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Compliance Officer jobs - New York, NY

Viewing 1 - 10 of 2,420 jobs

  • Compliance Officer Treasury and Trade Services

    Citi - Jersey City, NJ

    compliance issues to Compliance colleagues globally TTS NAM Compliance seeks a seasoned compliance professional with a ... including AML Compliance, In-Business Risk, Legal, Compliance Testing, Audit, and cross-sector control...

    1 day ago from Citi

  • Vice President, Corporate Compliance - Business Line Compliance Officer

    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...

    11 days ago from Mitsubishii UFJ Financial Group

  • Investment Management Compliance Officer

    Compliance Search Group - New York City, NY

    Management Compliance but will work daily with the Chief Compliance Officer Responsibilities: • Oversight of the ... investment adviser to enhance the Chief Compliance Officer’s 38a-1 and 206(4)-7 annual certification(s) • Work...

    4 hours ago from eFinancial Careers

  • Equities Compliance Officer

    UBS Financial Services - New York City, NY

    Title Equities Compliance Officer Job Reference # 113997BR Location United States - New York City New York Function ... the advisory group of Equities Compliance. The compliance officer will provide advice and guidance to traders, sales...

    1 hour ago from

  • Compliance Officer - Swaps Regulatory

    Compliance Search Group - New York City, NY

    Compliance Officer Swaps Regulatory A Global bank seeks a Swaps Regulatory Compliance Officer who will be responsible ... of Compliance professionals ranging from staff levels to Chief Compliance Officers with the nation s top tier...

    6 hours ago from Geebo

  • VP/Director Fixed Income Compliance Officer

    Infinity Consulting Solutions - New York City, NY

    Fixed Income Compliance VP/Director Responsibilities: Primary responsibilities are responding to compliance inquiries fr ... Responsibilities Contd: Train Capital Markets Personnel on Compliance Matters Conduct training on various compliance/reg...

    3 days ago from CareerBuilder

  • Senior Compliance Officer Market Surveillance FX

    Citi - Jersey City, NJ

    * Market Surveillance provides independent compliance coverage for the Equities, Fixed Income, ... 3+ years of experience in capital markets or securities compliance. * The candidate should have strong regulatory,...

    1 day ago from Citi

  • Compliance Officer - Buy Side

    Efinancial Careers - New York City, NY

    compliance matters • Assisting with updates to compliance policies and procedures • Monitoring records retention ... authorities • Assisting with the firm compliance reviews • Assisting with regulatory and compliance research •...

    3 days ago from eFinancial Careers

  • Chief AML Compliance Officer

    Efinancial Careers - New York City, NY

    • Provide backup to general AML compliance functions such as surveillance reviews, section 312 reviews and due ... Officer for their Anti-Money Laundering Division. The Successful Candidate will report to the Chief Compliance...

    8 days ago from eFinancial Careers

  • Compliance Officer

    Robert Half International - New York City, NY

    Officer with experience at an Asset Management firm. The Compliance Officer will review and analyze sales literature ... work very closely with Business Development. Description - Compliance Officer will review and analyze sales literature...

    9 days ago from eFinancial Careers

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