Chief Compliance Officer Broker Dealer And Registered Investment Advisor in united states (1000+)

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20 hours ago
Chief Compliance Officer - Broker-Dealer and Registered Investment Advisor
Mercury
/
Banking · Financial Services · Late Stage
New York, NY
Full-time
$270K/yr - $303K/yr
Onsite
Director/Executive
10+ years exp
42 applicants


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H1B Sponsor Likely

14 hours agoBe an early applicant
Chief Compliance Officer for Investments & Reinsurance - Director
KKR
/
Advice · Asset Management · Public
New York, NY
Full-time
$225K/yr - $250K/yr
Onsite
Director/Executive
15+ years exp
Less than 25 applicants


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5 days ago
Broker Dealer Regulatory Governance Advisory Compliance Officer
SMBC Group
/
Advice · Banking · Late Stage
New York, NY
Full-time
$139K/yr - $200K/yr
Hybrid
Mid, Senior Level
70 applicants


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H1B Sponsor Likely

2 weeks ago
Regional Compliance Officer (West) - Key Investment Services (KIS)
KeyBank
/
Banking · Late Stage
United States
Full-time
$71K/yr - $125K/yr
Onsite
Mid, Senior Level
5+ years exp
49 applicants


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1 month ago
Broker Dealer Compliance Officer
BTG Pactual
/
Asset Management · Banking · Public
Miami
Full-time
Onsite
Mid Level
3+ years exp
Less than 25 applicants


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Comp. & Benefits

1 week ago
Marketing Compliance Broker/Dealer Officer
TCW
/
Asset Management · Finance · Late Stage
Los Angeles, CA
Full-time
$115K/yr - $150K/yr
Hybrid
Senior Level
6+ years exp
48 applicants


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H1B Sponsor Likely

2 months ago
Chief Risk Officer, Broker Dealer
Alpaca
/
Education · Gift · Early Stage
United States
Full-time
Remote
Director/Executive
8+ years exp
67 applicants


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H1B Sponsor Likely

1 week ago
Broker Dealer Compliance Officer
Fortune 500
/
Staffing & Recruiting · Early Stage
NYC Metro Area
Contract
Onsite
Entry, Mid, Senior Level
82 applicants


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1 month ago
Associate Regional Consultant – Broker Dealer, AVP - State Street Investment Management
State Street
/
Banking · Finance · Public
Boston, Massachusetts
Full-time
$70K/yr - $130K/yr
Hybrid
Mid Level
3+ years exp
88 applicants


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2 weeks ago
Compliance Officer - Broker Dealer
Phaxis
/
Delivery · Human Resources · Growth Stage
New York, NY
Contract
$60/hr - $70/hr
Onsite
Senior Level
5+ years exp
Less than 25 applicants


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3 months ago
Director of Compliance (Broker/Dealer Investment Banking)
Texas Capital
/
Banking · Finance · Public
Dallas, TX
Full-time
Onsite
Senior Level, Lead/Staff
10+ years exp
Less than 25 applicants


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2 weeks ago
Regional Compliance Officer - Key Investment Services (KIS)
KeyBank
/
Banking · Late Stage
Brooklyn, OH
Full-time
$71K/yr - $125K/yr
Hybrid
Senior Level
5+ years exp
Less than 25 applicants


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1 week ago
Associate Regional Consultant – Broker Dealer, AVP - State Street Investment Management
State Street
/
Banking · Finance · Public
Boston, MA
Full-time
$70K/yr - $130K/yr
Hybrid
Mid Level
3+ years exp
Less than 25 applicants


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1 week ago
Deputy Compliance Officer - Registered Investment Advisor
Conselium Compliance Search
/
Recruiting · Staffing Agency · Early Stage
Dallas, TX
Full-time
Onsite
Mid Level
39 applicants


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2 weeks ago
VP Compliance Officer - Broker Dealer
JCW Group
/
Human Resources · Recruiting · Growth Stage
New York, United States
Full-time
Onsite
Senior Level, Lead/Staff, Director/Executive
7+ years exp
72 applicants


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Growth Opportunities

4 hours ago
VP, Compliance – Retail & Digital Banking
Partnership Employment
/
Consulting · Human Resources · Early Stage
Greater Chicago Area
Full-time
$117K/yr - $150K/yr
Hybrid
Director/Executive
121 applicants


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6 hours ago
Vice President Senior Compliance CRA Officer
First Bank Chicago
/
Banking · Finance · Growth Stage
Greater Chicago Area
Full-time
$128K/yr - $155K/yr
Hybrid
Mid, Senior Level
5+ years exp
46 applicants


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4 hours agoBe an early applicant
Chief Compliance Officer, Pharmaceutical Diagnostics (PDx)
GE HealthCare
/
Apps · Health Care · Public
Chicago, IL
Full-time
$208K/yr - $312K/yr
Onsite
Director/Executive
10+ years exp
Less than 25 applicants


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Growth Opportunities
No H1B

5 hours agoBe an early applicant
Head of Compliance, Real Estate Lending and TD Auto Finance
TD
/
Banking · Finance · Late Stage
New York, NY
Full-time
$200K/yr - $280K/yr
Onsite
Director/Executive
10+ years exp
Less than 25 applicants


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5 hours agoBe an early applicant
Compliance Officer
Allspring Global Investments
/
Asset Management · Consulting · Late Stage
Minneapolis, MN
Full-time
$100K/yr - $125K/yr
Hybrid
Senior Level, Lead/Staff
10+ years exp
Less than 25 applicants


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