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Compliance Officer
MillTech
New York, NY
Aug 06, 2026
Position:             Compliance Officer           Reports to:         Group Chief Compliance Officer                Location:            New York City, USA   Overview - About MillTech MillTech provides advanced FX Hedging and Cash Investment solutions to increase market access, reduce costs and automate manual workflows.  With a focus on automation, integration and connectivity, we have pioneered an independent risk management and liquidity solution for fund managers, institutions and global corporates, which is purpose-built to deliver best execution at scale.  Since its inception in 2020, the MillTech platform has grown to support over $500bn in annual FX volume and over $35bn in client programs and is now trusted by some of the world’s largest institutions. In 2026, MillTech announced a $60m minority investment from the growth equity arm of Apax Partners which valued the company at $325m. As part of our next phase of growth, we will be opening an office...
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Chief Compliance Officer
Heritage Investors Management Corp
Bethesda, MD
Jul 22, 2026
Heritage Investors Management Corporation is searching for a Chief Compliance Officer to manage all aspects of the firm’s compliance program. Heritage, based in Bethesda, MD, is an SEC-registered investment advisor managing approximately $4.9 Billion in assets. Established in 1975, Heritage has consistently delivered value to its clients by understanding their financial objectives and utilizing a disciplined, time-tested investment process that effectively achieves them. Heritage is proud of its track record and its focus on the individual client as the basis for its investment strategy. ESSENTIAL DUTIES AND RESPONSIBILITIES Manage, implement, operate and be responsible for the firm’s compliance program. Monitor and test the firm’s policies and procedures to determine the adequacy and effectiveness of the firm’s compliance program. Prepare and submit all required regulatory filings and disclosure documents in a timely and accurate manner. Train and...
Head of Broker Dealer Compliance, Americas and Chief Compliance Officer (VN2908)
Marex
New York, NY
Aug 05, 2026
About Marex Marex Group plc (NASDAQ: MRX) is a diversified global financial services platform providing essential liquidity, market access and infrastructure services to clients across energy, commodities and financial markets. The group provides comprehensive breadth and depth of coverage across four core services: clearing, agency and execution, market making, and hedging and investment solutions. It has a leading franchise in many major metals, energy and agricultural products, with access to 60 exchanges. 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 40 offices worldwide, the group has over 2,300 employees across Europe, Asia and the Americas. For more information visit https://www.marex.com/ Marex has unique access across markets with significant share globally both on and off...
Sr. Compliance Officer
Invesco Ltd.
Atlanta, GA
Aug 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...
Compliance Officer - Marketing
Susquehanna International Group, LLP
New York, NY
Aug 05, 2026
Overview Susquehanna is looking for an experienced Compliance professional to join our team with a primary focus on marketing compliance while also supporting broader core compliance functions across the firm. This individual will partner closely with the marketing team to review and approve marketing materials ensuring they meet applicable global regulatory requirements, while also contributing to areas including but not limited to employee personal trading, AML, licensing and registration, policies and procedures, and other compliance matters. This individual may also be involved with the review of research analyst reports that are published by our institutional sales arm.   What You'll Do Review, approve, and maintain records of marketing and social media content in accordance with applicable global regulatory requirements Serve as the day to day compliance resource for the global marketing team, providing practical guidance on regulatory considerations for new...
Private Markets Compliance Officer - Senior Analyst/Associate
Careers at KKR
New York, NY
Aug 05, 2026
COMPANY OVERVIEW KKR is a leading global investment firm that offers alternative asset management as well as capital markets and insurance solutions. KKR aims to generate attractive investment returns by following a patient and disciplined investment approach, employing world-class people, and supporting growth in its portfolio companies and communities. KKR sponsors investment funds that invest in private equity, credit and real assets and has strategic partners that manage hedge funds. KKR’s insurance subsidiaries offer retirement, life and reinsurance products under the management of Global Atlantic Financial Group. References to KKR’s investments may include the activities of its sponsored funds and insurance subsidiaries. POSITION OVERVIEW KKR is seeking a Compliance Officer to join KKR’s Global Compliance team with a focus on KKR’s US Private Markets business, including Private Equity and Real Assets. The successful candidate will support Firm-wide compliance...
ETF and 1940 Act Registered Funds Compliance Officer - Vice President
iCapital
Salt Lake City, UT
Aug 05, 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 and 1940 Act Registered Funds Compliance Officer - Vice President
iCapital
Greenwich, CT
Aug 05, 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 and 1940 Act Registered Funds Compliance Officer - Vice President
iCapital
New York, NY
Aug 05, 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,...
Compliance Officer (Bureau of Asset Management)
City of New York
New York, NY
Aug 02, 2026
Job Description The New York City Comptroller’s Office works to promote the financial health, integrity, and effectiveness of New York City government, in order to strengthen trust, secure a thriving future for all New Yorkers, and build a more just, equitable, and resilient city. Led by an independently elected citywide official, the comptroller’s office provides checks and balances needed to hold City government accountable for budgeting wisely, investing responsibly, operating efficiently, acting fairly, living up to its obligations and promises, and paying attention to the long-term challenges we face together. The Bureau of Asset Management is responsible for oversight of the investment portfolios of the five New York City pension systems. Through a culture of collaboration, individual development, and teamwork that leverages diverse talent and strives for continuous improvement, the goal of the Bureau of Asset Management is to achieve exceptional investment outcomes...
Compliance Officer
Hilltop Holdings
Dallas, TX
Jul 31, 2026
HilltopSecurities is looking to hire a Compliance Officer. The Compliance Department is responsible for ensuring that Hilltop Securities Inc. has effective policies and procedures in place and enforcing those policies as set forth by the industry regulators. The department also holds compliance responsibility for an affiliated broker/dealer (Hilltop Securities Independent Network Inc.). The Compliance Officer responsibilities may include providing compliance surveillance for, and conduct on-site compliance audits of, branch locations and home office business units. In addition, this position may support employee trade reviews, advertising and marketing, annual compliance meetings, customer complaints and electronic communications, regulatory requests and examinations and other departmental projects as assigned by management staff. At HilltopSecurities, we believe in building noble and collaborative relationships that enrich the financial future of individuals, businesses and...
Senior Compliance Officer
Franklin Templeton
St. Petersburg, FL
Aug 02, 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,...
Transition Management Engineering Lead, VP - State Street Investment Management
State Street
Boston, MA
Aug 06, 2026
Role Overview State Street Investment Management (“State Street IM”, formerly State Street Global Advisors) is seeking a Vice President of Engineering to lead the design, delivery, and production support of the Transition Management (TM) & Trading technology platform . This role will be accountable for end-to-end platform ownership , ensuring high availability, scalability, and operational resilience , while enabling efficient execution of Transition Management workflows across asset classes. You will partner closely with business leadership, product teams, and global engineering functions to drive platform modernization, reduce operational risk, and improve execution outcomes . Key Responsibilities Platform Leadership & Strategy Own the end-to-end Transition Management technology platform , covering execution, workflow orchestration, and post-trade processes. Define and execute the platform roadmap , aligned to business growth, scale, and operational...
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Compliance Officer

MillTech
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New York, New York, United States
Aug 06, 2026
Compliance

Position:             Compliance Officer          

Reports to:         Group Chief Compliance Officer               

Location:            New York City, USA

 

Overview - About MillTech

MillTech provides advanced FX Hedging and Cash Investment solutions to increase market access, reduce costs and automate manual workflows.


 With a focus on automation, integration and connectivity, we have pioneered an independent risk management and liquidity solution for fund managers, institutions and global corporates, which is purpose-built to deliver best execution at scale.


 Since its inception in 2020, the MillTech platform has grown to support over $500bn in annual FX volume and over $35bn in client programs and is now trusted by some of the world’s largest institutions. In 2026, MillTech announced a $60m minority investment from the growth equity arm of Apax Partners which valued the company at $325m. As part of our next phase of growth, we will be opening an office in New York City this year.


Headquartered in London, the world’s largest FX hub, MillTech provides services to clients in the United Kingdom, United States, Canada, Switzerland, Belgium, Denmark, Ireland, Luxembourg, Norway and Liechtenstein. MillTech is authorised and regulated by the UK’s Financial Conduct Authority (FCA FRN 911636) and registered with the USA’s National Futures Association (NFA). 


The opportunity:

MillTech is seeking a Compliance Officer to lead the compliance function for our New York office. Reporting the Group Chief Compliance Officer, you will assist with the design, implementation, and continuous improvement of our compliance program. This is a high visibility role for a leader who can pair deep regulatory expertise with pragmatic, business enabling judgment.

Your specific responsibilities will be:

  • Own and evolve the firm's compliance program, policies, and code of ethics across all business lines.
  • Serve as primary liaison with regulators, including the SEC, FINRA, NFA and other federal and state authorities; manage examinations, inquiries, and filings.
  • Oversee AML, KYC, and sanctions (OFAC) programs, including suspicious activity monitoring and reporting.
  • Monitor regulatory developments and translate them into practical guidance for the business.
  • Lead compliance risk assessments, testing, surveillance, and remediation of identified issues.
  • Advise senior leadership on compliance risks affecting new products, markets, and strategic initiatives.
  • Build, mentor, and scale a high performing compliance team; foster a strong culture of compliance.
  • Deliver compliance training and manage employee certifications, personal trading, and conflicts of interest programs.


Requirements (essential);

  • 10 years of compliance experience in financial services, with 5 years in a senior leadership role (CCO, Deputy CCO, or equivalent).
  • Deep knowledge of SEC, FINRA, NFA and NYDFS regulatory frameworks; hands-on experience managing regulatory examinations.
  • Expertise in AML/BSA, sanctions, and anti-fraud regimes.
  • Relevant certifications (CAMS, CRCP, or similar) preferred.
  • FINRA Series 14 or 24
  • Proven ability to influence executives and boards, and to build compliance functions that scale with the business.
  • Impeccable integrity, sound judgment, and clear, direct communication.

 

What we offer in return:

Our commitment is to help you flourish in this role, through support with your professional development, opportunities to be involved in key projects, and exposure to challenges that you may not be offered in a larger organisation.  We will provide:

  • A competitive salary with annual reviews;
  • 25 days’ paid annual leave plus an additional day per year of service;
  • Excellent staff development and training opportunities;
  • Flexible working arrangements including remote working;
  • Healthcare
  • 401(k) with employer match

 

How to apply?

At MillTech we believe that diversity and inclusion are essential for fostering innovation and building a strong, supportive work environment. We are committed to embedding the best equality and diversity practices into all our activities, making us an inclusive, welcoming, and exciting place to work. We would welcome candidates from all backgrounds and experiences.

We would like to hear from you if you think that you’re a good fit for this role.  To apply you should upload your CV.  One of the team will then be in touch with you to discuss the next steps.




About MillTech
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