Compliance Officer Salary at Basic Home Infusion Inc BETA

A newly created role at full-service Broker Dealer in Emerging Markets due to team growth, this is an excellent chance to eventually succeed the Chief Compliance Officer, who plans to retire in the next ~5 years. Senior Compliance Officer Full-Service Broker Dealer & Investment Bank Specializing in Emerging Markets Location: Greenwich, CT (Train Accessible, Walking Distance) Compensation: $150K base (stretch) + ~20% discretionary bonus Schedule: 4-5 days in office; full-time for first 6-12 months for training Why Join Us? Small Team, Big Impact: 30 employees locally, ~100 globally. Stability: Family-friendly, low turnover, employees often stay 20+ years. Growth Opportunity: Succession path to Chief Compliance Officer in ~5 years. Unique Perks: Bring kids or pets to work, monthly team events, extravagant holiday parties, and international travel (~2-3 trips/year to great locations like Spain, Brazil, and Singapore). Generous Benefits: 75% company-paid medical/dental, flexible PTO, bette

Job Description Job Description Top rated multi-billion dollar fintech company seeks a (Hybrid) Head Compliance Officer (AML/CFT & OFAC) to join their team! This Jobot Job is hosted by: Rachel Hilton Berry Are you a fit? Easy Apply now by clicking the "Apply Now" buttonand sending us your resume. Salary: $300,000 - $350,000 per year A bit about us: We are seeking a dynamic and experienced professional to serve as the Head of AML/CFT & OFAC Compliance. This is a unique opportunity to join a fast-paced, high-growth environment, where you will play a key role in ensuring the company's compliance with Anti-Money Laundering (AML), Countering the Financing of Terrorism (CFT), and Office of Foreign Assets Control (OFAC) regulations. The successful candidate will have a strong background in fintech or for a BaaS or Partner Banking company previously, and exam management or knowledge of managing regulatory relationships with the FDIC, OCC, FRB, and CFPB. This position requires 8+ years of exper

DESCRIPTION: A New Jersey based SEC registered investment adviser (“RIA”) seeks candidates interested in applying for the role of Senior Compliance Officer for a firm with 160 plus supervised persons. The RIA is an $8B billion AUM privately held firm that was founded in 1994. The firm provides customized financial planning and wealth management services to a broad array of clients, including high-net-worth individuals, family offices and other institutional clients. The RIA is a “hybrid” RIA with a number of its IARs dually registered with a large third-party broker-dealer. The Senior Compliance Officer will work directly with the firm’s Chief Compliance Officer (“CCO”) to administer and support the RIA’s Rule 206(4)-7 compliance program, including, but not limited to, updating and maintaining the written policies and procedures and managing the compliance-related testing, reviews and risk assessment processes. The Senior Compliance Officer will report directly to the CCO. The specific

Job Description Job Description I am looking for a Corporate Compliance Officer, MUST HAVE EXPERIENCE Must be prepared to hit the ground running day one Responsible for NY, PA and FL overseeing 20+ SNF's Must have post acute and long term care experience in all aspects for compliance

Job Title: Compliance Officer Location: Fairfield, NJ (hybrid) Salary: $120-145k/yr Our client is a trusted Registered Investment Advisor located in Fairfield, New Jersey providing customized financial planning and investment management services to individuals, families, and institutions. Their commitment is to maintaining the highest standards of integrity and compliance within the industry. We are currently seeking a highly motivated and detail-oriented Compliance Officer to join the team. As a Compliance Officer, you will be responsible for ensuring the firm adheres to all regulatory requirements and internal policies, fostering a culture of compliance and ethical conduct. Key Responsibilities: Monitor and ensure the firm’s compliance with SEC and state regulations, including but not limited to the Investment Advisers Act of 1940. Develop, implement, and maintain compliance policies and procedures. Conduct regular compliance audits, reviews, and risk assessments to identify potentia

Investment Compliance Officer (New York, NY): Our client, a hedge fund with over $3B in AUM is seeking an experienced Investment Compliance Officer to join their team a newly created position to lead surveillance initiatives within their growing New York office. The ideal candidate will have a strong background in investment compliance and direct experience working with senior stakeholders such as traders and portfolio managers. Key Responsibilities: Serve as the stand-alone senior investment compliance expert in New York, working closely with traders, analysts, and senior leadership to identify and address issues in real-time. Perform ongoing testing in all compliance areas which consist of (insider trading surveillance, compliance with firm policies, TCA, market manipulation surveillance) Daily oversight of trades made for adherence to investment guidelines and firm policies. Monitor activities of the various trading desks and provide regulatory/policy guidance to equity and fixed in

Job Description Job Description Broker Dealer Compliance Officer Opportunity New York-based boutique broker-dealer and wealth management firm looking for a compliance professional to assist the Chief Compliance Officer with the day-to-day compliance duties of the firm. What we are looking for: 2-5 years of broker-dealer compliance experience Equity capital markets and/or investment banking experience FINRA Series 7 and 24 license required. Series 14, 53, and/or 79 is a plus Deep working knowledge of FINRA’s Gateway program Experience assisting with drafting and maintaining written supervisory procedures Experience assisting with regulatory inquiries and responses Deep knowledge and understanding of FINRA and SEC broker-dealer compliance rules and regulations Proficiency with Microsoft Office tools, particularly Excel, and compliance tools such as My Compliance Office, Quest CE, Global Relay, and others Well-organized with the ability to prioritize workload to complete tasks Strong comm

We have been retained by a leading alternative asset manager to identify a Compliance Officer to assist their General Counsel and Chief Compliance officer with management of the compliance function in a dynamic, fast-paced work setting. The role will require in-office presence Monday - Friday with regular working hours of 8:30am-5:30pm. The role reports directly to the GC/CCO and will require the ability to work independently and interface regularly with various business units and investment teams within the firm. Job Functions: Testing of all compliance processes and procedures Monitoring of portfolio trade surveillance Supervision of employee trading activity Assist with Form ADV and Form PF preparation Management of firm KYC activities Assistance with regulatory audits "Quarterbacking" of employee trainings Escalation of compliance matters to internal and external counsel, as required Requirements for Consideration: Undergraduate degree in relevant program of study 5+ years of compl