Add your latest resume to match with open positions.

15 results for Compliance Director in Hoboken, NJ

Compliance Officer - Broker Dealer / RIA

New York, New York
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, New York
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, New York
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, New Jersey
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

Compliance Consultant - Futures Commission Merchant

New York, New York
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

Director of Finance

New York, New York
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 Director

New York, New York
onsite
Permanent / Full Time
180000 - 200000 USD / Yearly
Join a globally recognized media organization with a worldwide presence and a reputation for innovation. This organization combines mission-driven work with a dynamic, collaborative environment where talented professionals make a meaningful impact. Our client is seeking an experienced Tax Director to lead the organization's international tax strategy, planning, and compliance efforts. This is a high-impact leadership role responsible for managing complex cross-border tax matters, partnering with stakeholders across the business, and ensuring compliance with U.S. and international tax regulations. · Lead international tax planning initiatives, including technical research, tax modeling, legal entity structuring, and strategic tax advisory.· Oversee U.S. international tax reporting and compliance, including Forms 1118, 5471, 8858, 8993, 1042, foreign tax credits, and country-by-country reporting.· Manage global tax risks by partnering with internal stakeholders and external advisors on permanent establishment, transfer pricing, foreign compliance, and tax audits.· Direct global indirect tax compliance efforts, including VAT, GST, digital services taxes, and foreign tax registrations.· Lead and develop a team of tax professionals while driving process improvements, operational efficiency, and cross-functional collaboration.· Provide strategic guidance on complex international tax matters while supporting the organization's commitment to integrity, independence, and excellence. For immediate consideration please email Ben.Turnbull@roberthalf.
2026-09-18T00:00:00Z

Tax Director

Edison, New Jersey
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.
2026-09-21T00:00:00Z

Tax Director

Parsippany, New Jersey
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

Tax Director

Parsippany, New Jersey
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

Director, Fund Accounting

New York, New York
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, New Jersey
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.
2026-09-21T00:00:00Z

VP/Director of Finance

Long Island City, New York
onsite
Permanent / Full Time
160000 - 180000 USD / Yearly
We are looking for an accomplished finance leader to guide the accounting and financial strategy for the Americas business, with operations spanning the United States and Canada. This role combines hands-on oversight of core finance activities with strategic partnership across the organization to improve performance, strengthen decision-making, and support sustainable growth. Based in Long Island City, New York, this position is best suited for a commercially minded individual who can translate financial data into practical business actions while maintaining strong operational discipline. Responsibilities: • Lead the full finance and accounting function across the regional business, including planning cycles, reporting, cash management, billing, receivables, payables, purchasing, and treasury activities. • Partner with senior leadership to interpret financial performance, uncover trends, and turn analysis into actionable plans that improve profitability and long-term results. • Establish and refine performance metrics that connect market conditions and operating drivers to business outcomes, enabling management to track progress and make informed adjustments. • Oversee expense management and capital spending by evaluating cost drivers, reviewing investment priorities, and providing financial perspective on expected returns. • Manage cash flow forecasting, liquidity planning, and working capital performance while coordinating with broader finance stakeholders on funding needs and cash conversion objectives. • Provide financial guidance on significant commercial arrangements, including customer contracts, partnerships, leasing structures, and equipment-related investments. • Maintain a strong control environment by ensuring accounting practices, financial reporting, and compliance activities align with corporate standards and applicable regulations. • Coordinate annual audits and support related financial reviews, including statutory reporting, insurance matters, and internal audit activities. • Direct the preparation and review of tax and regulatory filings, including sales tax and other required submissions across relevant jurisdictions. • Assess the efficiency of financial systems and business processes, and work cross-functionally to implement improvements that enhance accuracy, control, and scalability.
2026-09-21T00:00:00Z

VP/Director of Finance

Springfield, New Jersey
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

VP/Director of Finance

Hawthorne, New York
onsite
Permanent / Full Time
130000 - 135000 USD / Yearly
We are looking for an experienced finance leader to guide accounting operations, reporting, budgeting, and payroll oversight for a healthcare-focused organization in Westchester, New York. This role partners closely with senior leadership to strengthen financial controls, support regulatory compliance, and deliver timely analysis that informs operational decisions. The ideal candidate brings deep expertise in financial reporting, cash flow management, and budget planning, along with the ability to improve processes and lead a high-performing finance function. Responsibilities:• Direct month-end and quarter-end financial activities, ensuring complete and timely preparation of statements, cash forecasts, reconciliations, and supporting analyses.• Oversee the integrity of financial records by reviewing transactions across finance systems and ensuring accurate posting of revenue, expenses, receipts, and disbursements to the general ledger.• Manage capital spending oversight and maintain fixed asset records to support accurate reporting and asset accountability.• Lead cash receipts controls and reporting practices across administrative and clinical locations, promoting consistency and reliability in affiliate-wide processes.• Supervise payroll operations, including review and approval of bi-weekly payroll, while partnering with Human Resources and Compliance on process enhancements or system-related updates.• Ensure required external reports and regulatory filings are completed accurately and submitted within deadlines to applicable agencies and oversight bodies.• Coordinate the development of operating, cash, and capital budgets, and provide ongoing forecasting, variance analysis, and financial projections throughout the year.• Partner with department and program leaders to build grant and funding proposal budgets, support public-sector voucher preparation, and maintain ledger structures that satisfy reporting requirements.• Support audit readiness and quarterly audit activities, contribute to finance work planning, and provide materials and reporting for Board finance committee meetings.• Serve as a member of the leadership team by evaluating finance department workflows, recommending improvements, and carrying out additional priorities assigned by the Chief Financial Office
2026-09-15T00:00:00Z