Top Compliance Officer Jobs

Support onboarding compliance by performing CDD/KYB: gather and verify documentation, run risk assessments, flag/escalate suspicious activity, maintain records, assist periodic reviews and reporting, update procedures, and use compliance platforms to ensure BSA/AML, OFAC, and FinCEN adherence.

The Senior Compliance Officer will lead compliance monitoring, testing, and resource management, develop metrics, and ensure effective stakeholder communication to uphold regulatory standards.

Provide compliance support for Public Finance, Capital Markets and Commodities. Conduct surveillance, on-site branch and home office compliance inspections, regulatory responses and audits, review advertising and electronic communications, maintain WSPs and policies, and resolve regulatory or supervisory issues as assigned.

Review and approve marketing and advertising materials for proprietary and third-party funds and advisory programs to ensure FINRA and SEC compliance; draft disclosures; submit materials to FINRA and manage correspondence; advise broker-dealer and investment advisers on marketing issues; assist with preparation and amendments of Form ADV filings.

The Compliance Officer I will review loans to ensure they meet investor and regulatory guidelines by validating processing and reviewing necessary documents and systems.

Provide compliance coverage for equity and debt capital markets: advise on private placements, underwriting and liability management; develop policies and procedures; advise on cross-border and Reg BI issues; monitor MNPI, conflicts and wall-crossing; deliver training; support regulatory developments, exams and audits; partner with senior business leaders to embed compliance into transactions and risk decisions.