Chief Compliance Officer: Average Salary in New York, NY in 2024

A company is looking for a Global Deputy Chief Compliance Officer (Global Compliance Lead). ...

This person will be instrumental in helping keep the firm’s broker-dealer, and related regulated entities, at the peak of compliance and providing guidance and attention to the companies launching and conducting their current business model, as well as supervising a staff of Compliance professionals...

Our client is a leading quantitative investment firm looking to find a Chief Compliance Officer for the buildout of their Clearing Broker-Dealer requirements. Designing and implementing a comprehensive broker-dealer compliance program, protecting the firm from regulatory risk. Ensuring compliance co...

The Chief Compliance Officer (CCO) will help oversee the company's ethics, compliance, and privacy initiatives. Coordinate with the Chief Legal Officer. Compliance, Leadership, Multi-Entity Outpatient Healthcare. Develop and update compliance program policies. ...

Chief Compliance and Privacy Officer. Develops, implements, and maintains a system for confidential reporting and investigation of compliance concerns with an appropriate response process, including coordination of an external compliance reporting system allowing for anonymous, non-retaliatory compl...

This person will be instrumental in helping keep the firm’s broker-dealer, and related regulated entities, at the peak of compliance and providing guidance and attention to the companies launching and conducting their current business model, as well as supervising a staff of Compliance professionals...

This is a critical role overseeing compliance for core parts of Forge’s business, reporting directly to the Head of Compliance. Maintain and enhance the company’s BD and RIA compliance program. Develop, implement, and maintain Forge’s broker-dealer and RIA compliance programs. Manage a staff of expe...

The Chief Compliance Officer, Brokerage, will champion a culture of compliance and will be responsible for managing compliance for Robinhood’s broker dealers. Coordinate compliance roles and responsibilities with the enterprise compliance team. The candidate will serve as an advisor for Robinhood Fi...

Implement and/or maintain a comprehensive investment advisory compliance program for SEC Registered Investment Advisor (“RIA”) affiliates of Société Générale Americas Securities, LLC, a FINRA broker-dealer, to ensure compliance and practices with Investment Company Act of 1940, as well as Securities...

This is a critical role overseeing compliance for core parts of Forge's business, reporting directly to the Head of Compliance. Maintain and enhance the company's BD and RIA compliance program. Develop, implement, and maintain Forge's broker-dealer and RIA compliance programs. Manage a staff of expe...

Report to the Auditmittee on a regular basis regarding program development initiatives,pliance incidents and other related matters .Guide the implementation of corporatepliance best practices by establishing and maintaining policies and procedures that are tailored to the organization, meet regulato...

Assist the Chief Compliance Officer in developing and implementing compliance policies and procedures that align with regulatory requirements and the company’s business objectives. Investigate and resolve compliance-related issues, and escalate issues to the Chief Compliance Officer when necessary. ...

Monitor compliance with cybersecurity policies and procedures within the IT environment and enforce consequences for non-compliance as necessary. Compliance: Ensure compliance with relevant regulatory requirements such as NIST (-53, -, CSF) HIPAA, PCI DSS, Directive 1, etc. Coordinate with legal and...

Director will be the Commercial Broker Dealer Chief Compliance Officer (“BD CCO”) for three institutional FINRA registered broker-dealers and provide compliance support to the Capital Markets line of business, a division within the Commercial Bank of Capital One. NYC 299 Park Avenue (22957), United ...

Reporting into the Enterprise Chief Compliance Officer, this is a leadership role within SoFi’s Compliance organization. Broker dealer and RIA,  Aadvise the Compliance and Legal teams on emerging compliance issues, regulatory changes, and new rules, and consult and guide the company in the esta...

The President and Chief Compliance Officer, for BDO Capital Advisors, LLC will serve dual roles in leading the organization’s investment banking subsidiary and managing its operational and compliance functions. The President and Chief Compliance Officer will work on building, implementing, and overs...

Chief Compliance Officer, Registered Investment Advisor - Senior Compliance Advisor. Chief Compliance Officer, Registered Investment Advisor - Senior Compliance Advisor. Implement and/or maintain a comprehensive investment advisory compliance program for SEC Registered Investment Advisor (“RIA”) aff...

Chief Compliance Officer Swap Execution Facility. Serve as Chief Compliance Officer (CCO) advising on day-to-day issues for all Swaps executed through the Firm’s Swap Execution Facilities (“SEF”). Assist in pulling the necessary information for regulatory reviews, audits and other examinations Activ...

Develops, implements, and maintains a system for confidential reporting and investigation of compliance concerns with an appropriate response process, including coordination of an external compliance reporting system allowing for anonymous, non-retaliatory compliance reporting. Oversees, develops, a...

Serves as Chief Diversity Office Liaison to the City University of New York (CUNY) and attends meetings of the CUNY Chief Diversity Officers Council. York College/CUNY is seeking candidates to fill the position of Chief Diversity Officer. The Chief Diversity Officer (CDO) reports to the President of...

Establishes systems for auditing, tracking and reporting Greystar’s compliance with applicable regulatory requirements and develops and provides annual and periodic training on compliance policies and procedures and emerging compliance issues. This position is a key leader for Greystar’s Investment ...

The Chief Compliance Officer, Brokerage, will champion a culture of compliance and will be responsible for managing compliance for Robinhood’s broker dealers. Coordinate compliance roles and responsibilities with the enterprise compliance team. The candidate will serve as an advisor for Robinhood Fi...