Mi

Compliance Officer

Millennium

Greenwich, CT

Oct 06, 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 adopts, implements, and enforces a compliance program encompassing policies and procedures, processes, systems, controls, surveillance, testing, and reporting. The team partners with WorldQuant, a global quantitative asset management firm, to support a thoughtful,...

IL

Compliance Officer

Invesco Ltd.

Atlanta, GA

Oct 06, 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...

CA

Compliance Officer

CAIS

New York, NY

Oct 06, 2026

CAIS is the pioneer in democratizing access to and education about alternative investments for independent financial advisors, empowering them to engage and transact with leading asset managers on a massive scale through a wide variety of alternative investment products and technology solutions. CAIS provides financial advisors with a broad selection of alternative investment strategies, including hedge funds, private equity, private credit, real estate, digital assets, and structured notes. CAIS also delivers industry-leading technology, operational efficiency, and world-class client service throughout the pre-trade, trade, and post-trade experience. CAIS serves over 2,500 wealth management firms that support more than 65,000 financial advisors who oversee approximately $8.5 trillion in end-client assets. CAIS is seeking a detail-oriented, highly organized, and proactive Associate or Senior Associate to join our Legal and Compliance team. This individual will play an important...

FI

Chief Compliance Officer, Impresa Management

Fidelity Investments

Boston, MA

Oct 03, 2026

Fidelity will not provide immigration sponsorship for this position. Job Description: The Role The Chief Compliance Officer (CCO) is responsible for the design, implementation, administration, and continuous enhancement of Impresa Management LLC's compliance program. You will be responsible for fostering a culture of compliance, integrity, and ethical conduct throughout the organization while ensuring adherence to applicable federal securities laws, regulations, fiduciary obligations, and internal policies. You will assist with governance, risk management, and oversight of the firm's wholly owned subsidiaries and affiliated entities, in addition to Impresa, providing guidance on a broad range of compliance issues, including conflicts of interest, trading, financial crimes, and privacy. Impresa Management LLC is an SEC-registered investment adviser that oversees private investment strategies across venture capital and private equity. The firm's venture capital...

NB

Compliance Officer

Neuberger Berman

Chicago, IL

Oct 03, 2026

Neuberger is a private, independent, employee-owned investment manager, offering a wide range of active strategies across equity, fixed income, private equity, real estate, and hedge funds to institutions, advisors, and individual investors worldwide. Founded on a culture of collaboration, rigorous fundamental research, and long-term thinking, the firm is committed to delivering compelling investment results and shaping a workplace where diverse perspectives and independent thought drive better outcomes for clients. The Compliance Officer will work regularly with the CCO–Fixed Income and other compliance and legal staff in developing and implementing policies and procedures for a registered investment adviser, with a specific emphasis on the Investment Advisers Act of 1940 and related rules and regulations. Responsibilities Assist in the analysis, development, and implementation of policies and procedures to ensure compliance with various regulations, including the Investment...

PG

Regulatory Compliance Officer

Partners Group AG

MI

Oct 03, 2026

What it's about Partners Group’s Compliance business unit is responsible for ensuring that the firm complies with all applicable regulatory requirements and protecting the firm from regulatory and reputational risks. The Regulatory Compliance team Americas manages the compliance program for Partners Group's SEC Registered Investment Advisers, multiple SEC Registered Investment Companies, a Canadian affiliate and regulated activities in the Cayman Islands. The team's responsibilities include, among other things, oversight of 4 offices in the US, offices in Brazil and Canada, over 400 employees and all marketing and distribution activities in the western hemisphere. The Regulatory Compliance team Americas also assists in implementing Partners Group's overall global compliance framework. Responsibilities Serve as key Regulatory Compliance resource for Partners Group private market business in the Americas, providing day-to-day...

GI

Chief Compliance Officer

Grayscale Investments

Stamford, CT

Oct 02, 2026

Grayscale is the largest digital asset-focused investment platform in the world by AUM and offers the broadest selection of digital asset investment products in the U.S. based on number of products. Our platform spans the full spectrum of institutional-grade solutions—from single-asset exposures to diversified and thematic strategies—with a goal of providing every investor with access to the hyper-expanding digital asset universe. Our firm offers a rare combination of decades of traditional finance work experience and digital asset leadership that brings an institutional mindset to the maturing digital asset industry. This convergence of capabilities positions us to deliver investment solutions and client experiences that are both institutionally robust and technologically advanced, which we believe offers a competitive edge that is difficult to replicate. We’re proud of our deep crypto expertise and work closely with individual and institutional investors as they explore...

Fi

Trade Compliance Officer

Firestorm

San Diego, CA

Oct 02, 2026

Firestorm is hiring a Trade Compliance Officer to own and lead our trade compliance program. As we move from prototypes to production, and from domestic programs to international partners, co-production, and a deployable manufacturing platform, export controls stop being a back-office function and become part of how we design, sell, build, and ship. You will make sure compliance moves at the speed of the business — and that the business never outruns compliance. Reporting to the General Counsel, you will be Firestorm’s senior trade compliance authority and the connective tissue between Engineering, Legal, Business Development, and Operations. You will make and document jurisdiction, classification, licensing, and screening determinations; set the compliance requirements for new programs, partnerships, and deals before they are signed; and hold the authority to pause a shipment, a technical data release, or a transaction until it is properly authorized. You will direct outside...

WF

Lead Compliance Officer | Futures Commission Merchant

Wells Fargo

Charlotte, NC

Oct 01, 2026

About this role: Wells Fargo is seeking a Lead Compliance Officer to join the Corporate & Investment Banking (CIB) Markets Compliance team. Reporting to the Head of Equities Compliance, this role will provide second-line compliance oversight for the Futures Commission Merchant (FCM) activities of Wells Fargo Securities, LLC. This position plays a critical role in overseeing and advancing the Futures Commission Merchant (FCM) compliance program. The successful candidate will help ensure compliance with evolving regulatory requirements, provide independent oversight of trading and clearing activities, and serve as a trusted advisor to business leadership on key compliance and regulatory matters. In this role, you will: Provide second-line compliance oversight of Wells Fargo Securities' Futures Commission Merchant (FCM) activities. Execute and enhance the FCM compliance program, including risk assessments, monitoring, governance, reporting, and risk...

HA

Senior Compliance Officer, Investment Compliance

Harris Associates

Chicago, IL

Oct 01, 2026

At Harris, the true value of what makes us successful is found in our people. It is our unique mix of cultures, experiences, beliefs and backgrounds that sets Harris apart from the rest. We constantly strive to cultivate, nurture and amplify an unparalleled environment, where we value intellectual curiosity and uniqueness of thought. Inclusion is embedded in the very fabric of our culture of collaboration and openness. We understand that a job description only tells one part of a broader story, and Harris is seeking dynamic candidates who can add to our best-in-class environment. We recognize that qualifications can be gained through both traditional and non-traditional paths, and we are committed to considering candidates who possess the potential to be excellent in this role regardless of prior experiences. Therefore we encourage ALL interested individuals to submit their applications, even if they do not meet every requirement outlined in the job description....

UR

Compliance Officer or Sr. Compliance Officer - Investments

Utah Retirement Systems

Salt Lake City, UT

Sep 30, 2026

About The Company Utah Retirement Systems provides benefits for state and other Utah Public employees through the work of two divisions. The Retirement Office administers pension and retirement benefits. PEHP Health & Benefits specializes in medical, dental, life, and other benefits. We take pride in providing a peace of mind for thousands of Utah families. We are committed to our public mission and maintaining a positive team environment. We offer a competitive salary, and our benefits far exceed what most modern employers offer. Job Description This job may be filled at any of the levels listed below. Compliance Officer- Min: $116,120.57/yr. Max: $150,944.30/yr. Sr. Compliance Officer - Min: $130,044.69/yr. Max: $169,065.57/yr. POSITION SUMMARY The Compliance Officer – Investments assists the Chief Compliance Officer – Investments in developing, implementing, and monitoring the investment compliance program for Utah Retirement Systems (URS)....

Featured

Compliance Analyst

Featured

Eventide Asset Management, LLC

Hybrid (Boston, MA)

Sep 18, 2026

This position is based in Boston, MA. To apply for this role, send a resume and cover letter to careers@eventideinvestments.com Eventide is a pioneering asset management firm that seeks to put capital to work in businesses that advance the global common good and help change the world. Founded in 2008, Eventide has soon become one of the leaders in values-based investing through a biblical worldview. Our principled investment framework has been recognized by the WallStreet Journal, Barrons, Investment News, Fast Company, Entrepreneur, among others. Our best-in-class culture has been awarded multiple Best Places to Work awards from the Boston Globe, Boston Business Journal and Pension and Investments. Eventide employees work hard for the sake of others—our clients, our colleagues, and our world. Our mission is to honor God and serve our clients through investments that make the world rejoice. Eventide is seeking to hire a detail-oriented...

NH

Investment Management Technology Audit Manager

Nomura Holdings, inc.

Philadelphia, PA

Oct 06, 2026

Corporate Title: Vice President Department: Internal Audit Location: Philadelphia, PA The base pay range for this position at commencement of employment is expected to be between $160K and $180K/year* (see below footnote for additional compensation and benefits information). 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...

WF

2027 Wealth & Investment Management Analyst Program - Early Careers

Wells Fargo

St. Louis, MO

Oct 03, 2026

About this role: Wells Fargo is seeking talented individuals to join the 2027 Wealth & Investment Management (WIM) Analyst Program. Learn more about Wells Fargo’s 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,...

FI

Investment Management Consultant II - Denver, CO

Fidelity Investments

Greenwood Village, CO

Oct 02, 2026

Fidelity will not provide immigration sponsorship for this position. Job Description: Note: Fidelity will not provide immigration sponsorship for this position. The Role The role of Investment Management Consultant II is to act as a product authority on managed accounts and the associated managed account process. This role focuses on customer experience, retention, and sales associated with Fidelity Managed Accounts in coordination with the client’s Financial Consultant or Wealth Planner. It is a direct customer contact role in which the Investment Management Consultant II will address the most complex managed account sales and client management needs. Specifically, this includes Annual Strategic Reviews, risk mitigation, and acting as Portfolio Advisory Services’ voice to the customer. With your extraordinary knowledge and incomparable integrity, we know that clients invest their trust in you. The Expertise and Skills You Bring FINRA Series 7 & 66...

Ad

Direct Solutions Consultant (Investment Management)

Addepar

Salt Lake City, UT

Oct 02, 2026

Who We Are Addepar is a global data and AI platform empowering investment professionals to turn complex financial information into actionable intelligence. Addepar unifies portfolio, market and client data in a total portfolio view and delivers AI-powered insights within investment and client workflows. More than 1,500 firms in 60 countries use Addepar to manage and advise on nearly $10 trillion in assets. Its open platform integrates with 650 software, data and consulting partners to power end-to-end investment operations across firms of all sizes and levels of complexity. Addepar supports clients worldwide with offices in New York City, Salt Lake City, São Paulo, London, Edinburgh, Geneva, Warsaw, Dubai, Pune and Singapore. The Role Solutions Consultants/Architects are responsible for designing and implementing out-of-the-box solutions for new clients, ensuring that we are efficiently and effectively onboarding some of the world’s most sophisticated investors. They...

Aladdin Product Manager, VP II - State Street Investment Management

State Street

Stamford, CT

Oct 01, 2026

Position Summary State Street Investment Management (IM), formerly known as State Street Global Advisors (SSGA), is seeking an application manager to govern Aladdin, a critical front office platform supporting the Active Fixed Income business. As SSIM continues to grow strategically and deliver new investment vehicles, there is continued product growth on this platform. We are seeking a Vice President, Application Manager to play a central role in maintaining and growing this platform. This individual will be responsible for the operational excellence of this platform for 200+ users, driving issue resolution, user adoption, and strategic growth to support new products and enhanced workflows. The position will engage with business and technology partners across State Street to ensure outcomes are delivered in line with IM’s strategic objectives. The VP will act as a key coordinator across internal teams and State Street affiliates to ensure business and process excellence of...

17 compliance officer jobs found

Compliance Officer