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senior compliance officer
Senior Compliance Officer
BizTek People, Inc. | APA International Placement Consultants
New York, NY
Jul 10, 2026
Senior Compliance Officer | Equity Research Compliance BizTek People is seeking a Senior Compliance Officer for our client, a global financial institution in New York City. Location: Midtown, NYC Schedule: Hybrid preferred (2 days onsite / 3 days remote). Fully remote may be considered for the right candidate. Duration: Contract through October 5, 2026 Start Date: ASAP Pay Rate: up to $88/hour depending on experience benefits We are seeking an experienced Senior Compliance Officer with deep expertise in Control Room Compliance, Equity Research Compliance, Information Barriers, and Investment Banking Compliance. This role will serve as the Compliance Subject Matter Expert (SME) supporting Equity Research, Information Barrier governance, regulatory compliance, and Control Room activities within a global financial institution. Key Responsibilities Serve as the Compliance Subject Matter Expert (SME) on Information Barriers and...
Senior Compliance Officer
Franklin Templeton
St. Petersburg, FL
Jul 10, 2026
At Franklin Templeton, we believe success is built through powerful partnerships. As a forward thinking asset manager, we build dynamic relationships with clients, understand their goals, and navigate complex markets together. We leverage cutting edge strategies and deep insights to unlock opportunities for long term wealth creation. Our talented, global teams bring expertise that is both broad and unique. From our welcoming, inclusive, and supportive culture to our globally diverse business, we offer opportunities not only to help you reach your potential, but also to contribute to our clients’ success. About the Position The successful candidate will support the firm's compliance program across registered private equity funds, private debt funds, and exchange-traded funds (ETFs), ensuring adherence to applicable regulatory requirements and internal policies. This role will work closely with investment, operations, legal, product, and distribution teams to identify,...
Senior Lead Compliance Officer - Prime Brokerage & Equities
Wells Fargo
New York, NY
Jul 02, 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,...
Regulatory Associate Investment Management
City National Bank
New York, NY
Jul 09, 2026
ABOUT US RBC Rochdale partners with financial advisors and their high-net-worth clients to build intelligently personalized investment portfolios. RBC Rochdale provides investment research, portfolio management, macroeconomic outlook and strategic asset allocation to help clients meet their long-term goals. RBC Rochdale, LLC is an SEC-registered investment adviser and wholly-owned subsidiary of City National Bank.   REGULATORY ASSOCIATE INVESTMENT MANAGEMENT   WHAT IS THE OPPORTUNITY? This position sits in City National Bank's Investment Management Group's (IMG) and supports the Head of Regulatory Governance for the Chief Investment Officer. This is a First Line of Defense role and is responsible for the identification, monitoring and mitigation of operational and regulatory risks. In addition, the role will support the IMG's corporate governance requirements, controls implementation and monitoring, and development and maintenance of procedure documentation. The...
Real Assets Sustainability US - Investment Management - Associate / Senior Associate
Morgan Stanley
New York, NY
Jul 07, 2026
Morgan Stanley Investment Management (“MSIM”), together with its investment advisory affiliates, has more than 1,300 investment professionals around the world and $1.9 trillion in assets under management or supervision as of December 31, 2025. MSIM strives to provide strong long-term investment performance, outstanding service and a comprehensive suite of investment management solutions to a diverse client base, which includes governments, institutions, corporations and individuals worldwide. Morgan Stanley Real Assets (“MSRA”) is the global real assets investment management arm of Morgan Stanley. MSRA is comprised of 4 investment teams focused on private real estate equity, private infrastructure equity and private real assets credit strategies. With 20 offices in 13 countries throughout the U.S., Europe and Asia, regional teams of dedicated real assets professionals combine a unique global perspective with local presence and significant transaction execution expertise. As of...
Senior Manager - Investment Management Governance Office - RNDIP/ Reg R
City National Bank
Newark, NJ
Jul 10, 2026
SENIOR MANAGER, INVESTMENT MANAGEMENT GOVERNANCE OFFICE, RNDIP / REG R   WHAT IS THE OPPORTUNITY? Working within the Investment Management Governance Office and with Senior Management of the Wealth Management division, this role will be responsible for City National Bank's Retail Non-Deposit Investment Program (RNDIP) and Reg R compliance to include coordination with City National Bank's Network Affiliates and colleagues across the division to implement policies, develop procedures and controls related to the governance requirements outlined in the OCC RNDIP Handbook (June 2024) and produce quarterly metrics and reports to the Wealth Management & Fiduciary Committee and the Private Banking and Wealth Management Business and Risk Committee. This role also works closely with 2LOD Compliance and 3LOD Internal Audit on issues impacting the Wealth Management division.   WHAT WILL YOU DO? At the direction of the Head of Investment Management Governance act as an...
Regulatory Oversight and Management - Investment Management, Office of COO - Associate
Morgan Stanley
New York, NY
Jul 09, 2026
Morgan Stanley Investment Management (MSIM) is one of the largest global asset management organizations of any full-service securities firm, with more than 40 years of history, a presence in 24 countries, and a total of $1.9 trillion in assets under management as of December 31, 2025. MSIM strives to provide strong long-term investment performance, outstanding service, and a comprehensive suite of investment management solutions to a diverse client base, which includes governments, institutions, corporations, and individuals worldwide. MSIM is seeking an Associate to join the Global Regulatory Oversight Team within the Office of COO. Key Responsibilities: Manage the day-to-day efforts related to the first line of defense of regulatory oversight, by monitoring, assessing, and tracking regulatory developments impacting MSIM globally Lead the strategy, design, governance, and implementation of regulatory change projects by developing project plans, tracking...
Deputy Chief Compliance Officer
StoneX Group
Mountain Brook, AL
Jul 09, 2026
Overview Connecting clients to markets – and talent to opportunity.  With 5,400 employees and over 80,000 institutional, commercial, and payments clients, we operate from more than 80 offices spread across six continents. As a Fortune 100, Nasdaq-listed provider, we connect clients to the global markets – focusing on innovation, human connection, and providing world-class products and services to all types of investors.  Whether you want to forge a career connecting our retail clients to potential trading opportunities, or ingrain yourself in the world of institutional investing, StoneX Group is made up of four business segments that offer endless potential for progression and growth.      Institutional : Immerse yourself in the best-in-class institutional-grade technology, working alongside industry experts and gaining exposure to various asset classes, such as equities, options, fixed income securities, and advanced trading, research, and management technology....
Analyst, Investment Management Group, South Bend, IN
1st Source Bank
South Bend, IN
Jul 09, 2026
POSITION SUMMARY Responsible for trading and investment research and provides additional support to the portfolio managers. ESSENTIAL REQUIREMENTS Executes trades from various staff members who have authority. Executes trades from direct third parties.  Handles settlement issues with brokers and trust operations department. Conducts investment research as requested covering various market sectors. Collects and aggregates, sector and performance data for marketing and other internal information purposes. Supports investment committee and completes tasks as assigned. Regular and predictable attendance is an essential requirement of the position. Responsible for the completion of all compliance training related to the position. Must understand all applicable laws and regulations that apply to the position and comply with the requirements. NON-ESSENTIAL FUNCTIONS Performs all other duties as assigned....
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Senior Compliance Officer

BizTek People, Inc. | APA International Placement Consultants
Apply Now
New York, New York, United States
Jul 10, 2026
Compliance


Senior Compliance Officer | Equity Research Compliance

BizTek People is seeking a Senior Compliance Officer for our client, a global financial institution in New York City.


Location: Midtown, NYC

Schedule: Hybrid preferred (2 days onsite / 3 days remote). Fully remote may be considered for the right candidate.

Duration: Contract through October 5, 2026

Start Date: ASAP

Pay Rate: up to $88/hour depending on experience benefits


We are seeking an experienced Senior Compliance Officer with deep expertise in Control Room Compliance, Equity Research Compliance, Information Barriers, and Investment Banking Compliance. This role will serve as the Compliance Subject Matter Expert (SME) supporting Equity Research, Information Barrier governance, regulatory compliance, and Control Room activities within a global financial institution.

Key Responsibilities

  • Serve as the Compliance Subject Matter Expert (SME) on Information Barriers and Control Room Compliance.
  • Advise Equity Research, Investment Banking, Legal, and business stakeholders on Information Barriers, wall-crossing procedures, sensitive information, and need-to-know policies.
  • Provide compliance guidance regarding the use of experts and expert networks.
  • Support research vetting requests from Investment Banking, including wall crossings and chaperoning meetings between Investment Banking and Equity Research.
  • Review and approve equity research publications.
  • Maintain the firm's Global Watch List and Restricted List, coordinating updates with Investment Banking teams.
  • Respond to Internal Audit, regulatory inquiries, and compliance examinations.
  • Draft and enhance compliance policies, procedures, and business controls.
  • Deliver onboarding, annual, and ad hoc compliance training to Equity Research personnel.
  • Execute compliance initiatives, regulatory projects, and special assignments.
  • Stay current on SEC, FINRA, and other regulatory developments impacting Equity Research and Control Room Compliance.

Qualifications

  • Bachelor's degree required (Master's degree preferred)
  • FINRA licenses strongly preferred.
  • 10 years of Compliance experience within an investment bank, broker-dealer, or financial services organization.
  • 2 years of experience supporting Equity Research Compliance and Control Room functions.
  • Strong knowledge of Information Barriers, MNPI, wall-crossing procedures, and Watch/Restricted List management.
  • Thorough understanding of SEC and FINRA regulations, including:
  • Section 15(g) of the Securities Exchange Act of 1934 (MNPI)
  • FINRA Rules 2241 and 2242
  • Regulation M
  • Safe Harbor provisions
  • Global Research Settlement requirements
  • Experience responding to Internal Audit and regulatory examinations.
  • Strong analytical, communication, and stakeholder management skills.
  • Ability to manage multiple priorities in a fast-paced environment while exercising sound judgment.


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