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business line compliance officer
Business Line Compliance Officer
Jobgether
United States
Jun 09, 2026
This position is listed on behalf of a partner company, who manages all applications and next steps. Our partner is looking for a Business Line Compliance Officer based in the United States. This role is a high-impact compliance advisory position supporting investment banking and capital markets activities within a fast-paced, regulated financial environment. You will act as a front-line compliance partner to client-facing business lines, ensuring that trading, advisory, and capital markets activities align with applicable securities regulations and internal policies. The role combines regulatory expertise with hands-on advisory work, requiring close collaboration with senior stakeholders across business and control functions. You will help shape compliance frameworks, enhance supervisory controls, and support the development of policies that strengthen risk management across private-side activities. In addition, you will contribute to marketing and...
Senior Lead Compliance Officer - Futures Commission Merchant (FCM) - Executive Director
Wells Fargo & Company
New York, NY
Jun 09, 2026
About this role: Wells Fargo is seeking a Senior Lead Compliance Officer to provide strategic and hands-on compliance oversight for Futures Commission Merchant (FCM) of Wells Fargo Securities, LLC activities within the Corporate & Investment Banking (CIB) Markets business. This role will report to the head of Equities Compliance within the Corporate & Investment Banking (CIB) Markets Compliance team. This role is accountable for leading a team of compliance officers, providing oversight to the business, and serving as a trusted advisor to Front Line stakeholders. The role will proactively partner with front office to support business activities, provide clear and practical regulatory guidance, and foster strong, collaborative relationships while ensuring adherence to regulatory expectations. Success in this role requires a strong ability to influence, build trust, and establish strong, collaborative relationships with front office stakeholders, while effectively...
Compliance Officer, Control Room
BMO
Chicago, IL
Jun 09, 2026
Application Deadline: 06/19/2026 Address: 320 S Canal Street Job Family Group: Audit, Risk & Compliance The Compliance team is responsible for proactive identification and timely resolution of regulatory compliance issues. As a compliance officer yo will assist our employees to understand the regulatory risk and compliance requirements to sustain effective regulatory risk management. In this hybrid role, you will get the opportunity and the exposure to work with key contacts in investment banking at all levels. Additionally, you will: Work with group leadership to ensure effective handling and administration of business activities. Impact the development of business opportunities for Investment & Corporate Banking professionals. Ensure that business opportunities do not pose undue risk to the company in a timely manner that meets the needs of the business. Protect the organization from potential reputation risk issues....
Senior Compliance Officer (Associate) - Conflicts Management, Global Control Room (NY) - TD Securities (US)
TD
New York, NY
Jun 09, 2026
Work Location : New York, New York, United States of America Hours: 40 Line of Business: Compliance Pay Detail: $100,000 - $135,000 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: We are seeking a Conflicts Officer at the Associate-level to join our Compliance Control Room at TD...
Compliance Officer, Compliance – Distribution
PIMCO
Newport Beach, CA
Jun 06, 2026
PIMCO is a global leader in active fixed income with deep expertise across public and private markets. We invest our clients’ capital across a range of fixed income and credit opportunities, leveraging our decades of experience navigating complex debt markets. Our flexible capital base and deep relationships with issuers have helped us become one of the world’s largest providers of traditional and nontraditional solutions for companies that need financing and investors who seek strong risk-adjusted returns. Since 1971, our people have shaped our organization through a high-performance inclusive culture, in which we celebrate diverse thinking.  We invest in our people and strive to imprint our CORE values of Collaboration, Openness, Responsibility and Excellence. We believe each of us is here to help others succeed and this has led to PIMCO being recognized as an innovator, industry thought leader and trusted advisor to our clients. Position Description PIMCO is a...
Compliance Officer - Surveillance - VN2849
Marex
New York, NY
Jun 06, 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...
Chief Compliance Officer
Tyree and D'Angelo Partners
Dallas, TX
Jun 04, 2026
  Position Title:      Chief Compliance Officer Reporting To:       CEO Location:              Dallas, Texas (in-person strongly preferred) Company:            TDP Confidential Portfolio Company   Private Equity Firm Overview Tyree & D’Angelo Partners (“TDP”) is a private equity investment firm with offices in Chicago and Dallas that makes control ownership investments in, and partners with, lower middle market businesses with the goal of creating meaningful value for all involved.  TDP is currently investing out of its third fund and has managed and created over $3 billion of capital and company enterprise value.  TDP has significant experience investing in financial, business, and consumer service businesses and has completed over 2,000 investment partnerships. Please visit www.TDPfund.com for more information.   Confidential Portfolio Company Overview TDP has invested in a confidential portfolio company in the wealth management industry.  The...
Capital Markets, Senior Compliance Officer
BMO
New York, NY
Jun 04, 2026
Application Deadline: 06/19/2026 Address: 151 W 42nd Street Job Family Group: Audit, Risk & Compliance The Capital Markets Senior Compliance Officer will assist in the effective implementation, maintenance and administration of the Capital Markets Compliance Program.  The role provides compliance advisory services, coordinates and performs ongoing risk assessment, monitoring and surveillance activities to ensure that the Compliance Program remains current and aligned with the Firm’s Enterprise-wide Compliance Program.  The role works closely with the relevant other internal business partners to ensure regulatory, corporate and fiduciary obligations are met.  This role will have a specific focus on compliance oversight over BMO’s Capital Markets and equity activities. The Capital Markets Senior Compliance Officer maintains current knowledge of regulatory requirements and developments, monitors risk, identifies and corrects possible gaps and...
Featured
Director of Policy and Regulatory Affairs
XY Planning Network
Remote
Jun 04, 2026
XYPN is a leading voice for independent, fee-only financial planners, and advocates for modernized regulation that elevates fiduciary financial planning, separates sales from advice, protects investors, and reduces unnecessary burdens on small advisory firms. With a network of more than 2,200 fee-only financial planners and experience registering more than 2,000 investment advisers nationwide, we support firms across all 50 states and the SEC, giving us unique insight into the regulatory and operational challenges faced by independent RIAs operating across multiple jurisdictions. As XYPN’s Director of Policy and Regulatory Affairs, you’ll translate our deep expertise into meaningful advocacy and regulatory influence. You’ll work closely with our Managing Director of Compliance and Regulatory Affairs to shape and execute XYPN’s advocacy roadmap, leading efforts to monitor State & federal regulatory developments, develop policy positions, build relationships with...
State Street Investment Management - Investment Management Vendor Engagement and Third Party Risk, Assistant Vice President
State Street
Boston, MA
Jun 09, 2026
Third Party Risk Management (TPRM) is a global, cross-functional program spanning all business units and legal entities, requiring coordinated engagement across Procurement, the First Line of Defense (business), and the Second Line of Defense. Business units are responsible for managing risk associated with third-party relationships throughout the lifecycle, while Corporate TPRM provides governance, standards, and oversight. Procurement enables the sourcing, contracting, and onboarding of third-party vendors, supporting the execution of business needs. Within this framework, the Investment Management (IM) Vendor Engagement & Third-Party Risk team operates at the intersection of the First Line and Second Line, enabling and supporting the business in the execution and onboarding of third-party activities while ensuring alignment with TPRM and Procurement policies and program requirements. The team serves as a central coordination point across Investment Management, Corporate...
Chief Compliance Officer
Compound Planning, Inc.
United States
Jun 09, 2026
Overview Compound Planning is a high-growth digital family office with over $4B in AUM added since 2022. We serve entrepreneurs, professionals, and retirees through a powerful combination of personalized financial advisory and a proprietary technology platform. Our cross-functional team of advisors, tax experts, engineers, and operators is building the financial institution of the future, one grounded in rigor, client trust, and operational excellence. We’re seeking a strategic, hands-on Chief Compliance Officer with deep experience in SEC-registered investment advisers and wealth management operations to lead and scale our compliance program and ensure the firm remains ahead of regulatory expectations as we grow. If you understand how wealth management is evolving and want to help shape what comes next, read on. What You will Do Own and lead the entire compliance program, partnering with the General Counsel and external resources to maintain a proactive,...
General Counsel and Chief Compliance Officer
Moneta Group Investment Advisors LLC
St. Louis, MO
Jun 09, 2026
Job Summary The General Counsel & Chief Compliance Officer (GC/CCO) serves as Moneta’s senior-most legal and compliance executive, establishing and leading the firm’s in-house legal function while maintaining direct accountability for enterprise-wide compliance program leadership. Reporting jointly to the Chief Executive Officer and Chief Operating Officer, this role provides authoritative legal counsel on securities law, regulatory matters, contracts, and business risk, and serves as the firm’s Chief Compliance Officer of record before the SEC and applicable state regulators. Equally important, the GC/CCO serves as a visible and trusted resource across the firm’s partnership, building the relationships and communication infrastructure necessary for a thriving compliance culture and sound legal risk management. Essential Responsibilities Legal Counsel & Enterprise Legal Function Serve as the firm’s founding in-house legal counsel and primary legal advisor...
Investment Management Paralegal
Morgan Stanley
Boston, MA
Jun 07, 2026
The Public Side Paralegal plays a pivotal role within the Public side legal team, providing comprehensive support to attorneys and working groups involved in fund formation, structuring, and ongoing regulatory compliance as well as transactional support to coverage attorneys. This position requires a high degree of organizational skill, attention to detail, and the ability to manage multiple complex projects simultaneously in a fast-paced environment. The paralegal will be responsible for coordinating all aspects of fund launches-including tracking documentation, managing timelines, and facilitating communication between internal stakeholders and external counsel. Additionally, the Public Side Paralegal will review and prepare a range of legal agreements and filings, support the maintenance of regulatory documents, and ensure that all legal and compliance requirements are met throughout the fund lifecycle. This dynamic role demands strong analytical abilities, legal research,...
Fund Services Tax Manager, VP II - State Street Investment Management
State Street
Boston, MA
Jun 06, 2026
The Tax Center of Excellence (CoE) is tasked with managing global tax compliance for the organization's investment products, maintaining adherence to all relevant tax and regulatory authorities. The CoE also coordinates reclaim and relief at source operations for the global investment platform, oversees value added tax and financial transaction taxes across multiple international jurisdictions, offers guidance and technical tax support during new product launches, and administers withholding tax procedures for non-US clients. We are seeking someone with significant custody tax and/or tax advisory experience who can join us as the Vice President responsible for leading and developing a team overseeing such processes. This individual will set operational priorities, drive governance and continuous improvement, and ensure effective execution of day-to-day operations. Due to the role requirements this job needs to be performed primarily in the office with some flex work...
Compliance Officer
Sixth Street
New York, NY
Jun 06, 2026
The Role Sixth Street’s Compliance team partners with all aspects of Sixth Street to build and maintain a best-in-class compliance program that addresses applicable regulatory requirements and industry best practices. The Compliance Officer will be a key team player in managing, executing, and enhancing the firm’s marketing and distribution process. The Compliance Officer will also drive key compliance-related projects and initiatives, including those pertaining to Sixth Street’s Global Capital Markets platform, compliance testing, training, regulatory filings, and designing, implementing and advising on policies and procedures. Core Responsibilities Own the marketing material review and approval process for high volumes of marketing materials, due diligence questionnaires, social media, and investor relations materials to ensure compliance with all applicable regulations, including SEC, FINRA and other relevant guidelines Utilize deep understanding of the SEC...
Compliance Officer
Invesco Ltd.
Atlanta, GA
Jun 05, 2026
About Invesco As one of the world’s leading independent global investment firms, Invesco is dedicated to rethinking possibilities for our clients. By delivering the combined power of our distinctive investment management capabilities, we provide a wide range of investment strategies and vehicles to our clients around the world. If you're looking for challenging work, intelligent colleagues, and exposure across a global footprint, come explore your potential at Invesco. What’s in it for you? Our people are at the ver y core of our success. Invesco employees get more out of life through our comprehensive compensation and benefit offerings including:   Flexible paid time off Hybrid work schedule  401(K) matching of 100% up to the first 6% with a discretionary supplemental contribution  Health & wellbeing benefits  Parental Leave benefits  Employee stock purchase plan Job Description The...
Senior Director of Mission Investment Management
The Salvation Army USA Central Territory
Chicago, IL
Jun 05, 2026
THE SALVATION ARMY NORTH & CENTRAL ILLINOIS DIVISION JOB DESCRIPTION   JOB TITLE: Senior Director of Mission Investment Management PEOPLE MANAGER: Yes REPORTS TO: Executive Director of Social Services FLSA STATUS: Exempt PAY GRADE:   412 PAY RANGE:   $116,207-$145,259   WHO WE ARE At The Salvation Army, we are dedicated to “Doing the Most Good”. We are made up of thousands of officers, soldiers, staff, volunteers, donors, and partners working together to holistically meet the physical, emotional, and spiritual needs of our most vulnerable neighbors. We do this through programs designed to combat homelessness and hunger, provide safe spaces for kids after school and on the weekends, achieve and maintain sobriety, and give hope to the hopeless. The Salvation Army North and Central Illinois Division provides these services to people in need.   JOB SUMMARY The Senior Director of Mission...
Senior Lead Compliance Officer - Prime Brokerage & Equities
Wells Fargo & Company
New York, NY
Jun 04, 2026
About this role: Wells Fargo is seeking a Senior Lead Compliance Officer (Executive Director) to support the continued growth of its Prime Brokerage platform within Corporate & Investment Banking (CIB). The Senior Lead Compliance Officer will provide compliance coverage for Prime Brokerage, while extending support across Cash Equities and broader broker-dealer activities, partnering closely with business leadership to deliver regulatory guidance, governance oversight, and strategic direction as the platform scales. This is an individual contributor role. In this role, you will: Provide compliance coverage for the Prime Brokerage business , including support for Prime Brokerage growth and expansion Partner closely with business leaders to deliver day-to-day advisory and oversight Offer flexible compliance support across Cash Equities and broker-dealer activities , including special projects and expanded responsibilities Interpret and advise on SEC,...
Credit Analyst III - Global Wealth & Investment Management
Bank of America
Charlotte, NC
Jun 04, 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 and providing a culture of caring is core to how we drive Responsible Growth. We are intentional about fostering an inclusive workplace where every teammate has the opportunity to succeed, build a career and contribute to our shared success. This includes attracting and developing exceptional talent, recognizing and rewarding performance, and supporting our teammates’ physical, emotional, and financial wellness through affordable, competitive and flexible benefits. We value the unique perspectives individuals bring from all backgrounds and career paths - whether shaped by military service, community college education, or a wide range of work and life experiences. These journeys...
Sr Mgr, Compliance Officer
TIAA
Frisco, TX
Jun 04, 2026
Compliance Officer The Compliance Officer implements broader planning for business unit compliance programs in order to ensure organization functions are in compliance with all relevant laws, regulations, and policies and to prevent illegal, unethical, or improper business practices within the organization. As a subject matter expert in investment adviser and broker-dealer compliance, this job manages large projects and processes to identify, investigate, and report compliance risks. Key Responsibilities and Duties Develops and implements preventative measures and compliance processes, identifies opportunities to improve the communication, monitoring, and/or enforcement of business unit compliance programs, and recommends relevant revisions of policies and procedures to improve the general operation of business unit compliance programs to management. Oversees business unit compliance programs as well as the development, implementation and revision of policies and...
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Business Line Compliance Officer

Jobgether
Apply Now
United States
Jun 09, 2026
Compliance

This position is listed on behalf of a partner company, who manages all applications and next steps. Our partner is looking for a Business Line Compliance Officer based in the United States.

This role is a high-impact compliance advisory position supporting investment banking and capital markets activities within a fast-paced, regulated financial environment. You will act as a front-line compliance partner to client-facing business lines, ensuring that trading, advisory, and capital markets activities align with applicable securities regulations and internal policies. The role combines regulatory expertise with hands-on advisory work, requiring close collaboration with senior stakeholders across business and control functions. You will help shape compliance frameworks, enhance supervisory controls, and support the development of policies that strengthen risk management across private-side activities. In addition, you will contribute to marketing and communications reviews, ensuring all client-facing materials meet regulatory standards. This is a highly analytical and autonomous role where judgment, precision, and communication are essential. It offers exposure to complex financial products and strategic transactions in a dynamic institutional setting.

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Accountabilities:
  • Provide day-to-day front-line compliance advisory support to investment banking and capital markets business lines, ensuring adherence to regulatory requirements and internal policies.
  • Advise on applicable securities laws, regulations, and firm policies, providing guidance across equities and fixed income private-side activities.
  • Develop, enhance, and implement compliance policies, supervisory controls, and monitoring frameworks aligned with regulatory standards and best practices.
  • Lead or support compliance initiatives and projects, including remediation efforts and the design of new control processes for transactional activities.
  • Review and advise on marketing materials, including investor presentations, deal documentation, LinkedIn content, and client communications.
  • Partner with business leaders and control functions to identify regulatory risks and design effective operational processes and safeguards.
  • Support the development and maintenance of supervisory tools, tracking mechanisms, and compliance checklists for business line oversight.
  • Collaborate with the Control Room to ensure transparency and effective oversight of private-side activities.
  • Contribute to the continuous improvement of compliance programs supporting investment banking and capital markets operations.

Requirements:

  • Bachelor’s degree in Finance, Law, Business, or a related field.
  • 7 years of experience in compliance, legal, or regulatory roles within a broker-dealer or financial institution.
  • Strong understanding of financial markets, securities regulations, and the broader regulatory environment (SEC, FINRA, MSRB, etc.).
  • Deep knowledge of fixed income products, including corporates, municipals, agencies, treasuries, securitized products, and private placements.
  • Experience supporting investment banking and capital markets business lines in a first-line advisory capacity.
  • Strong ability to interpret regulations, design controls, and draft or enhance compliance policies and procedures.
  • Excellent analytical, critical thinking, and problem-solving skills with strong attention to detail.
  • Strong written and verbal communication skills, with the ability to influence stakeholders at all levels.
  • Ability to work independently while managing multiple priorities in a fast-paced, high-pressure environment.
  • FINRA licenses required or in progress (Series 7 or 79 and Series 24, or ability to obtain within 120 days).
  • Proficiency with Microsoft Office tools and familiarity with compliance and financial industry systems is a plus.

Benefits:

  • Competitive base salary range of $130,000 – $170,000 USD.
  • Performance-based bonus eligibility.
  • Comprehensive health coverage including medical, dental, and vision insurance.
  • Health Savings Account (HSA) and Flexible Spending Accounts (FSA).
  • Retirement and financial security programs, including ESOP participation.
  • Paid vacation, personal days, and company holidays.
  • Life insurance, disability coverage, and income protection benefits.
  • Wellness support including fitness discounts, commuter benefits, and mental health resources.
  • Employee recognition programs and professional development opportunities.


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How Jobgether works:

We use an AI-powered matching process to ensure your application is reviewed quickly, objectively, and fairly against the role's core requirements. Our system identifies the top-fitting candidates, and this shortlist is then shared directly with the hiring company. The final decision and next steps (interviews, assessments) are managed by their internal team.

We appreciate your interest and wish you the best!

 Why Apply Through Jobgether? 

 

Data Privacy Notice: By submitting your application, you acknowledge that Jobgether will process your personal data to evaluate your candidacy and share relevant information with the hiring employer. This processing is based on legitimate interest and pre-contractual measures under applicable data protection laws (including GDPR). You may exercise your rights (access, rectification, erasure, objection) at any time.

 

 

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