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13 results for Compliance Director Legal in Edison, NJ

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

Compliance Associate - Broker Dealer

New York, NY
onsite
Permanent / Full Time
110000 - 140000 USD / Yearly
Robert Half Financial Services is recruiting for a Compliance Associate role for a global Broker Dealer firm located in downtown Manhattan, New York. Our client requires 3+ years of Compliance experience at an Institutional Broker Dealer, with active FINRA Series 7 or 24 License and knowledge of FINRA Regulatory Compliance, Trade Monitoring/Surveillance, CAT/CAIS/606 Reporting and Code of Ethics. This role is hybrid remote requiring 4 days per week in the downtown Manhattan New York office, but does require 5 days in during the first few months. The role will support institutional trading & sales, equity research, investment banking, electronic trading, and prime services divisions with an emphasis on trade monitoring & surveillance and CAT reporting. Responsibilities:• Partner with the Firms compliance team in updating and developing internal policies and procedures for institutional trading. • Manage the Firm’s Trade Monitoring & Surveillance • Assist with regulatory reporting management (CAT/606/CAIS) • Conducting or assisting in preparing information and responses to regulatory exams and inquiries • Reviewing electronic correspondence and firm’s marketing material • Review of the Firm’s employee code of ethics requirements (Personal trading, OBA and private securities transactions) • Establish and maintain open and effective relationships with regulators such as FINRA and the SEC • Trading desk liaison • Continuing education management • Restricted 144 and Legal Sales • Best Execution Committee Manager • Wall crossing chaperoning and restricted list management • Complete clients AML/KYC annual questionnaires • Branch and department audits • Assist with onboarding of new clients, such as AML, KYC, and CIP issues.
2026-08-28T00:00:00Z

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

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

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

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

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

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

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

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

Corporate Counsel

Red Bank, NJ
onsite
Permanent / Full Time
180000 - 185000 USD / Yearly
We are looking for an experienced Corporate Counsel to join a collaborative legal team in Red Bank, New Jersey. This role supports a growing organization with a substantial real estate and property management focus, partnering closely with leadership and cross-functional teams on a wide range of legal matters. The ideal candidate brings sound judgment, strong transactional and litigation capabilities, and the ability to deliver practical guidance that aligns legal strategy with business priorities. Responsibilities: • Oversee assigned legal matters from initial assessment through resolution, handling transactions, disputes, and other business-related issues with minimal supervision. • Counsel property management teams on commercial and residential tenancy matters, including lease interpretation, defaults, rent recovery, enforcement actions, and day-to-day operational concerns. • Represent the organization in routine landlord-tenant and collection proceedings, including matters filed in housing court and other applicable civil forums. • Prepare, review, and negotiate a broad range of legal documents such as acquisition agreements, leases, easements, amendments, licenses, vendor contracts, and development-related instruments. • Evaluate potential legal exposure and business implications, then present clear, practical recommendations to senior leaders and internal stakeholders. • Support real estate purchases and sales by assisting with negotiations, due diligence review, document coordination, and closing activities. • Contribute to land use and development initiatives by assisting with applications, approvals, redevelopment arrangements, and related governmental matters. • Provide legal support for financing matters, including review of loan documentation, refinancing transactions, lender requests, and closing conditions. • Maintain corporate documentation and assist with entity formation, governance records, resolutions, compliance matters, insurance claims, subpoenas, and policy development.
2026-09-08T00:00:00Z

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