage
New York, NYFull-time$82K/yr - $140K/yrHybridMid Level4+ years exp37 applicants
H1B Sponsor Likely
3 days ago
VP Compliance Officer - Broker Dealer
JCW Group
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Staffing & Recruiting · Growth Stage
New York, United StatesFull-timeOnsiteSenior Level, Lead/Staff, Director/Executive7+ years exp64 applicants
Growth Opportunities
3 weeks ago
Chief Compliance Officer - Broker/Dealer
Leeds Professional Resources
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Staffing & Recruiting · Early Stage
Miami, FLFull-time$250K/yr - $275K/yrHybridDirector/Executive156 applicants
4 hours agoBe an early applicant
DEPUTY CHIEF INVESTMENT OFFICER, CSTRS
Caltrans District 3
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Late Stage
Sacramento, CAFull-time$28K/yr - $47K/yrHybridDirector/ExecutiveLess than 25 applicants
12 hours agoBe an early applicant
Compliance Officer
654GLOBAL
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Growth Stage
Destin, FLFull-timeOnsiteMid Level3+ years expLess than 25 applicants
14 hours agoBe an early applicant
Compliance Officer
Allspring Global Investments
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Financial Services · Late Stage
Minneapolis, MNFull-time$100K/yr - $125K/yrHybridSenior Level, Lead/Staff10+ years expLess than 25 applicants
