Company Security & Trade Compliance Officer Job at Aplin (Dartmouth)

VP, Information Security Officer (ISO), Markets, Taiwan

The Chief Information Security Office (CISO) is home to deeply talented colleagu...

Location

Taiwan , Taipei

Salary:

Not provided

Citi

Expiration Date

Until further notice

Requirements

10+ years of relevant experience in Information & Cybersecurity space or related domains such as risk management, auditing, consulting & advisory services
One or more of IS/Cybersecurity industry standard certifications (e.g. CISA, CISSP, CISM, SANS GIAC, CEH, CRISC, CCSP,SSCP, CompTIA Security+ etc.) are mandatory
Strong understanding of Information security domains with hands on experience of performing application security risk assessments covering controls such as Identity & Access Management, API Security, Cloud/SaaS Security, Cryptography, Sensitive Data protection, Audit Logging/Monitoring, Secure SDLC controls
Sound knowledge of Network Security controls (including Firewalls, IDS/IPS) and Application Vulnerability Assessments/Source code & component vulnerability scanning related controls
Good understanding of Markets Business and Applications such as such as trading platforms, order management systems, risk management systems, pricing engines etc. is an advantage
Hold relevant professional certificates recognized by local authorities
Sound knowledge of IS/Cybersecurity related local regulatory, and compliance requirements in the financial services industry and Securities & Futures Markets
Understanding of policy compliance and how it relates to risk
Extensive knowledge of information security risk assessment methodologies/industry standards
Demonstrated ability to take ownership and follow up on issues

Job Responsibility

Act as a Trusted Security Advisor to business and technology teams, guiding them on IS/Cyber risks
Appropriately assess risks when business decisions are made, demonstrating consideration for the firm's reputation and safeguarding Citigroup, its clients and assets
Drive compliance with applicable Information & Cybersecurity laws, rules and regulations, adhering to relevant Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency
Serve as the local point of contact of all information security matters, including management, governance, compliance, and third-party risk management
Manage local audit and regulatory engagements impacting CISO
Drive country-specific control implementations or special programs, where deemed necessary based on risk assessments or local regulatory requirements
Work with business & technology management to drive the information security program and govern risk management activities including CSRA (Cybersecurity Risk Appetite) reporting
Work with the internal Applications Development function to facilitate improvements in both architectural and application security posture
Provide strategic risk guidance for business and technology projects, including the evaluation and recommendation of security controls and corrective actions to mitigate/remediate risks
Manage security incidents and events to protect corporate IT assets, including intellectual property, regulated data and the company's reputation

What we offer

Extensive on-the-job training and exposure to senior leaders
Access to telehealth options, health advocates, confidential counseling
Expanded Paid Parental Leave Policy
Access to an array of learning and development resources
Generous paid time off packages
Resources and tools to volunteer in the communities

Fulltime

Canada Compliance Risk Management Sr. Analyst

The AVP, Canada Compliance Risk Management Sr. Analyst serves as a senior compli...

Location

Canada , Toronto

Salary:

Not provided

Citi

Expiration Date

Until further notice

Requirements

5-8 years of experience
Knowledge of Compliance laws, rules, regulations, risks and typologies
A general understanding of securities trading and corresponding regulations with proven ability to prioritize and manage multiple responsibilities
Excellent research and analytical skills
Excellent written and verbal communication skills
Must be a self-starter, flexible, innovative and adaptive
Has the ability to operate with a limited level of direct supervision
Can exercise independence of judgement and autonomy
Acts as subject matter expert (SME) to senior stakeholders and/or other team members
Demonstrated interpersonal skills with the ability to work collaboratively and with people at all levels of the organization, as well as the ability to navigate a complex organization

Job Responsibility

Reviews and analyzes surveillance and trading activity data and assists with developing, maintaining, and performing surveillance reviews and reports as necessary
Identifies potential risks and escalates the issue to a designated supervisor/manager and the respective product coverage areas, as appropriate
Provides troubleshooting support on a wide variety of projects, including ad-hoc projects and regulatory exams directed by other organizations within the compliance and legal departments, to ensure they remain compliant with regulatory and legal requirements
Monitors adherence to ICRM’s risk policies and relevant procedures and remains abreast of any changes to regulations and/or policies to prevent risk and protect the organization
Assists with editing and maintaining ICRM program related materials and interacts with other areas within Citi in a collaborative manner to provide best-in-class surveillance support
Influences senior managerial decisions by advising, counseling, and contributing to team deliverables and projects that impact both the team and the business
Acts as a subject matter expert (SME) to senior stakeholders and/or other team members
Assumes both formal and informal leadership roles within team and assists in training and mentoring new team members upon their arrival
Assesses and mitigates risks to ensure that team projects and deliverables are uninterrupted, and that Citigroup’s reputation is safeguarded when business decisions are made
Appropriately assesses risk when business decisions are made, demonstrating particular consideration for the company's reputation and safeguarding Citi, its clients and assets

Fulltime

Compliance Analyst

insightsoftware is seeking a detail-oriented and proactive Compliance Analyst to...

Location

United States , Remote

Salary:

Not provided

insightsoftware

Expiration Date

Until further notice

Requirements

Bachelor's degree in information security, Cybersecurity, Computer Science, Risk Management, Legal Studies, Business Administration, or related field
Minimum 3+ years of experience in compliance program management, risk management, or information security roles, preferably in regulated industries or technology companies
Demonstrated experience responding to third-party risk assessments, security audits, customer security questionnaires, RFPs, and compliance due diligence requests
Working knowledge of regulatory frameworks and standards (e.g., ISO 27001, SOC 2 (Type II), NIST, FedRAMP, CMMC, PCI DSS, GDPR, CCPA), trade control regulations (EAR, ITAR), anti-bribery/corruption laws (FCPA, UK Bribery Act), and data privacy principles
A strong knowledge of at least one regulatory framework governing matters pertaining to data privacy, cybersecurity, trade compliance, or third-party risk management
Experience with third-party screening tools and vendor risk management platforms
Familiarity with GRC or data protection management platforms (e.g., OneTrust, ServiceNowMetricStream)

Job Responsibility

Support the development, implementation, and maintenance of a global compliance program, including trade compliance, anti-bribery/corruption, anti-trust, and business ethics
Conduct secondary screening of third parties (vendors, partners, customers) , and assess potential matches against government watchlists of denied, debarred, sanctioned, or restricted parties to ensure compliance with applicable trade compliance, export control and sanctions regulations (e.g., U.S. Department of the Treasury Office of Foreign Assets Control ("OFAC"), U.S. Department of Commerce Bureau of Industry and Security ("BIS"), U.K. Office of Financial Sanctions Implementation ("OFSI"), European Union, and United Nations)
Assist with export classification determinations and licensing requirements for software products and services, including evaluation of Export Control Classification Numbers ("ECCNs")
Support the company's compliance with applicable data protection regulatory frameworks (e.g., GDPR, CCPA)
Support the Corporate Counsel, Data Privacy, AI, Cybersecurity with data protection initiatives and obligations including data mapping exercises, processing activity records, and privacy impact assessments, and coordinate responses to data subject access requests ("DSARs") and privacy-related inquiries
Support privacy management tools and platforms for consent management and privacy workflow automation
Partner with company counsel, InfoSec, and other stakeholders with compliance audits, data privacy questionnaires, and third-party risk assessment processes including vendor due diligence and ongoing monitoring
Support risk and control self-assessments ("RCSA"), audit management, and remediation tracking
Collaborate with stakeholders including the Chief Information Security Officer ("CISO") and the team to quantify, monitor, and report on security and compliance performance
Maintain GRC platforms (e.g., ServiceNow, Archer, MetricStream) to track compliance activities, risks, and controls

Sr. Paralegal, SEC & Corporate Governance

We are seeking an experienced and detail-oriented SEC and Corporate Governance P...

Location

United States , Hershey

Salary:

Not provided

The Hershey Company

Expiration Date

Until further notice

Requirements

Bachelor’s degree
Paralegal certification, preferred
Notary Public Certification
At least 5-7 years of relevant in-house or law firm paralegal experience with a focus on corporate governance and public company securities matters
Strong understanding of SEC regulations, corporate governance practices, and public company compliance
Excellent organizational, communication, and writing skills
Proficiency in Microsoft Office Suite and familiarity with legal entity management systems, SEC filing platforms (e.g., Workiva, Diligent, EDGAR)
Flexibility to respond to multiple and often-changing priorities on a global level
Excellent time-management and organizational skills, attention to detail and follow through
Excellent oral and written communication skills

Job Responsibility

Assist in the preparation and filing of SEC reports, including Forms 10-K, 10-Q, 8-K, Section 16 filings (Forms 3, 4, and 5), and proxy statement
Help manage compliance with NYSE listing requirements and disclosure obligations
Maintain and update insider trading records and support compliance with the company’s insider trading policy, including trading plans, stock ownership requirements, tracking company calendar for earnings call, record and dividend payment dates
Coordinate with internal stakeholders and external advisors and counsel to gather and verify information for public disclosures
Support documentation and testing of legal department controls related to SOX compliance
Collaborate with internal audit and finance teams to ensure timely and accurate reporting of legal related controls
Maintain records and evidence to support SOX control assertions and participate in walkthroughs and audits
Assist in identifying and implementing process improvements to strengthen internal controls
Support in preparation for the company's Annual Meeting of Stockholders
Support in preparation for the company's Annual Meeting of Stockholders, including Annual Meeting of Stockholders’ Planning Worksheet, team meetings, coordinate with Inspector of Elections, Broadridge and update IR website

New

Head of Infrastructure

To prepare for a significant period of growth, Xelix is seeking a Head of Infras...

Location

United Kingdom , London

Salary:

Not provided

Xelix

Expiration Date

Until further notice

Requirements

8+ years in infrastructure, platform, or SRE roles
AWS Certified Solutions Architect – Professional
Prior experience scaling production systems in a growing company
Ability to operate production systems under pressure
Deep hands-on experience with the AWS cloud platform
Strong background in reliability, observability, and incident management
Experience leading or mentoring engineers

Job Responsibility

Platform Strategy & Architecture: Own the long-term platform and infrastructure strategy
Design and evolve cloud architecture to support scale, resilience, and performance
Set standards for infrastructure, CI/CD, environments, and observability
Make architectural decisions and trade-offs
Developer Experience (DevEx): Provide infrastructure for the development team to code, test and deploy efficiently
Advise during design sessions to help engineers pick the right solutions for projects
Reliability & Operations: Own production reliability, uptime, and incident response
Define and enforce SLAs and SREs
Lead incident response and post-incident reviews
Ensure monitoring, alerting, and on-call practices are effective and sustainable

What we offer

27 days of annual leave (including 3 days Christmas closing) which increases up to 3 days based on tenure, with the option to roll over, buy or sell up to 3 days
Hybrid working with one day a week from our dog-friendly Hoxton office
On-site gym and cycle to work scheme
Employee discount at over 100 retailers
Comprehensive private medical & dental cover with Vitality
Enhanced parental leave pay
Learning & development culture – £1,000 personal annual budget
We’re carbon-neutral and are working towards ambitious carbon reduction goals
Lots of team socials & activities
Annual team retreat

Fulltime

Head of Platform

At Xelix, we work with some of the world’s largest companies to automate and str...

Location

United Kingdom , London

Salary:

Not provided

Xelix

Expiration Date

Until further notice

Requirements

8+ years in infrastructure, platform, or SRE roles
AWS Certified Solutions Architect – Professional
Prior experience scaling production systems in a growing company
Ability to operate production systems under pressure
Deep hands-on experience with the AWS cloud platform
Strong background in reliability, observability, and incident management
Experience leading or mentoring engineers

Job Responsibility

Own the long-term platform and infrastructure strategy
Design and evolve cloud architecture to support scale, resilience, and performance
Set standards for infrastructure, CI/CD, environments, and observability
Make architectural decisions and trade-offs
Provide infrastructure for the development team to code, test and deploy efficiently
Advise during design sessions to help engineers pick the right solutions for projects
Own production reliability, uptime, and incident response
Define and enforce SLAs and SREs
Lead incident response and post-incident reviews
Ensure monitoring, alerting, and on-call practices are effective and sustainable

What we offer

27 days of annual leave (including 3 days Christmas closing) which increases up to 3 days based on tenure, with the option to roll over, buy or sell up to 3 days
Hybrid working with one day a week from our dog-friendly Hoxton office
On-site gym and cycle to work scheme
Employee discount at over 100 retailers
Comprehensive private medical & dental cover with Vitality
Enhanced parental leave pay
Learning & development culture – £1,000 personal annual budget
We’re carbon-neutral and are working towards ambitious carbon reduction goals
Lots of team socials & activities
Annual team retreat

Fulltime

Paralegal

Location

United States , New York

Salary:

100000.00 - 115000.00 USD / Year

Arrow Search Partners

Expiration Date

Until further notice

Requirements

Bachelor’s degree required
Paralegal certification preferred
3-5 years of related paralegal experience at a public company or Biglaw firm
Workiva, EDGAR, Diligent, and DocuSign experience preferred
Notary public preferred or willingness to obtain certification
Excellent attention to detail and processes
Ability to maintain confidentiality

Job Responsibility

Manage securities law compliance including insider trading, pre-clearance, and quarterly blackout processes
Coordinate preparation of proxy statements including preparing beneficial ownership
Prepare and file forms under Section 16 of the Exchange Act
Track stock ownership of directors and officers, work on the transition to EDGAR Next, interact with third-party equity plan administrator, and related research
Assist with electronic and physical legal filing systems including data retention, contract management database, and policy tracker
Assist lawyers in capital markets transactions and public company filings by preparing closing checklists, obtaining signatures, monitoring status of deliverables and providing materials for due diligence
Assist with general legal department and corporate governance related tasks
Conduct legal research under supervision of lawyers

Chief Compliance Officer, ETFs - Senior Vice President

iCapital is looking to hire an Exchange-Traded Funds (ETF) Chief Compliance Offi...

Location

United States , New York

Salary:

180000.00 - 240000.00 USD / Year

iCapital Network

Expiration Date

Until further notice

Requirements

Bachelor’s degree, Law Degree or MBA is preferred
10-15+ years of compliance experience in the financial services industry, including a robust understanding of and experience with exchange-traded funds, derivatives, alternatives and the regulatory landscape
Demonstrated knowledge of U.S. securities laws, particularly the Investment Company Act of 1940, the Investment Advisers Act of 1040, the Securities Act of 1933, the Securities Exchange Act of 1934 and other SEC, CFTC, NFA and FINRA regulations
Strong knowledge and prior experience with investment company, investment adviser, and NFA or CFTC compliance programs and requirements
Strong experience in dealing with matters associated with Rule 38a-1 under the Investment Company Act of 1940 and Rule 206(4)-7 under the Investment Advisers Act of 1940
Prior Broker or Dealer knowledge and experience working with ETFs and other alternative assets and FINRA rules/regulations is also highly desired.
Experience with regulatory examinations, investigations or other interactions specifically with the SEC, FINRA and NFA
Experience evaluating risk and mapping risk and controls across firm practices
Skilled at developing other team members through mentoring or helping upskill
Able to operate in a fast-paced environment

Job Responsibility

Maintain expert knowledge of SEC regulations applicable to ETFs and investment advisers, including the Investment Advisers Act of 1940, Investment Company Act of 1940, and Rule 6c‑
Monitor and advise on regulatory developments affecting ETFs, including derivatives, valuation, liquidity, and related rulemaking.
Design, implement, and maintain compliance programs under Rule 206(4)‑7 and Rule 38a‑1 for ’40 Act trusts, registered investment advisers, and commodity pool operators.
Provide compliance leadership and support for ETF initiatives, including identifying regulatory risks and developing practical solutions.
Advise Product, Portfolio Management, Operations, and other stakeholders on ETF structuring, operations, investment strategies, and disclosures.
Lead compliance efforts for ETF launches and product changes from concept through effectiveness and post‑launch execution.
Translate regulatory requirements and fund governing documents into scalable policies, procedures, and compliance controls.
Oversee ETF‑specific compliance obligations, including disclosure monitoring, premium or discount reporting, and regulatory filings.
Conduct pre‑ and post‑trade compliance monitoring, portfolio guideline testing, and issue resolution.
Support trading oversight frameworks, including best execution governance and related compliance practices.

What we offer

equity for all full-time employees
annual performance bonus
employer matched retirement plan
generously subsidized healthcare with 100% employer paid dental, vision, telemedicine, and virtual mental health counseling
parental leave
unlimited paid time off (PTO)
flexibility to work remotely on Friday

Fulltime

Company Security & Trade Compliance Officer

Aplin

Location:
Canada , Dartmouth

Category:
Public Sector

Contract Type:
Not provided

Salary:

Job Description:

Job Responsibility:

Requirements:

Nice to have:

Additional Information:

Job Posted:
March 22, 2026

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VP, Information Security Officer (ISO), Markets, Taiwan