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compliance officer
Compliance Officer
Millennium
New York, NY
Jun 27, 2026
Compliance Officer About Millennium   Millennium is a global, diversified alternative investment firm, founded in 1989. Defined by evolution, innovation and focus, Millennium’s mission is to deliver results for our investors. Our people are empowered with both independence and support: the autonomy to pursue ideas with conviction and the backing of a global network committed to collaboration, disciplined risk management and continuous learning. With opportunities to deepen expertise and accelerate development, talent at Millennium is equipped to adapt, evolve and build lasting impact over time. Discover how transformative growth accelerates impact. Meet the Team   The Compliance Department at Millennium is responsible for adopting, implementing, and enforcing the firm’s compliance program across policies, procedures, processes, systems, controls, surveillance, testing, and reporting. The team works to help prevent and detect violations of applicable laws, rules,...
Chief Compliance Officer (CCO) for Truist Investment Services, Inc. and Truist Advisory Services, Inc.
Truist
Charlotte, NC
Jun 26, 2026
The position is described below. If you want to apply, click the Apply Now button at the top or bottom of this page. After you click Apply Now and complete your application, you'll be invited to create a profile, which will let you see your application status and any communications. If you already have a profile with us, you can log in to check status. Need Help? If you have a disability and need assistance with the application, you can request a reasonable accommodation. Send an email to Accessibility (accommodation requests only; other inquiries won't receive a response). Regular or Temporary: Regular Language Fluency:  English (Required) Work Shift: 1st shift (United States of America) Please review the following job description: The Chief Compliance Officer (CCO) for Truist Investment Services, Inc. and Truist Advisory Services, Inc. is responsible for leading an integrated broker-dealer and...
ETF & 1940 Act Registered Funds Compliance Officer - Vice President
iCapital
Greenwich, CT
Jun 26, 2026
About the Role iCapital is looking to hire a Compliance Officer to oversee the relevant investment advisers supporting the Exchange-Traded Funds (ETF) and 1940 Act Registered Funds businesses. This individual will also be responsible for assisting and/or leading the implementation and administration of compliance programs for the firm’s SEC Registered Investment Advisers, NFA and CFTC registered Commodity Pools, and other compliance-related activities as they relate to these products or entities.  Responsibilities Maintain expert knowledge of regulations applicable to ETFs and 1940 Act Registered Funds and their investment advisers, including the Investment Advisers Act of 1940, Investment Company Act of 1940, and Rule 6c‑ Monitor and advise on regulatory developments affecting ETFs, including derivatives, valuation, liquidity, and related rulemaking. Design, implement, and maintain compliance programs under Rule 206(4)‑7 and Rule 38a‑1 for ’40 Act trusts,...
ETF & 1940 Act Registered Funds Compliance Officer - Vice President
iCapital
New York, NY
Jun 26, 2026
About the Role iCapital is looking to hire a Compliance Officer to oversee the relevant investment advisers supporting the Exchange-Traded Funds (ETF) and 1940 Act Registered Funds businesses. This individual will also be responsible for assisting and/or leading the implementation and administration of compliance programs for the firm’s SEC Registered Investment Advisers, NFA and CFTC registered Commodity Pools, and other compliance-related activities as they relate to these products or entities.  Responsibilities Maintain expert knowledge of regulations applicable to ETFs and 1940 Act Registered Funds and their investment advisers, including the Investment Advisers Act of 1940, Investment Company Act of 1940, and Rule 6c‑ Monitor and advise on regulatory developments affecting ETFs, including derivatives, valuation, liquidity, and related rulemaking. Design, implement, and maintain compliance programs under Rule 206(4)‑7 and Rule 38a‑1 for ’40 Act trusts,...
Chief Compliance Officer
Moment
New York, NY
Jun 26, 2026
Chief Compliance Officer   Build the future of investment management with us The infrastructure managing $300 trillion in assets was built in the 90s. Now, all of it is up for grabs. The winner of the AI era of investment management will be a $100B company. We intend to be that company. To get there, we're assembling the most talent-dense startup in New York. We hire people who are 1) exceptional, 2) allergic to anything that's not exceptional, and 3) recruiters of other exceptional people. We also have no tolerance for brilliant jerks. We run lean by design. We work with a select group of the largest financial institutions in the world, go incredibly deep with each, and sit in the flow of trillions of dollars. We hire fewer people, ask each to own the outcome, and pay on impact - not tenure or experience. Moment is not for everyone. The standards are unreasonably high. The pace is intense. And there is no playbook. In return: the best work of your career, building a...
Lead Compliance Officer - Home Lending
Wells Fargo & Company
Charlotte, NC
Jun 25, 2026
Why Wells Fargo Are you looking for more? Find it here. At Wells Fargo, we're more than a financial services leader — we’re a global trailblazer committed to driving innovation, empowering communities, and helping our customers succeed. We believe that a meaningful career is much more than just a job — it’s about finding all of the elements to help you thrive, in one place. Living the Wells Life means you’re supported in life, not just work. It means having robust benefits, competitive compensation, and programs designed to help you find work-life balance and well-being. You’ll be rewarded for investing in your community, celebrated for being your authentic self, and empowered to grow. And we’re recognized for it — Wells Fargo continues to rank on the LinkedIn Top Companies lists of best workplaces “to grow your career.” Join us! About this role: Wells Fargo is seeking a Lead Compliance Officer for the Home Lending Compliance Team.  As a part of Wells Fargo's second...
ETF & 1940 Act Registered Funds Compliance Officer - Vice President
iCapital
Salt Lake City, UT
Jun 24, 2026
About the Role iCapital is looking to hire a Compliance Officer to oversee the relevant investment advisers supporting the Exchange-Traded Funds (ETF) and 1940 Act Registered Funds businesses. This individual will also be responsible for assisting and/or leading the implementation and administration of compliance programs for the firm’s SEC Registered Investment Advisers, NFA and CFTC registered Commodity Pools, and other compliance-related activities as they relate to these products or entities.  Responsibilities Maintain expert knowledge of regulations applicable to ETFs and 1940 Act Registered Funds and their investment advisers, including the Investment Advisers Act of 1940, Investment Company Act of 1940, and Rule 6c‑ Monitor and advise on regulatory developments affecting ETFs, including derivatives, valuation, liquidity, and related rulemaking. Design, implement, and maintain compliance programs under Rule 206(4)‑7 and Rule 38a‑1 for ’40 Act trusts,...
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...
Featured
Senior Counsel, Investments
FM
Hybrid (Boston, MA)
May 01, 2026
Summary: Reporting to the Assistant General Counsel, Corporate Transactions, this Senior Counsel role supports the Company’s Investments group by providing end-to-end strategic guidance and legal support for a wide range of investment transactions. These transactions include private fund investments, direct investments, managed accounts across asset classes as well as derivatives transactions and pension plan investments.  The Senior Counsel will also play a critical role in supporting the Company’s M&A activity. This position requires a collaborative mindset, with focus on solutions and the ability to build constructive relationships with senior management and across Company stakeholders.  This position will be instrumental in managing risks and maintaining strong legal standards within the growing FM Investments portfolio.   Schedule & Location: This is a full-time office-based position in Boston, MA. Occasional overnight travel to other corporate...
Credit Analyst III - Global Wealth & Investment Management
Bank of America
Charlotte, NC
Jun 27, 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...
2027 Wealth & Investment Management Summer Internship - Early Careers
Wells Fargo
Charlotte, NC
Jun 27, 2026
About this role: Wells Fargo is seeking talent to join the 2027 Wealth and Investment Management Summer Internship Program. Learn more about the career areas and lines of business at wellsfargojobs.com Business Overview Wealth & Investment Management, or WIM, is one of the United States’ leading providers of financial and investment services. WIM provides a full range of personalized wealth management, investment, and retirement products and services to meet clients’ unique needs and help them achieve financial goals. Our mission is to help clients pursue their financial goals with confidence. We accomplish this by: Building enduring client relationships through sound, thoughtful, and objective advice Developing individualized plans for clients to help meet their financial objectives Helping clients build, manage, preserve, and transition their financial resources and wealth Program Overview WIM Early Careers seeks to attract, develop, and retain...
Investment Management Consultant II - Denver, CO
Fidelity Investments
Greenwood Village, CO
Jun 26, 2026
Job Description: Investment Management Consultant II Serves as a subject matter expert on managed accounts and their processes, focusing on customer experience, retention, and sales in partnership with the client’s Financial Consultant team. This client-facing role handles the most complex managed account sales and service needs, including Annual Plan Reviews, risk mitigation, and representing Advisory Services’ voice to the customer.   The Expertise We’re Looking For FINRA Series 7 & 66 licensed and hold appropriate state registrations, OR ability to acquire Series 66 upon hire. Minimum of 4 years of previous financial services experience Bachelor’s degree or equivalent experience; Professional designation (CFP) preferred. Deep understanding of managed account industry and Fidelity’s managed offerings. Broad-based knowledge and understanding of general financial planning concepts, including managed solutions. Demonstrated customer...
Investment Management Consultant II - Merrimack
Fidelity Investments
Merrimack, NH
Jun 26, 2026
Job Description: Investment Management Consultant II Serves as a subject matter expert on managed accounts and their processes, focusing on customer experience, retention, and sales in partnership with the client’s Financial Consultant team. This client-facing role handles the most complex managed account sales and service needs, including Annual Plan Reviews, risk mitigation, and representing Advisory Services’ voice to the customer.   The Expertise We’re Looking For FINRA Series 7 & 66 licensed and hold appropriate state registrations, OR ability to acquire Series 66 upon hire. Minimum of 4 years of previous financial services experience Bachelor’s degree or equivalent experience; Professional designation (CFP) preferred. Deep understanding of managed account industry and Fidelity’s managed offerings. Broad-based knowledge and understanding of general financial planning concepts, including managed solutions. Demonstrated customer...
Investment Management Consultant II - Smithfield
Fidelity Investments
Smithfield, RI
Jun 26, 2026
Job Description: Investment Management Consultant II Serves as a subject matter expert on managed accounts and their processes, focusing on customer experience, retention, and sales in partnership with the client’s Financial Consultant team. This client-facing role handles the most complex managed account sales and service needs, including Annual Plan Reviews, risk mitigation, and representing Advisory Services’ voice to the customer.   The Expertise We’re Looking For FINRA Series 7 & 66 licensed and hold appropriate state registrations, OR ability to acquire Series 66 upon hire. Minimum of 4 years of previous financial services experience Bachelor’s degree or equivalent experience; Professional designation (CFP) preferred. Deep understanding of managed account industry and Fidelity’s managed offerings. Broad-based knowledge and understanding of general financial planning concepts, including managed solutions. Demonstrated customer...
Investment Management Consultant II - Westlake, TX
Fidelity Investments
Westlake, TX
Jun 26, 2026
Job Description: Investment Management Consultant II Serves as a subject matter expert on managed accounts and their processes, focusing on customer experience, retention, and sales in partnership with the client’s Financial Consultant team. This client-facing role handles the most complex managed account sales and service needs, including Annual Plan Reviews, risk mitigation, and representing Advisory Services’ voice to the customer.   The Expertise We’re Looking For FINRA Series 7 & 66 licensed and hold appropriate state registrations Minimum of 4 years of previous financial services experience Bachelor’s degree or equivalent experience; Professional designation (CFP) preferred. Deep understanding of managed account industry and Fidelity’s managed offerings. Broad-based knowledge and understanding of general financial planning concepts, including managed solutions. Demonstrated customer service, relationship management, and sales skills....
Investment Management Consultant II - Covington, KY
Fidelity Investments
Covington, KY
Jun 26, 2026
Job Description: Investment Management Consultant II Serves as a subject matter expert on managed accounts and their processes, focusing on customer experience, retention, and sales in partnership with the client’s Financial Consultant team. This client-facing role handles the most complex managed account sales and service needs, including Annual Plan Reviews, risk mitigation, and representing Advisory Services’ voice to the customer.   The Expertise We’re Looking For FINRA Series 7 & 66 licensed and hold appropriate state registrations Minimum of 4 years of previous financial services experience Bachelor’s degree or equivalent experience; Professional designation (CFP) preferred. Deep understanding of managed account industry and Fidelity’s managed offerings. Broad-based knowledge and understanding of general financial planning concepts, including managed solutions. Demonstrated customer service, relationship management, and sales skills....
Senior Counsel – Mutual & Private Fund Distribution (Wealth & Investment Management)
Wells Fargo & Company
Charlotte, NC
Jun 26, 2026
About this role:   Wells Fargo is seeking a Senior Counsel to join the legal team supporting its Wealth and Investment Management (WIM) division.  This Senior Counsel will support the legal and regulatory aspects of distributing registered investment companies and private investment funds. This role will work closely with business, compliance, and product teams to provide practical, business‑oriented legal advice on U.S. distribution channels and regulatory requirements. The ideal candidate will have deep familiarity with the Investment Company Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, and related SEC and FINRA rules governing distribution activities across retail, institutional, and intermediary platforms. In this role, you will: Advise on the distribution of mutual funds, ETFs, and other registered products, including compliance with the Investment Company Act of 1940 and related SEC rules (e.g., Rule 12b‑1, Rule 22c‑1, Regulation...
GRO - Investment Management (Private)
Manulife
Boston, MA
Jun 24, 2026
At Manulife, we believe in investing in the future starting with you! Our GRO program is a bold new approach to early talent development, designed to launch your career with the support, structure, and opportunities you need to thrive. GRO is Manulife’s flagship early talent program. It’s more than just a job, it’s  a launchpad for your career. GRO offers a consistent, high-quality experience for new graduates across the organization.  Shape the future of investing with our Investment Management Program, a key stream within our GRO early talent program. This dynamic two-year rotational program is designed to develop high-potential graduates into future leaders in investment and asset management. Through three 8-month rotations across private markets, spanning areas such as Real Estate Asset Management, Infrastructure Equity, Private Markets Product Development and more, you’ll gain broad exposure to the investment landscape while building a strong foundation for your...
GRO - Investment Management (Public)(Boston)
Manulife
Boston, MA
Jun 24, 2026
At Manulife, we believe in investing in the future starting with you! Our GRO program is a bold new approach to early talent development, designed to launch your career with the support, structure, and opportunities you need to thrive. GRO is Manulife’s flagship early talent program. It’s more than just a job, it’s  a launchpad for your career. GRO offers a consistent, high-quality experience for new graduates across the organization.  Shape the future of investing with our Investment Management Program, a key stream within our GRO early talent program. This dynamic two-year rotational program is designed to develop high-potential graduates into future leaders in investment and asset management. Through three 8-month rotations across public markets, spanning areas such as Fixed Income, Multi-Asset Strategies (MAST) and more, you’ll gain broad exposure to the investment landscape while building a strong foundation for your career. As part of GRO Investment Management,...
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Compliance Officer

Millennium
Apply Now
New York, New York, United States
Jun 27, 2026
Compliance
Compliance Officer

About Millennium 

Millennium is a global, diversified alternative investment firm, founded in 1989. Defined by evolution, innovation and focus, Millennium’s mission is to deliver results for our investors.

Our people are empowered with both independence and support: the autonomy to pursue ideas with conviction and the backing of a global network committed to collaboration, disciplined risk management and continuous learning. With opportunities to deepen expertise and accelerate development, talent at Millennium is equipped to adapt, evolve and build lasting impact over time. Discover how transformative growth accelerates impact.

Meet the Team 

The Compliance Department at Millennium is responsible for adopting, implementing, and enforcing the firm’s compliance program across policies, procedures, processes, systems, controls, surveillance, testing, and reporting. The team works to help prevent and detect violations of applicable laws, rules, regulatory requirements, and firm policies through a disciplined and well-controlled framework.

What You'll Do 

  • Conduct trade surveillance reviews with a focus on identifying potential market manipulation and insider trading activity
  • Monitor daily surveillance reports using exception reports and other surveillance tools to identify potential issues
  • Review trade alerts, assess findings, and escalate matters as appropriate
  • Support special compliance projects and broader team initiatives as assigned
  • Maintain accurate, complete, and well-organized compliance books and records
  • Help develop and maintain metrics reporting dashboards to track compliance activity and performance

What You Bring 

  • 8 years of surveillance or related compliance experience, ideally at a regulator, bank or broker, or buy-side firm
  • Experience with options and/or futures markets preferred
  • Strong analytical skills, sound judgment, and clear communication abilities
  • High attention to detail with the ability to manage multiple priorities effectively
  • Advanced Excel skills; experience with NTS, Actimize, or Tableau is a plus
  • Familiarity with building and maintaining metrics reporting dashboards for compliance tracking and performance reporting
  • Bachelor’s degree preferred; Series 7 or Series 3 is a plus

Salary Range 

Millennium offers a total compensation package which includes a base salary, discretionary performance bonus, and comprehensive benefits. The estimated base salary range for this position is $160,000 to $250,000, which is specific to New York and may change in the future. When finalizing an offer, we take into consideration an individual’s experience level and the qualifications they bring to the role to formulate a competitive total compensation package.

About Millennium
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