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10 results for Compliance Director Legal in Morristown, 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>
2026-08-10T00:00:00Z

Human Resources Director

Ledgewood, NJ
onsite
Permanent / Full Time
100000 - 115000 USD / Yearly
A busy company in the Ledgewood area is seeking a Human Resources Director to join their growing team. This Human Resources Director will get the chance to join a growing team that offer career advancement and the ability to eventually build a team. This Human Resources Director will report to and work closely with the owner and CEO to help revise and implement procedures to build a strong HR foundation. The ideal Human Resources Director will have prior standalone experience, and have experience working with companies ranging from 200 to 300 employees. Other responsibilities of this Human Resources Director will include but not be limited to: Human Resources Director Responsibilities:<ul><li>Maintain and deploy applicable human resource federal and state requirements, conduct investigations, maintain records, and represent the organization at hearings</li><li>Generate recruitment plans, interview schedules and evaluation standards in accordance with HR methodologies and labor laws</li><li>Represent your team at interdepartmental meetings with other managers</li><li>Investigate compensation standards set by industry and governing bodies in order to create salary structures and administer employee benefits</li><li>Head up all HR activities, communications, reports, requests and documents created and received by the team</li><li>Review reports provided by the HR team, team leaders and operations managers to determine employee performance and training needs</li><li>Build up the organization's human resources department by planning, implementing, and evaluating employee relations and human resources policies, programs, and practices</li><li>Build management guidelines by preparing, updating, and recommending human resource policies and procedures</li><li>Oversee human resource staff by recruiting, selecting, orienting, and training employees</li><li>Catalog historical human resource records by designing a filing and retrieval system and keeping past and current records</li><li>Lead and define exit interviews and procedures</li><li>Inform employees such that they follow all policies and procedures</li></ul>This Human Resources Director position pays between $100,000 and $115,000 annually depending on experience. If interested in this Human Resources Director role apply today!
2026-08-03T00:00:00Z

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

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.
2026-07-21T00:00:00Z

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

Trenton, NJ
onsite
Permanent / Full Time
140000 - 175000 USD / Yearly
We are looking for an experienced Director of Accounting to oversee accounting operations and support accurate, timely financial management for the organization in Lawrence, New Jersey. This position plays a central role in maintaining reliable financial records, guiding close activities, and strengthening reporting processes. The ideal candidate brings strong technical accounting knowledge, attention to detail, and the ability to manage documentation and financial data with precision. Responsibilities:• Lead monthly closing activities, ensuring journal entries, account reconciliations, and supporting schedules are completed accurately and on time.• Maintain the general ledger by reviewing financial transactions, validating debits and credits, and resolving discrepancies across accounts.• Prepare internal and external financial reports, including statements and summaries that support business decision-making.• Monitor cash activity and record transactions appropriately to maintain accurate visibility into daily and periodic financial positions.• Oversee document control processes by organizing, compiling, and digitizing financial records to support compliance and audit readiness.• Manage scanning and recordkeeping workflows to ensure accounting documentation is accessible, complete, and properly retained.• Support construction-related accounting activities, including tracking project financial data and aligning entries with reporting requirements.• Review deferred revenue balances and ensure recognition is recorded in accordance with applicable accounting standards.
2026-08-06T00:00:00Z

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

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.
2026-07-24T00:00:00Z

Human Resources (HR) Director

Roseland, NJ
onsite
Permanent / Full Time
120000 - 140000 USD / Yearly
A growing and highly respected organization is seeking an experienced Human Resources Director to lead all aspects of HR strategy and operations. This is a hands-on leadership role responsible for driving talent acquisition, employee relations, compliance, performance management, benefits, compensation, training, and organizational development initiatives. Key Responsibilities:<ul><li>Partner with executive leadership on HR strategy, workforce planning, employee engagement, and retention initiatives</li><li>Oversee employee relations, investigations, disciplinary matters, and conflict resolution</li><li>Lead recruiting, onboarding, and talent management efforts</li><li>Administer compensation, benefits, leave programs, and performance management processes</li><li>Develop and implement HR policies, procedures, and training programs</li><li>Ensure compliance with all federal, state, and local employment laws</li><li>Promote a positive workplace culture and support organizational growth initiatives</li><li>Facilitate professional development and employee training programs</li></ul>
2026-07-28T00:00:00Z

Immigration Program Director

Bronx, NY
onsite
Permanent / Full Time
100000 - 126000 USD / Yearly
We are looking for an experienced immigration legal leader to guide a nonprofit legal services program in New York. This position oversees attorneys and support staff, strengthens the quality of representation in immigration and domestic violence matters, and helps shape program direction through thoughtful leadership. The role also partners with internal leadership and external stakeholders to expand impact, support staff development, and maintain strong operational standards. Responsibilities: • Lead, coach, and evaluate attorneys and paralegals through regular supervision, case consultations, and performance feedback. • Direct legal program operations by monitoring caseloads, service quality, reporting obligations, and outcome targets. • Promote excellent client representation by ensuring matters are handled in accordance with high-quality standards, funding requirements, and legal ethics. • Create and refine practice resources such as procedures, templates, and training materials to improve consistency and effectiveness across the team. • Work closely with organizational leadership to set priorities, identify opportunities for growth, and advance ongoing program improvements. • Cultivate relationships with community partners, public agencies, and allied organizations to strengthen referrals and collaborative advocacy. • Serve as a representative of the legal program in meetings, coalitions, and other external forums. • Provide direct support on particularly sensitive, urgent, or legally complex cases when advanced guidance is needed.
2026-08-07T00:00:00Z