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Compliance Officer jobs - New York, NY

Viewing 1 - 10 of 1,720 jobs

  • Junior Business Line Compliance Officer, AVP

    MUFG - New York City, NY

    respectively Track regulatory changes impacting compliance programs, summarize changes and communicate changes to ... materials Minimum of 3-5 years of work experience in compliance and/or risk-management related fields. International...

    2 days ago from Mitsubishi UFJ Financial Group

  • Senior Compliance Officer

    Efinancial Careers - New York City, NY

    14 a plus) Experience with all aspects of Broker/ Dealer compliance helpful. Responsibilities Include: Real time ... Dealer is seeking a Compliance Officer to oversee the Trading activities and manage Firm Risk and Regulatory...

    10 days ago from eFinancial Careers

  • Home Loans Manager

    Bank of America - Garden City, NY

    OS/MLAS mortgage loan process from origination to close * As required, provide on-going communication to customers and business partners * Ensures the team staff activities are in compliance with regulations, policies, and guidelines set...

    12 days ago from Bank of America

  • Loan Officer Assistant

    Loan Depot - Brooklyn, NY

    for possible renegotiation or float down based on Loan Officer guidance Pipeline Management * Work with team for ... Knowledge/Ability: * Familiarity with the legal, compliance and Investor requirements of residential mortgage products i...

    12 days ago from Loan Depot

  • Compliance Testing -Vice President

    MUFG - New York City, NY

    group. *Monitor the level of compliance risk, compliance issues and compliance weakness by reviewing ... risk. *Coordinate with the business units and Compliance Officers/BLCOs to ensure the Risk Assessment is applied...

    10 days ago from Mitsubishi UFJ Financial Group

  • Compliance Associate

    Robert Half International - New York City, NY

    obert Half Financial Services is currently recruiting for a Compliance Associate within Brokerage. Our client requires ... Summary: The Compliance Associate will report to the Chief Compliance Officer (CCO) and will be involved with a broad...

    2 days ago from eFinancial Careers

  • Loan Officer

    Loan Depot - Cranford, NJ

    get the job done. * Complete understanding of the legal, compliance and Investor requirements of residential mortgage products including conforming, alternative and government programs. * Proficiency in various computer software programs...

    12 days ago from Loan Depot

  • Compliance Officer

    Access Staffing - New York City, NY

    global Banking conglomerate seeks for expanding divisions; Compliance Associate and Compliance Officer. Must have ... outside legal counsel to provide expertise on regulatory compliance matters. Assess and measure compliance and related...

    3 days ago from The Ladders

  • Chief Compliance Officer

    Finance, Nyc - New York City, NY

    We are seeking to fill the position of Chief Compliance Officer (CCO) reporting directly to the Global Head of Brokerage ... to demonstrate the strength and sustainability of the Compliance program, including: -Monthly “Compliance Champions”...

    3 days ago from Finance, NYC

  • Chief Compliance Officer - Investment Advisor

    Compliance Search Group - New York City, NY

    Chief Compliance Officer- Investment Advisor A large successful asset management firm seeks a Chief Compliance Officer ... compliance role(s), preferably as the Chief Compliance Officer or equivalent senior compliance experience with a focus...

    3 days ago from The Ladders