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Compliance Officer jobs - Garden City, NY

Viewing 1 - 10 of 4,552 jobs

  • Director Internal Audit

    Interactive Data - New York, NY

    functions, including portfolio valuation, regulatory compliance, risk management, electronic trading and wealth ... activities SOX Compliance: Manage the Company’s SOX compliance testing program including scoping, risk assessment,...

    2 days ago from Interactive Data

  • Retail Consumer Bank - Compliance Officer

    Compliance Search Group - Long Island City, NY

    bank, is seeking an experienced Bank Compliance Officer to oversee their consumer bank business (individual ... include, (but are not limited to) 1. Lending Compliance background with knowledge of Truth-in-Lending...

    30+ days ago from The Ladders

  • Anti-Money Laundering Compliance Officers Needed

    Roth Staffing - New York, NY

    Job Description Adams & Martin Group is seeking several Compliance Officers to work in the Financial Crimes Department. ... and/or MBA preferred. 2. 5 to 8 years of Financial Services Compliance experience including experience working with...

    12 days ago from Roth Staffing

  • Compliance Officer Testing Consumer Commercial Banking

    Citi - Long Island City, NY

    and activities, some complex in accordance with the Global Compliance Testing standards. Complete assigned testing ... review schedule Complete key projects as assigned by the Compliance Testing ManagementQualifications BA/BS or...

    22 days ago from Citi

  • Senior Compliance Officer - Retail Surveillance

    Compliance Search Group - New York, NY

    A major global bank is seeking a Senior Compliance Officer, specifically in Retail Surveillance. Retail Surveillance ... the analyst will be responsible for working with Product Compliance, technology, business supervisors and Branch...

    3 days ago from The Ladders

  • Chief Compliance Officer & Associate General Counsel

    Steadfast Financial - New York, NY

    Legal: Chief Compliance Officer & Associate General Counsel (NY, NY) for Steadfast Financial LP, to provide legal ... Category: Marketing, Advertising & Business Dev., Keywords: Chief Compliance Officer, Location: New York, NY -...

    1 day ago from TheJobNetwork

  • US Capital Markets Trade Compliance Officer

    CIBC Group of Companies - New York, NY

    based surveillance reports; · Ability to manage Compliance technology projects; · Understanding of U.S. regulatory landscape, with a familiarity with the Volcker Rule and CFTC/SEC swaps rules · Strong interpersonal skills in order to...

    18 days ago from CareerArc

  • Equity Compliance Officer

    Nomura Securities International - New York, NY

    the Chi-X businesses. Position Overview: The Equity Compliance Officer position will cover ATS, Electronic ... Compliance Officer. Responsibilities: Provide real-time compliance advice to senior management and sales trading...

    30+ days ago from OneWire

  • Technical Trading Compliance Officer

    Investment Technology Group - New York, NY

    issues and escalate potential risk issues to the Chief Compliance Officer while offering constructive input and ... Organizations (“SRO”). The Trading Compliance Officer will compile applicable data, e.g., firm and customer...

    30+ days ago from OneWire

  • Chief Compliance Officer/ Legal Counse

    Compliance Search Group - New York, NY

    the Firm’s compliance program related to on-going Dodd-Frank compliance initiatives, including CFTC and SEC compliance, ... Jack Kelly – A top hedge fund is seeking a Chief Compliance Officer (“CCO”) and Legal...

    8 days ago from eFinancial Careers