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Code Compliance Officer jobs - New York, NY

Viewing 1 - 10 of 717 jobs

  • Exec/Admin / Other / New York / Permanent / Compliance Officer- Health care

    Refuah Health Center - Spring Valley, NY

    The compliance manager acts as a staff to the President/CEO and Governing Board and together with the Compliance Committ ... of the compliance hotline.7. Identifies potential areas of compliance vulnerability and risk, develops andimplements...

    2 days ago from StaffPhysicianRecruiter.com

  • Chief Compliance Officer (Investment Management)

    Daruma Capital Management - New York City, NY

    strategy and operations. The Chief Compliance Officer will directly monitor and enhance Daruma’s compliance ... and compliance issues. The Chief Compliance Officer will be a key member of the senior management team leading...

    30+ days ago from The Ladders

  • Chief Compliance Officer RIA, Mutual Funds (Staffing And Recruiting Company)

    Compliance Search - New York City, NY

    client is currently in need of a Chief Compliance Officer MBA, CPA, CFA or CFP is a plus 7- 10 years ... regulatory changes Develop, monitor and update the firm s Compliance Policies and Procedures, including the Code of...

    30+ days ago from Doostang

  • Vice President Director Local Compliance Officer

    HSBC - Finance Industry - New York City, NY

    compliance issues and trends to business unit senior management, HNAH Compliance management and Group Compliance. • ... Global Business Compliance Officer, Area Compliance Officer or Local Compliance Officer, ensuring adequate...

    1 day ago from VelvetJobs

  • VP - Senior Compliance Officer

    Human Resources Focused Consulting Firm - New York City, NY

    erve as the Face of Compliance in the role of Business Unit Compliance Officer for one or more ratings groups. In this ... compliance efforts globally through a network of regional compliance associates and centralized compliance functions.

    3 days ago from IvyExec

  • Compliance Officer

    Premier Hedge Fund - Finance Industry - New York City, NY

    brokerage statements of “access persons”; Code of Ethics attestations; Advertising Approval forms; etc.); Preparing ... Requirements / Qualifications: Minimum of 5 years as a Compliance Officer of an SEC-registered investment adviser; must...

    9 days ago from VelvetJobs

  • Compliance Officer, Compliance Examinations

    New York City, NY

    Qualifications: 3-5 years Compliance examinations or compliance surveillance background within financial services ... required. Experience must include creating and executing compliance test procedures, including statistical sampling...

    9 days ago from IvyExec

  • Chief Compliance Officer

    Sec Registered Investment Adviser - Finance Industry - New York City, NY

    The ideal candidate will act as the Chief Compliance Officer of a SEC registered investment adviser and support ... Act of 1940 and other US federal securities laws Ensure compliance with the adviser’s Code of Ethics for employees...

    30+ days ago from VelvetJobs

  • VP - Senior Compliance Officer

    Major Credit Rating Agency - New York City, NY

    Role/Responsibilities Serve as the Face of Compliance in the role of Business Unit Compliance Officer for one or more ra ... compliance efforts globally through a network of regional compliance associates and centralized compliance functions.

    30+ days ago from IvyExec

  • Chief Compliance Officer

    Daruma Capital Management, Llc - Finance Industry - New York City, NY

    Chief Compliance Officer Daruma Capital Management (www.darumanyc.com) seeks a seasoned investment management compliance ... strategy and operations. The Chief Compliance Officer will directly monitor and enhance Daruma’s compliance...

    30+ days ago from VelvetJobs

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