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17 results for Compliance Director in Bridgewater, NJ

Compliance Officer - Broker Dealer / RIA

New York, NY
onsite
Permanent / Full Time
160000 - 200000 USD / Yearly
Robert Half Financial Services is recruiting for a Compliance Officer role for an International Broker Dealer and Investment firm located in midtown Manhattan, New York. Our client requires 8+ years of Compliance experience at a Broker Dealer or an RIA, with active FINRA Series 14 or Series 24 License and knowledge of SEC/FINRA Regulatory Compliance, Reg 15a-6, Client Onboarding and Compliance Monitoring. This role is hybrid remote requiring 4 days per week in the midtown Manhattan New York office. This role will provide regulatory oversight and advisory support across multiple business lines, with a primary focus on the firm’s registered broker-dealer activities. Reporting to the Chief Compliance Officer, the successful candidate will act as a trusted advisor to senior stakeholders, ensuring the firm operates in compliance with U.S. securities regulations (SEC, FINRA) while maintaining alignment with global compliance standards. Responsibilities:Regulatory Advisory & Oversight:<ul><li>Provide day-to-day compliance advice across business lines, including broker-dealer (15a-6), specialist lending, and global affiliates</li><li>Advise on SEC and FINRA regulations, including cross-border broker-dealer requirements</li><li>Act as a trusted advisor on complex, time-sensitive regulatory matters</li></ul>Compliance Framework & Risk Management:<ul><li>Identify, assess, and prioritize compliance and regulatory risks</li><li>Maintain and enhance policies, procedures, and internal controls</li><li>Ensure adherence to market conduct, conflicts management, and information barrier frameworks</li><li>Oversee compliance issue tracking, escalation, and remediation</li></ul>AML, KYC & Onboarding:<ul><li>Oversee client onboarding processes, including AML/KYC due diligence</li><li>Support and enhance the firm’s AML program</li></ul>Governance, Reporting & Audits:<ul><li>Manage record-keeping obligations and regulatory reporting requirements</li><li>Deliver management reporting on compliance risks and emerging regulatory themes</li><li>Support internal and external audits, ensuring readiness and remediation of findings</li><li>Liaise with regulators and support regulatory examinations and inquiries</li></ul>Business Enablement:<ul><li>Support new business initiatives, transactions, and product approvals</li><li>Provide compliance input on strategic projects and business change initiatives</li></ul>Monitoring & Employee Oversight:<ul><li>Oversee personal account dealing and employee compliance activities</li><li>Support licensing and registration processes</li></ul>Stakeholder & Global Collaboration:<ul><li>Collaborate with Legal, Control Room, Surveillance, IT, Operations, and third-party vendors</li><li>Work closely with global Compliance teams to ensure consistency</li></ul>
2026-09-14T00:00:00Z

Fractional- Chief Compliance Officer

New York, NY
onsite
Temporary / Contract
95 - 110 USD / Hourly
We are looking for an experienced compliance leader to guide the regulatory program for a market-making business based in New York, New York. This Long-term Contract position will play a central role in strengthening oversight across trading activity, supervisory practices, and reporting obligations while supporting business growth with sound compliance guidance. The ideal candidate brings deep broker-dealer expertise, strong knowledge of trading regulations, and the ability to advise senior stakeholders on complex compliance matters. Responsibilities: • Direct the compliance function for the market-making business, establishing effective oversight across trading operations, surveillance activity, and regulatory reporting obligations. • Interpret and apply broker-dealer, exchange, and applicable industry regulations to ensure the business operates within required compliance standards. • Provide practical guidance on market-making activities, order handling practices, execution quality, trade reporting, and supervisory expectations. • Lead reviews, monitoring efforts, and investigations involving trading behavior, employee conduct, and potential regulatory concerns. • Coordinate responses to regulatory exams, information requests, filings, and corrective action plans to support timely and accurate resolution. • Advise stakeholders on controls related to electronic and algorithmic trading, including governance, escalation processes, and risk mitigation measures. • Work closely with Legal, Risk, Operations, Technology, and business leadership to maintain broad and consistent compliance coverage across the organization. • Oversee the development and maintenance of policies, procedures, risk assessments, training programs, and supervisory documentation. • Build, mentor, and lead a strong compliance team while communicating material risks, trends, and key issues to senior management.
2026-08-25T00:00:00Z

Paralegal and Compliance Analyst

New York, NY
onsite
Permanent / Full Time
125000 - 135000 USD / Yearly
We are looking for a detail-oriented Paralegal and Compliance Analyst to support legal operations and compliance activities in New York, New York. This role will partner closely with attorneys, compliance leadership, and cross-functional teams to coordinate contract processes, maintain corporate records, and strengthen day-to-day legal workflows. The ideal candidate brings strong organizational skills, sound judgment, and the ability to manage multiple priorities in a fast-moving investment environment. Responsibilities: • Oversee the full administrative cycle of contracts, from initial intake and review coordination through execution, filing, amendments, renewals, and expiration tracking. • Organize and maintain legal and corporate documentation so records remain accurate, accessible, and aligned with applicable deadlines and reporting needs. • Support entity maintenance activities, including corporate filings, recordkeeping, and compliance calendar management across the firm and related business operations. • Work with internal attorneys, outside counsel, and business stakeholders to facilitate contract review, negotiation support, and resolution of legal process questions. • Administer vendor agreement workflows, including intake, usage and spend monitoring, renewal tracking, and coordination of contract discussions with software providers. • Assist the Chief Compliance Officer with maintaining compliance policies, internal procedures, and governance documents such as the Compliance Manual and Code of Ethics. • Help manage employee compliance administration by supporting books and records, reviewing disclosures, and tracking potential conflicts of interest and personal investment activity. • Collaborate with Legal, Finance, and Operations teams on related risk and compliance initiatives, including vendor diligence, cybersecurity controls, and business continuity planning. • Identify opportunities to improve legal and compliance processes by applying strong operational judgment and recommending more efficient ways of working.
2026-09-03T00:00:00Z

Director of Accounting

Parsippany, NJ
onsite
Permanent / Full Time
125000 - 175000 USD / Yearly
Hybrid/Flexible opportunity available! A growing business advisory platform is seeking a Director of Accounting to build and lead its accounting and tax practice.This is a client-facing opportunity for an active CPA with 5-10 years of public accounting experience serving small to mid-sized businesses.The Director of Accounting will oversee outsourced accounting, tax planning, multi-state compliance, financial review, business advisory, and related client engagements.The role will also help establish internal processes, select accounting and tax technology, support business development, and build a team as the practice grows.The ideal Director of Accounting will bring strong corporate and sales tax experience, an approachable communication style, and an entrepreneurial mindset.Exposure to high-net-worth clients, M&A due diligence, estate planning, or foreign-owned U.S. entities is highly valued.Experience with QuickBooks, NetSuite, MS Dynamics, or similar small to midsize company software is strongly preferred.
2026-08-26T00:00:00Z

Director of Accounting

Morristown, NJ
onsite
Permanent / Full Time
200000 - 240000 USD / Yearly
Our client is a developmental stage pharmceutical company seeking a Director of Accounting (Hybrid | Parsippany, NJ). <ul><li>Lead the monthly and quarterly close process, US GAAP consolidations, account reconciliations, cash flow reporting, and financial analysis across multiple domestic and international entities.</li><li>Manage SEC reporting support, internal controls, SOX compliance, audit coordination, treasury activities, debt covenant reporting, and statutory reporting requirements.</li><li>Drive process improvements, system enhancements, and automation initiatives to increase efficiency, strengthen controls, and improve reporting accuracy.</li><li>Serve as the functional owner of the NetSuite ERP system, partnering with Finance, IT, and business leaders to optimize financial reporting and operational processes.</li><li>Provide leadership, coaching, and development to accounting team members while fostering strong cross-functional relationships throughout the organization.</li><li>Collaborate with FP&A, tax, and business partners to deliver financial insights, support strategic decision-making, and enhance organizational financial transparency.</li><li>Qualified candidates will possess a CPA, a Bachelor's degree in Accounting or Finance, 10+ years of accounting experience including Big Four public accounting and public company experience, with biotech/pharmaceutical industry expertise and NetSuite experience strongly preferred.</li></ul>
2026-08-13T00:00:00Z

Compliance Consultant - Futures Commission Merchant

New York, NY
onsite
Temporary / Contract
50 - 60 USD / Hourly
Our client is seeking a compliance and surveillance analyst with 2 to 5 years of experience to join their newly registered Futures Commission Merchant (FCM). In this role, you will support our Chief Compliance Officer (CCO) in navigating NFA and CFTC frameworks, managing day-to-day regulatory operations, and executing trade surveillance. This position is ideal for an analyst with a foundation in FINRA or NFA regulations who wants to step into the cutting-edge intersection of digital assets and traditional derivatives. This role is onsite 2-3 days a week in Manhattan. Key Responsibilities<ul><li>Regulatory Responses: Assist the CCO in preparing timely responses to NFA and CFTC inquiries, audits, and routine exams.</li><li>Trade Surveillance: Monitor daily trading activity to detect and investigate potential market abuses, wash trading, or spoofing.</li><li>Policies & Procedures: Update, refine, and maintain the FCM’s written supervisory procedures to match evolving crypto-derivatives regulations.</li><li>Training Program Development: Create and deliver regulatory compliance training modules for internal staff and associated persons.</li></ul>
2026-08-25T00:00:00Z

Human Resources (HR) Director

Easton, PA
onsite
Permanent / Full Time
110000 - 130000 USD / Yearly
We are looking for an experienced Human Resources Director to lead the people function for a growing organization in Easton, Pennsylvania. In this role, you will shape HR strategy, guide leadership on workforce decisions, and strengthen programs that support employee growth, engagement, and performance. This position is ideal for a hands-on leader who can balance long-term planning with day-to-day operational excellence while helping the business scale effectively. If you are already in contact with one of our Recruiting Managers, please reach out to them directly to discuss this opportunity. If not, for immediate consideration, please apply or call Warren Knight at 484-214-2624 Responsibilities:• Shape and implement human resources strategies that align workforce initiatives with the company’s broader growth plans and operational priorities.• Advise senior leaders on organizational structure, succession planning, talent development, and staffing needs across the business.• Direct full-cycle recruiting and onboarding efforts to build strong teams and create a smooth introduction for new employees.• Design programs that improve employee engagement, reinforce a productive workplace culture, and support retention.• Oversee performance management practices, providing guidance to managers on coaching, accountability, and employee development.• Administer compensation and benefits programs to maintain market competitiveness and ensure regulatory compliance.• Maintain compliance with applicable employment laws and HR standards at the federal, state, and local levels.• Lead employee relations matters, including workplace investigations, conflict resolution, disciplinary actions, and policy interpretation.• Evaluate HR data and reporting to identify trends and recommend improvements in retention, productivity, and employee satisfaction.• Supervise HR operations, records, systems, and team members while promoting process improvement and consistent service delivery.
2026-08-28T00:00:00Z

Director of Finance

New York, NY
onsite
Permanent / Full Time
200000 - 250000 USD / Yearly
We are looking for a finance leader to help shape the financial strategy of a growing startup in New York, New York. This role is ideal for someone who combines strong analytical depth with practical operating experience and can partner closely with founders on planning, performance visibility, and capital strategy. The Director of Finance will bring structure to forecasting, reporting, and decision support while remaining comfortable working hands-on in a fast-moving, build-from-scratch environment. Responsibilities: • Build and maintain detailed financial models that support operating plans, scenario analysis, and long-range forecasting. • Partner with company leadership to prepare board-ready reporting, performance dashboards, and insights tied to key SaaS business metrics. • Lead budgeting and cash flow planning activities to improve visibility into spending, growth, and capital needs. • Support fundraising efforts by developing financial materials, shaping the supporting story, organizing diligence documentation, and addressing investor follow-up questions. • Establish scalable finance processes, tools, and reporting routines in an environment with limited existing infrastructure. • Work closely with the accounting lead to align financial planning with month-end results, reporting accuracy, and overall business performance. • Provide strategic recommendations to founders and senior leaders by translating financial data into actionable business decisions. • Shift effectively between executive-level planning discussions and day-to-day execution across finance operations as business needs evolve.
2026-08-26T00:00:00Z

Tax Planning Director - public

Horsham, PA
onsite
Permanent / Full Time
120000 - 140000 USD / Yearly
About the RoleWe are seeking a Manager, Client Advisory & Tax to join a growing consulting and advisory firm in the Horsham, PA area. This role is ideal for a public accounting or advisory professional who enjoys working closely with privately held companies navigating critical moments of change, including ownership transitions, generational succession, mergers and acquisitions, recapitalizations, and public company readiness.This individual will serve as a trusted advisor to clients, helping them strengthen financial operations, improve reporting, manage tax and compliance matters, and make informed decisions during periods of business transformation. The Manager will also play a key role in developing staff, overseeing client engagements, and delivering a high-touch, advisory-driven client experience.What You’ll Do<ul><li>Lead day-to-day client engagements for privately held businesses, overseeing compilations, reviews, management reporting, and advisory deliverables.</li><li>Serve as a strategic advisor to clients by helping them improve accounting operations, enhance reporting accuracy, and use financial information to support decision-making.</li><li>Advise clients on a broad range of accounting and finance matters, including bookkeeping oversight, budgeting, forecasting, cash flow management, process improvement, and operational restructuring.</li><li>Provide guidance on tax planning, compliance, and tax implications related to business changes, entity structures, ownership transitions, and transaction activity.</li><li>Support clients through significant milestones such as mergers and acquisitions, business sales, succession planning, capitalization changes, and readiness for outside investment or public reporting.</li><li>Perform and review complex financial analyses related to capital transactions, business transitions, due diligence support, and other strategic initiatives.</li><li>Manage engagement workflow, project timelines, and client deliverables, ensuring work is completed accurately, efficiently, and in alignment with firm standards.</li><li>Review work prepared by staff and senior accountants, providing constructive feedback and maintaining a strong focus on quality and client service.</li><li>Build strong client relationships and act as a go-to resource for business owners, executives, and stakeholders who value practical advice and responsive service.</li><li>Mentor, coach, and develop team members by providing hands-on guidance that strengthens their technical capabilities, confidence, and ability to deliver advisory-focused solutions.</li><li>Help foster a collaborative, entrepreneurial team environment focused on solving problems and supporting clients through change.</li><li>Stay current on relevant accounting, tax, and regulatory developments affecting privately held and growth-oriented businesses.</li></ul>
2026-08-14T00:00:00Z

Tax Director

Edison, NJ
onsite
Permanent / Full Time
190000 - 200000 USD / Yearly
190,000 - 200,000 benefits:<ul><li>401(k)</li><li>Paid time off</li></ul> Newly Created Leadership Position Due to Firm Growth A well‑established and expanding medium‑sized CPA firm in Edison, NJ is seeking an experienced Tax Director to join its leadership team. This is a newly created position designed to support continued growth and strengthen the firm’s tax practice. This role offers a dynamic blend of hands-on tax work, department oversight, and strategic leadership. It is ideal for a tax expert coming from a small or mid‑sized CPA firm who is comfortable working in a diverse, fast‑paced environment. Key Responsibilities<ul><li>Oversee day-to-day operations of the tax department</li><li>Review individual, corporate, partnership, and fiduciary tax returns</li><li>Prepare complex returns as needed</li><li>Manage workflows, staff assignments, and quality control</li><li>Serve as a technical tax resource to staff and clients</li><li>Contribute to firm growth, process improvements, and client advisory functions</li></ul>A Unique Path to PartnershipThe firm is open to considering professionals currently running their own private tax practice who are looking for a long-term opportunity with a clear path to partnership. This is a chance to merge your expertise into a growing firm and elevate your career. The firm offers an excellent compensation and benefits package. To apply email a resume in a Word format to Robert Half. Or call Rich Singer, CPA at 848-202-7970 to discuss the unique opportunity.
2026-08-14T00:00:00Z

Tax Director

Parsippany, NJ
onsite
Permanent / Full Time
150000 - 200000 USD / Yearly
Very large and stable real estate firm specializing in industrial, residential and hotel properties located in Hudson County, NJ is seeking a Tax Director to add to their team. The successful candidate will have an accounting degree and 8+ years of tax planning and tax compliance experience either in public tax accounting or private tax accounting. This is a very hands on role with some light supervisory responsibilities and will be a key member of this tight knit tax team. Will be responsible for closely held partnership (Form 1065) tax returns along with 1120S tax returns and the personal tax returns for the owners of the firm. Experience with OneSource Tax prep and Yardi real estate software is a plus but not required. The company offers a VERY STABLE work life balance, with limited overtime and great benefits. Great opportunity for someone looking to transition from public accounting to the private sector. Position is 5x a week onsite to collaborate with the tax team but does offer significant upside potential as well. Salary in the $150-200K range plus strong bonus depending on experience and excellent benefits as well.
2026-08-21T00:00:00Z

Tax Director

Parsippany, NJ
onsite
Permanent / Full Time
200000 - 275000 USD / Yearly
We’re partnering with a growing Investment Advisory firm to identify a Head of Tax to lead and expand a high-touch tax function serving high-net-worth clients and families. Based on the provided job spec, this role combines strategic client advisory work with technical tax leadership and team management.What You’ll Do· Provide high-touch tax planning, compliance, and advisory services to high-net-worth clients and families.· Oversee and review work prepared by an offshore tax team.· Manage tax return preparation and filing for Forms 1040, 1041, 1065, and 1120-S.· Lead client meetings and respond to complex tax questions with practical, strategic guidance.· Identify planning opportunities, efficiencies, and potential tax risks through return review and analysis.· Collaborate with internal teams and external advisors to support federal and state tax compliance.· Research complex tax matters and communicate findings clearly to clients and advisors.· Build out the tax team in addition to mentoring and developing junior tax staff as the department continues to grow.· Support special projects and department-building initiatives.What We’re Looking For· 8+ years of experience as a Tax Manager or Senior Tax Manager in public accounting or an RIA.· Active CPA or MST highly preferred.· Strong expertise in taxation for individuals, S corporations, trusts, and partnerships.· Experience managing an offshore tax team is preferred.· Prior experience with Holistiplan is a plus.· Bachelor’s degree in accounting, finance, economics, or a related field.· Excellent client communication, organization, and time management skills.· A detail-oriented approach and commitment to delivering exceptional client service.Client offers a VERY competitive compensation package in the $200-275 base salary range depending on experience, plus target bonus and great benefits. Position offers an excellent quality of life and work life balance and would be a great transition out of high stress / high hours public accounting.
2026-09-15T00:00:00Z

Director, Fund Accounting

New York, NY
onsite
Permanent / Full Time
200000 - 250000 USD / Yearly
Our client is seeking a Director of Fund Accounting to lead month-end close oversight, shadow accounting review, control execution, and regulatory support for a multi-entity hedge fund investment platform. This role will partner with Accounting, Operations, Investor Relations, and external service providers to ensure accurate reporting, strong controls, and timely deliverables. Responsibilities: Oversee month-end close activities for funds and related entities, including review of journal entries, reconciliations, accruals, and reporting packages. Review shadow accounting and fund administrator deliverables, identify and resolve discrepancies across internal and external records, support broker-dealer close and related reporting requirements, and oversee cash activity, approvals, reconciliations, and internal control documentation. To apply, please apply here & send your résumé to alex.muzaurieta@roberthalf.
2026-09-09T00:00:00Z

Director of Forensics & Litigation

Woodbridge, NJ
onsite
Permanent / Full Time
190000 - 200000 USD / Yearly
190,000 - 200,000 benefits include:<ul><li>dental</li><li>vision</li><li>health insurance</li><li>paid time off</li><li>paid holidays</li></ul>Are you an experienced CPA with a proven track record in matrimonial engagements, business valuations, and litigation support? Our client a well-established regional CPA firm in Central New Jersey is seeking a Director of Forensics & Litigation to lead and grow this critical practice area.Key Responsibilities:<ul><li>Oversee and manage forensic accounting and litigation support engagements.</li><li>Provide expert analysis and testimony in matrimonial and business valuation cases.</li><li>Supervise and mentor a team of professionals, ensuring high-quality deliverables.</li><li>Collaborate with attorneys, clients, and internal teams to drive successful outcomes.</li></ul>Advantages to joining the firm:<ul><li>Opportunity to lead a growing practice within a respected regional firm.</li><li>Clear path to partnership for the right candidate.</li><li>Competitive compensation and benefits package.</li></ul>To apply email a resume in a Word format to Robert Half. Or call Rich Singer, CPA at 848-202-7970 to discuss this excellent opportunity in total confidence.
2026-08-14T00:00:00Z

VP/Director of Finance

Springfield, NJ
onsite
Permanent / Full Time
240000 - 250000 USD / Yearly
Benefits:<ul><li>Medical</li><li>Dental</li><li>Vision</li><li>Paid time off</li><li>hybrid</li></ul> Our client is a rapidly expanding industry leader committed to improving quality of life through innovative technology, customer-centric service, and operational excellence has a VP of Finance. <ul><li>Foster a culture of accuracy, analytical rigor, accountability, and continuous improvement. </li><li>Conduct consistent 1:1s and team meetings; own EOS annual and quarterly goals (rocks) for the finance function. </li><li>Oversee performance management, coaching, and career development for all direct reports. Financial Planning & Budgeting </li><li>Lead the annual budgeting process, long-range planning, and short-term forecasting. </li><li>Deliver accurate and timely financial statements, KPI reporting, and dashboard visibility into business performance. </li><li>Present financial results and key drivers to executive leadership and ownership. Financial Strategy & Business Leadership </li><li>Develop and execute the company's financial strategy aligned with organizational goals and market opportunities. </li><li>Provide strategic insights to support expansion initiatives including new product lines, reimbursement models, channel partnerships, and M&A opportunities. </li><li>Advise the executive team on financial implications of operational decisions, pricing strategies, and capital allocation. </li><li>Serve as a trusted partner in important customer and vendor negotiations</li></ul>
2026-09-17T00:00:00Z

Director of Operations Accounting

Pennsauken, NJ
onsite
Permanent / Full Time
140000 - 160000 USD / Yearly
Robert Half is seeking an experienced and strategic Director of Operations Accounting to lead our client's financial operations within a fast‑paced manufacturing environment. This Director of Operations Accounting role plays a critical part in driving financial accuracy, operational excellence, and organizational growth. The ideal candidate brings deep expertise in cost accounting, inventory management, and financial process optimization, along with the leadership skills to guide a high-performing team. Responsibilities:<ul><li>Manage the month-end close process and ensure the accuracy of financial reporting.</li><li>Oversee the preparation and distribution of accurate and timely financial statements and management reports.</li><li>Provide detailed financial analyses and transactional insights, including revenue, margin, and inventory valuation.</li><li>Develop and present detailed and summary reports, variance analyses, and ad-hoc insights to assist management in decision-making.</li><li>Lead and mentor the accounting team, fostering growth and ensuring high-quality work.</li><li>Collaborate with business partners to oversee funding programs with franchisees and retailers.</li><li>Support regulatory audits and rate reviews by gathering and providing complete and accurate information.</li><li>Identify opportunities for process improvements and implement efficiencies leveraging Microsoft Dynamics.</li><li>Ensure compliance with company policies and accounting standards in all financial operations.</li></ul>
2026-08-24T00:00:00Z

Global Director of FP&A

Bethlehem, PA
onsite
Permanent / Full Time
150000 - 165000 USD / Yearly
We are looking for a strategic finance leader to oversee global planning, performance analysis, and executive reporting for our client's operations. This role will work closely with regional finance partners and business leaders to turn complex financial data into clear recommendations that support growth, profitability, and informed decision-making. The ideal candidate brings strong modeling capability, sound business judgment, and a collaborative leadership style suited to a fast-paced international environment. Responsibilities:• Lead the preparation and consolidation of annual budgets, quarterly outlooks, and long-range financial plans across global operations.• Partner with regional finance teams to align planning assumptions, reporting standards, and deliverable timelines across multiple geographies.• Develop and refine financial models that evaluate business scenarios, operational performance, and strategic investment decisions.• Deliver monthly and quarterly reporting packages that explain results, highlight variances, and communicate key business drivers to senior leadership.• Perform targeted analyses on revenue, margins, pricing, and market trends to support executive decision-making and business priorities.• Collaborate with finance systems and technology teams to improve planning tools, reporting capabilities, and analytics platforms.• Create and maintain documentation for core FP&A processes to improve consistency, scalability, and knowledge sharing across the organization.• Build strong partnerships with business unit leaders and cross-functional stakeholders to support recurring planning cycles and financial reviews.• Manage and develop an FP&A analyst by setting priorities, providing coaching, and supporting ongoing growth within the team.
2026-08-14T00:00:00Z