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Compliance Officer jobs - New York, NY

Viewing 1 - 10 of 6,602 jobs

  • Compliance Manager

    Popular Community Bank - New York City, NY

    affected by compliance risks. • Manage Compliance Training Program. • Maintain Risk Assessments, ensuring ... BS required; a minimum of 10-15 years of experience in bank compliance/compliance management with a banking...

    30+ days ago from Popular Community Bank

  • BSA/AML Business Line Compliance Officer, Vice President (Corporate Banking)

    Mitsubishii UFJ Financial Group - New York City, NY

    compliance-related matters as outlined in the Compliance Officer/Compliance Liaison Officer Appointment Letter. ... compliance issues raised by bank regulators, IAOA and Compliance Testing. Coordinate the implementation of corrective...

    13 hours ago from Mitsubishii UFJ Financial Group

  • Associate, Compliance & Conduct Risk Officer

    Union Bank - New York City, NY

    closure of exceptions; and Performance of forensic compliance testing, using data analytics, trend monitoring, and statistical analysis to identify potential compliance issues. Perform surveillance reviews. (60%) Support the preparation of...

    6 days ago from Union Bank

  • Compliance Officer

    Financial Services - Greenwich, CT

    A top broker-dealer in Greenwich, CT is seeing a Compliance Officer with 4-10 years experience with the SEC, FINRA, ... District of Columbia or appropriately registered compliance officer (i.e. at least a Series 24 and/or Series 3...

    5 hours ago from AllCountyJobs.com

  • Compliance Officer ICG Testing (Compliance)

    Citi - Jersey City, NJ

    In addition to strong audit/compliance and analytical skills, the candidate should have a strong background and understa ... * Leading small to medium sized teams in audits/compliance reviews is a plus...

    13 hours ago from Citi

  • Compliance Officer, Securities

    Newedge - New York City, NY

    functions for electronic trading and direct market access compliance Manage exchange, regulatory and internal audit ... for regulatory changes and new developments. 10+ years Compliance experience. Awareness of securities products.

    30+ days ago from Newedge

  • Compliance Officer

    Ny-based Bank/broker-dealer - Finance Industry - New York City, NY

    monitoring Job Description Top tier bank is looking for a compliance officer in AML. * Need strong transaction monitoring and Sanctions experience. * Ideal candidate will oversee transactions in the I-bank and private bank. * OFAC...

    20 hours ago from VelvetJobs

  • Vice President, Investment Banking and Market Surveillance Compliance Officer

    Mitsubishii UFJ Financial Group - New York City, NY

    and statistical analysis to identify potential compliance issues Preparation of management information reporting ... Job : Risk & Compliance Primary Location : NEW YORK-New York Shift*: Day Schedule*:...

    13 hours ago from Mitsubishii UFJ Financial Group

  • BSA/AML Business Line Compliance Officer, Vice President (Corporate Banking)

    Union Bank - New York City, NY

    compliance-related matters as outlined in the Compliance Officer/Compliance Liaison Officer Appointment Letter. ... compliance issues raised by bank regulators, IAOA and Compliance Testing. Coordinate the implementation of corrective...

    8 hours ago from Union Bank

  • Compliance Officer Branch Examinations (Compliance)

    Citi - New York

    * Developing / updating of the testing modules to ensure consistency with regulatory requirements and Compliance policie ... Working within small sized teams in regulatory exams, audits/compliance reviews/branch examinations is a plus...

    2 days ago from Citi

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