Sell-side Compliance Jobs

Financial Crimes Compliance Officer

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Salary: $110,000 - $150,000 per year

Location: New York

Date Posted: March 10, 2025

Our client is in search of a committed and seasoned Officer for Financial Crimes Compliance to be an integral part of a dynamic team, with a focus on AML/CFT transaction monitoring. The successful candidate will have a pivotal role in implementing the company's compliance programme, contributing to the growth and development of the branch. This is a unique opportunity to leave your mark on something bigger, where your ideas and diverse background are valued.

Senior Financial Crimes Compliance Officer

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Salary: $175,000 - $200,000 per year

Location: New York

Date Posted: March 7, 2025

Our client is seeking a Senior Financial Crimes Compliance Officer with a focus on AML/CFT transaction monitoring. This role is ideal for an individual who thrives in a dynamic, evolving environment and is dedicated to delivering top-tier compliance solutions. The successful candidate will join a service-oriented team, collaboratively working to create value and foster growth. This is your opportunity to contribute significantly to a larger cause.

Capital Markets Counsel

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Salary: $225,000 - $250,000 per year + 350K - 375K all-in

Location: New York

Date Posted: February 27, 2025

Our client is looking for a Legal Counsel for Capital Markets to become an integral part of their proficient team. You will play a crucial role in aiding with trading and commercial contracts, offering regulatory compliance insights, and working closely with key departments. Your valuable input will aid in risk mitigation and support strategic decision-making, making you a vital member of the team.

Compliance Officer – FCM Advisor

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Salary: $150,000 - $200,000 per year

Location: Chicago

Date Posted: February 20, 2025

Our client is seeking a Compliance Officer – FCM Advisor to join the team. This role presents an opportunity to deliver compliance advisory services for FCM as well as related IBs, GIBs, and swap dealers. The successful candidate will play a pivotal role in ensuring all activities align with legal requirements, cultivating a culture of compliance within the organization, and maintaining a transparent relationship with regulatory bodies.

Compliance Officer

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Salary: $100,000 - $140,000 per year + 25% tgt bonus

Location: New York

Date Posted: February 12, 2025

Our client is seeking a dedicated and knowledgeable Compliance Officer. This role offers an exciting opportunity to play a significant part in the core compliance activities of the firm. The successful candidate will have the chance to enhance surveillance and regulatory compliance efforts, as well as work closely with primary business units such as Institutional Sales and Trading, Research, and Investment Banking.

Director of Legal and Transaction Advisory

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Salary: $250,000 - $285,000 per year + $400,000 - $430,000

Location: New York

Date Posted: January 28, 2025

An exceptional opportunity has arisen for a dedicated and committed In-House Banking and Finance Legal Transaction Execution Director to join a dynamic team. This role offers the unique chance to independently manage client relationships, make impactful decisions, and truly establish your presence within the company. As you progress, your influence and responsibility will grow, shaping not just transactions, but the future of an innovative banking institution in the US.

Sell-side Compliance Jobs

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Financial Crimes Compliance Officer

Senior Financial Crimes Compliance Officer

Capital Markets Counsel

Compliance Officer – FCM Advisor

Compliance Officer

Director of Legal and Transaction Advisory

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