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Senior Compliance Officer, Product & Structured Transactions (MD)
Guggenheim Investments
New York, NY, USA
Feb 18, 2026
Position Summary Guggenheim Investments is currently seeking a Senior Compliance Officer to support the regulatory oversight of complex fixed income products and registered investment adviser (RIA) programs. The ideal candidate will have an in-depth knowledge of broad compliance matters relating to these areas, along with a deep understanding of the related regulatory requirements. The successful candidate will work closely with the CCO and the leadership team in the ongoing development and implementation of the firm’s compliance programs. Given the overlap between the regulated businesses, however, this role will support all aspects of the firm’s compliance program, including providing regulatory guidance to business partners throughout the firm, conducting and/or facilitating the testing program, and administering the firm’s compliance policies and procedures. This role will appeal to individuals who enjoy working in a dynamic and fast-paced environment, and are interested...
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Compliance Professional for Fee-Only, SEC RIA Firm
CGN Advisors, LLC
Hybrid (Manhattan, KS, USA)
Jan 08, 2026
Overview CGN Advisors is an independent, Fee-Only financial planning and investment management firm (SEC RIA) headquartered in Manhattan, KS, with offices located around the country. Depending on experience and qualifications, we are looking for a Compliance Associate or a Compliance Manager for our Operations division.  Roles and Responsibilities Manage all aspects and execute the day-to-day tasks of the firm’s compliance program Monitor and test the firm’s policies and procedures to ensure effectiveness of the compliance program Educate the firm’s IARs on regulatory compliance matters Serve as in-house compliance expert, responding to compliance-related questions from IARs Assist with the new IAR onboarding process Remain current with regulatory changes, annual examination priorities, etc. Interact with regulators, examiners, attorneys, etc. as needed Administer the firm’s enterprise systems Qualifications and Education Requirements Bachelor’s degree...
Chief Compliance Officer
HIS Envoys Group
Colorado Springs, CO, USA
Feb 18, 2026
Department: Executive Team Reports To: CEO Location: Colorado Springs, CO • Oakbrook Terrace, IL • Hybrid • In‑Person • Fully Remote FLSA Status: Exempt Position Type: Permanent — Full-time   Organization Summary The HIS Envoys Group of companies is a faith-driven financial firm committed to helping individual families, family offices, businesses, and nonprofits steward their God entrusted resources for Kingdom impact. We partner with and serve a wide range of both individual and institutional clients—including churches, ministries, rescue missions, retreat centers, and values-driven for-profit organizations—providing investment, retirement, and financial consulting solutions that align with biblical principles. Our team shares a deep commitment to our clients’ mission and values. We believe stewardship is a calling, not just a job. Whether serving a nonprofit ministry or a faith-led business, we approach every client relationship with...
Compliance Officer (61217)
IEC CORP GROUP
Ontario, CA, USA
Feb 18, 2026
Job DetailsJob Location: California Ontario IST - Ontario, CA 91764Salary Range: $70,304.00 - $71,000.00 Salary/yearJob Category: CorporateInternational Education Corporation is the leader in post-secondary career education. Working at our employee-owned company is more than just a great career - its an investment in yourself. Our mission is to drive personal and community transformation by empowering students to make a positive and enduring life change. We are consistently searching for like-minded compassionate professionals who strive to be the best in their respective fields. Our top candidates share our commitment to helping students build the skills to create a future of which they can be proud. We are currently seeking an Compliance Officer to join our team. This position is directly responsible for ensuring successful achievement of all campus outcomes relative to accreditation and state regulatory compliance, including accreditation readiness visits, placement...
Investment Management Specialist
Bank of America
Chicago, IL, USA
Feb 18, 2026
Job Description: Merrill Wealth Management is a leading provider of comprehensive wealth management and investment products and services for individuals, companies, and institutions. Merrill Wealth Management is one of the largest businesses of its kind in the world specializing in goals-based wealth management, including planning for retirement, education, legacy, and other life goals through investment advice and guidance. Merrill’s Financial Advisors and Wealth Management Client Associates help clients pursue the life they envision through a personal relationship with their advisory team committed to their needs. We believe trust comes from transparency. Our trusted advisory teams are equipped with access to the investment insights of Merrill coupled with the banking convenience of Bank of America. Merrill is committed to an in-office culture with specific requirements for office-based attendance and which allows for an appropriate level of flexibility for our...
Director – Bank Regulatory Compliance Officer
TD
New York, NY, USA
Feb 18, 2026
Work Location : New York, New York, United States of America Hours: 40 Line of Business: Compliance Pay Detail: $180,000 - $225,000 USD TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.  As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role. Job Description: Preferred Qualifications: This Compliance Officer is a key member of the TDS US Compliance Regulatory...
Credit Underwriter II - Global Wealth & Investment Management
Bank of America
Charlotte, NC, USA
Feb 18, 2026
Job Description: At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. We do this by driving Responsible Growth and delivering for our clients, teammates, communities and shareholders every day. Being a Great Place to Work is core to how we drive Responsible Growth. This includes our commitment to being an inclusive workplace, attracting and developing exceptional talent, supporting our teammates’ physical, emotional, and financial wellness, recognizing and rewarding performance, and how we make an impact in the communities we serve. Bank of America is committed to an in-office culture with specific requirements for office-based attendance and which allows for an appropriate level of flexibility for our teammates and businesses based on role-specific considerations. At Bank of America, you can build a successful career with opportunities to learn, grow, and make an impact. Join us! Job...
Legal Counsel Investment Management
Nomura Holdings, inc.
New York, NY, USA
Feb 18, 2026
Corporate Title: Vice President Department: Legal Location: New York- midtown (Hybrid) The base pay range for this position at commencement of employment is expected to be between $175K and $225K/year*   Company overview Nomura is a global financial services group with an integrated network spanning over 30 countries and regions. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its three business divisions: Retail, Wholesale (Global Markets and Investment Banking), and Investment Management. Founded in 1925, the firm is built on a tradition of disciplined entrepreneurship, serving clients with creative solutions and considered thought leadership. For further information about Nomura, visit  www.nomura.com .   Aon’s Benefit Index ® , Nomura’s benefits rank #1 amongst our competitors   Department overview:...
Investment Management Services Co-op
Glenmede Trust Co
Philadelphia, PA, USA
Feb 18, 2026
  **This job posting is for our Drexel Co-Op Program and not for external applicants to apply.** Empowering Financial Futures. For more than 65 years, Glenmede’s independent ownership, innovation and unwavering commitment to our clients have made us a trusted partner for private wealth, endowment & foundation, and investment management clients. Our people are invaluable. Through a team-oriented environment, your knowledge, expertise and varied backgrounds contribute to thoughtful innovation. Our culture fosters opportunities for continuous career growth and development in all areas of the organization. Working at Glenmede, you will experience the infrastructure and resources of a large firm combined with the client and employee focus of an independently owned boutique. This position will operate in a hybrid work environment, 3 days per week in the office (Philadelphia, PA) . OVERVIEW: The Platform Solutions Department works with...
Counsel, Funds & Investment Management
Dimensional Fund Advisors
Austin, TX, USA
Feb 17, 2026
Job Description: Counsel, Funds & Investment Management Dimensional's Legal division is an in-house team of client-focused attorneys, paralegals, and legal assistants who partner with internal and external teams to help provide legal expertise across business functions, legal systems, and jurisdictions. This Funds & Investment Management Counsel role will assist with day-to-day legal needs in support of Dimensional’s institutional and sub-advised fund clients.  Work will include providing advice with respect to federal, state and international securities law analysis and compliance. This position will report to the Vice President and Lead Counsel for the firm’s institutional and sub-advised fund client matters. Responsibilities: Support the firm’s sub-advised fund and funds of funds business, which includes negotiating and drafting sub-advisory agreements, commenting on registration statements and engaging in the sub-advised funds’ 15(c) process...
Fixed Income Trading Assistant/Junior Trader - Cigna Investment Management (CIM) - Hybrid
The Cigna Group
Bloomfield, CT, USA
Feb 17, 2026
The job profile for this position is Investment Lead Analyst, which is a Band 3 Senior Contributor Career Track Role. Excited to grow your career? We value our talented employees, and whenever possible strive to help one of our associates grow professionally before recruiting new talent to our open positions. If you think the open position you see is right for you, we encourage you to apply! Our people make all the difference in our success. Cigna Investment Management (CIM) manages over $20 billion in assets on behalf of Cigna, a publicly traded global health services company. CIM’s assets are invested in public bonds, private placement securities, commercial mortgages, real estate equity, mezzanine debt, private equity, equity securities, warrants, commercial paper, certificates of deposit, municipal securities, mutual fund shares, United States government securities, options contracts on securities, futures contracts on intangibles, money market funds, derivatives,...
Compliance Team Lead for Private Bank Americas – Senior Compliance Officer - Vice President
Deutsche Bank
Jacksonville, FL, USA
Feb 17, 2026
Job Description: Job Title Compliance Team Lead for Private Bank Americas – Senior Compliance Officer Corporate Title Vice President Location Jacksonville, FL Overview You will work in the Compliance Department to provide oversight of Deutsche Bank's Private Bank (PB) Americas as the senior business line compliance officer for Jacksonville operations. Responsibilities will involve all aspects of Compliance support, including advising and providing guidance to multiple lines of business of a sophisticated full-service broker/dealer and banking business. You should understand key banking and broker-dealer regulations, including the relevant current and proposed industry and regulatory developments. The role will also involve assisting with Compliance projects and ad-hoc requests to further strengthen the Bank's compliance programs.   What We Offer You A diverse and inclusive environment that embraces change, innovation, and collaboration A hybrid working...
Senior Credit Underwriter - Custom Lending - Global Wealth & Investment Management
Bank of America
Charlotte, NC, USA
Feb 17, 2026
Job Description: At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. We do this by driving Responsible Growth and delivering for our clients, teammates, communities and shareholders every day. Being a Great Place to Work is core to how we drive Responsible Growth. This includes our commitment to being an inclusive workplace, attracting and developing exceptional talent, supporting our teammates’ physical, emotional, and financial wellness, recognizing and rewarding performance, and how we make an impact in the communities we serve. Bank of America is committed to an in-office culture with specific requirements for office-based attendance and which allows for an appropriate level of flexibility for our teammates and businesses based on role-specific considerations. At Bank of America, you can build a successful career with opportunities to learn, grow, and make an impact. Join us!   Job...
Credit Underwriter II - Global Wealth & Investment Management
Bank of America
Charlotte, NC, USA
Feb 17, 2026
Job Description: At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. We do this by driving Responsible Growth and delivering for our clients, teammates, communities and shareholders every day. Being a Great Place to Work is core to how we drive Responsible Growth. This includes our commitment to being an inclusive workplace, attracting and developing exceptional talent, supporting our teammates’ physical, emotional, and financial wellness, recognizing and rewarding performance, and how we make an impact in the communities we serve. Bank of America is committed to an in-office culture with specific requirements for office-based attendance and which allows for an appropriate level of flexibility for our teammates and businesses based on role-specific considerations. At Bank of America, you can build a successful career with opportunities to learn, grow, and make an impact. Join us!   Job...
Credit Underwriter II - Custom Lending - Global Wealth & Investment Management
Bank of America
Charlotte, NC, USA
Feb 17, 2026
Job Description: At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. We do this by driving Responsible Growth and delivering for our clients, teammates, communities and shareholders every day. Being a Great Place to Work is core to how we drive Responsible Growth. This includes our commitment to being an inclusive workplace, attracting and developing exceptional talent, supporting our teammates’ physical, emotional, and financial wellness, recognizing and rewarding performance, and how we make an impact in the communities we serve. Bank of America is committed to an in-office culture with specific requirements for office-based attendance and which allows for an appropriate level of flexibility for our teammates and businesses based on role-specific considerations. At Bank of America, you can build a successful career with opportunities to learn, grow, and make an impact. Join us! Job...
Business Unit Compliance Officer
Valley Bank
New York, NY, USA
Feb 17, 2026
Responsibilities include but are not limited to: Design and execute on comprehensive control and testing framework pursuant to SEC Rule 206(4)-7; assist with testing framework pursuant to FINRA 3120. Prepare Form ADV materials. Prepare annual 206(4)-7 report to senior management/Board of Directors. Establish and maintain compliance programs for business line and drive a culture of compliance within the firm. Identify and assess the firm's compliance risks and perform the annual risk assessment. Conduct, no less than annually, a compliance meeting wherein compliance matters relevant to all supervised persons' activities are discussed. Conduct and document ongoing compliance training for all employees. Monitor client communication notices, including correspondence and email. Review and respond to client complaints. Review and approve contracts, disclosure documentation and marketing materials. Monitor supervised persons' securities transactions and personal...
Compliance Officer
Kestra
Austin, TX, USA
Feb 16, 2026
Bluespring Wealth Partners (Bluespring) is part of Kestra Holdings, an industry-leading wealth management platform for independent financial professionals nationwide. Bluespring acquires successful, growing wealth management businesses from inside and outside of the Kestra Holdings ecosystem, promoting advisor autonomy and entrepreneurship while providing operation scale and efficiencies for its partner firms. Our advisor-focused culture is built on innovation and advocacy, enabling advisors to offer comprehensive securities and investment advisory solutions to their clients.   Lead with Purpose. Partner with Impact. The Compliance Officer is responsible for independently running daily compliance operations for a registered investment advisor. This role will report to the Chief Compliance Officer and work closely with the Chief Operations Officer. The successful candidate will play a key role in managing the day-to-day operations of the compliance program and enhancing...
Compliance Officer - Surveillance - VN2542
Marex
Chicago, IL, USA
Feb 16, 2026
Diversified. Resilient. Dynamic. Marex is a global financial services platform, providing essential liquidity, market access and infrastructure services to clients in the energy, commodities and financial markets. The Group provides comprehensive breadth and depth of coverage across four core services: Market Making, Clearing, Hedging and Investment Solutions and Agency and Execution. It has a major franchise in many major metals, energy and agricultural products, executing around 50 million trades and clearing 205 million contracts in 2022. The Group provides access to the world’s major commodity markets, covering a broad range of clients that include some of the largest commodity producers, consumers and traders, banks, hedge funds and asset managers. With more than 35 offices around the globe, and over 2,300 dedicated people enabling access to exchanges and technology-powered services. For more information visit www.marex.com Purpose of Role: Marex is recruiting...
Fixed Income Trading Assistant/Junior Trader - Cigna Investment Management (CIM) - Hybrid
Cigna Healthcare
Bloomfield, CT, USA
Feb 16, 2026
Cigna Investment Management (CIM) manages over $20 billion in assets on behalf of Cigna, a publicly traded global health services company. CIM’s assets are invested in public bonds, private placement securities, commercial mortgages, real estate equity, mezzanine debt, private equity, equity securities, warrants, commercial paper, certificates of deposit, municipal securities, mutual fund shares, United States government securities, options contracts on securities, futures contracts on intangibles, money market funds, derivatives, structured notes, and exchange traded funds. The Fixed Income – Trading Assistant/Junior Trader, under the direction of their manager, serves as critical support to the senior trading staff for Money Market, Corporate, Municipal, FX, Derivatives and Public Structured Securities. This role ensures smooth trade entry, operational accuracy, and effective desk management. Responsibilities: Provides support for all trades on the trading desk from...
Investment Management Technology (IMT) Lead
CVS Health
Hartford, CT, USA
Feb 16, 2026
We’re building a world of health around every individual — shaping a more connected, convenient and compassionate health experience. At CVS Health®, you’ll be surrounded by passionate colleagues who care deeply, innovate with purpose, hold ourselves accountable and prioritize safety and quality in everything we do. Join us and be part of something bigger – helping to simplify health care one person, one family and one community at a time. JOB SUMMARY Drive the Digital Future of a $39B Investment Portfolio CVS is seeking a strategic and technically exceptional Investment Management Technology Lead to modernize and elevate the technology ecosystem that powers our $39B multi‑asset investment portfolio . This is a high‑impact role for a leader who combines deep investment knowledge with advanced technical expertise to deliver platforms that enhance performance, improve risk management, and maximize net investment income. What You’ll Do Lead the digital...
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Senior Compliance Officer, Product & Structured Transactions (MD)

Guggenheim Investments
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New York, NY, United States
Feb 18, 2026
Compliance

Position Summary

Guggenheim Investments is currently seeking a Senior Compliance Officer to support the regulatory oversight of complex fixed income products and registered investment adviser (RIA) programs. The ideal candidate will have an in-depth knowledge of broad compliance matters relating to these areas, along with a deep understanding of the related regulatory requirements. The successful candidate will work closely with the CCO and the leadership team in the ongoing development and implementation of the firm’s compliance programs. Given the overlap between the regulated businesses, however, this role will support all aspects of the firm’s compliance program, including providing regulatory guidance to business partners throughout the firm, conducting and/or facilitating the testing program, and administering the firm’s compliance policies and procedures. This role will appeal to individuals who enjoy working in a dynamic and fast-paced environment, and are interested in expanding their skill sets, along with enjoying the challenges of adapting to new and evolving regulatory requirements. This role reports to the Chief Compliance Officer and is based in our New York City office, full-time.

Responsibilities

Product & Transaction Compliance

  • Develop and maintain deep expertise in product structures, including SPVs, CLOs, and other structured vehicles
  • Partner with product and transaction teams to identify and communicate compliance implications affecting transactions, KYC requirements, and regulatory obligations
  • Serve as subject matter expert on compliance considerations for complex investment products

RIA Compliance Program Support

  • Support Chief Compliance Officers (CCOs) in administering RIA compliance programs, including:
    • Compliance manual development and updates
    • Form ADV review and amendments
    • Risk assessment execution
    • Annual review coordination
    • Regulatory examination preparation and readiness

Regulatory Monitoring & Implementation

  • Monitor and analyze applicable regulatory developments, rulemaking, and enforcement trends
  • Translate regulatory developments into actionable firm policies, procedures, and business requirements
  • Communicate regulatory updates and their implications to relevant stakeholders

Additional Compliance Functions

  • Assist with Real Estate business compliance program administration
  • Support compliance with SEC Custody Rule requirements
  • Review and approve client communications for regulatory compliance

Qualifications

Basic Qualifications

  • 10 years of financial services experience
  • 2–5 years as a corporate transaction attorney or in a related legal/compliance role
  • Direct experience with insurance company transactions preferred
  • Deep understanding of CLOs, structured credit, and fixed income products
  • Strong knowledge of RIA regulatory requirements (Investment Advisers Act of 1940)
  • Demonstrated ability to develop and implement process improvements
  • Excellent communication skills with ability to translate complex product details into compliance guidance

Preferred Qualifications

  • Juris Doctor
  • Broad knowledge of federal securities laws
  • Certification in a related field of practice is a plus
  • Proficiency with modern compliance technologies, including AI‑enabled tools, data analytics platforms, and automated monitoring/testing systems
  • Strong leadership presence with the ability to influence, negotiate, and collaborate effectively across levels and functions
  • Skilled at building and maintaining strong relationships with senior stakeholders and cross‑functional partners to influence outcomes and promote alignment
  • Deep understanding of the global regulatory landscape and emerging regulatory trends
  • Ability to set, refine, and monitor strategic priorities for the compliance function, including defining success metrics and evaluating progress

We are not seeking agency assistance with this position.

We are unable to consider candidates who require current or future visa sponsorship for employment in the United States.  Candidates must be authorized to work in the US without current or future visa sponsorship or transfer.

Salary Range

Annual base salary between

$225,000.00-$250,000.00

The base salary range represents the low and high end of the anticipated base salary range for this position. Actual base salaries may vary depending on factors such as location and experience. The range listed reflects base salary only, and the total compensation package may include other components such as incentive compensation.

About Guggenheim Investments
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