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Compliance Officer jobs - New York, NY

Viewing 1 - 10 of 3,061 jobs

  • Senior Compliance Officer Equities (Multi Asset Group)

    Citi - New York City, NY

    updating supervisory documents and processes to ensure compliance with regulatory requirements and internal firm ... with the businesses they support, providing compliance guidance and administering the Firm's Compliance...

    12 days ago from Citi

  • Compliance Officer Fixed Income (Credit Markets)

    Citi - New York City, NY

    Description The position is for a Fixed Income Compliance Officer within Citi's Institutional Client Group (ICG), ... transactional approvals and interpretation of internal compliance policies; * Draft compliance policies and...

    12 days ago from Citi

  • 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...

    5 days ago from Bank of America

  • Senior Compliance Officer Control Group Advisory

    Citi - New York City, NY

    control group, capital markets, trading or banking compliance coverage in-house, or working in audit, risk or ... York * Education: Bachelor's Degree * Job Function: Compliance and Control * Travel Time: Yes, 10 % of the Time *...

    12 days ago from Citi

  • Global Markets Risk Officer - Vice President

    MUFG - New York City, NY

    Branch. Responsible for assisting the Senior Risk Officer – NY (SRO-NY) with evaluating new risk management and ... SME, including: Working with partners in Compliance, Legal, Operations and Systems to coordinate responses to...

    5 days ago from Mitsubishi UFJ Financial Group

  • Senior Compliance Officer

    CPR My Career - Stamford, CT

    Senior Compliance Officer -100-195K -20+ years of experience required. -Bachelors Degree required. -Experience in a ... compliance issues. -Assisting the Business with identifying compliance risk and integrating legal/regulatory compliance...

    2 days ago from CPR My Career

  • Investment Banking Compliance Officer-VP

    Compliance Search Group - New York City, NY

    • Provide regulatory/compliance training ... A Global Investment bank seeks a Corporate Banking & Securities, Compliance Officer who will be...

    1 day ago from eFinancial Careers

  • Sr. Compliance Officer to CCO - Investment Management

    Compliance Search Group - New York City, NY

    Sr. Compliance Officer to CCO – Investment Management (ETF & Mutual Fund Background preferred) Our client, an Investment ... record of placing hundreds of Compliance professionals ranging from staff levels to Chief Compliance Officers with...

    2 days ago from The Ladders

  • Compliance Officer Third Party Risk Anti Bribery Corruption (ABC)

    Citi - Long Island City, NY

    and control functions in all Citi Regions; * Liaise with Compliance officers and AMLCOs to provide guidance on AB&C ... a plus; * 5+ years of financial services experience in a Compliance or equivalent role a plus. * Primary Location:...

    3 days ago from Citi

  • Internal Audit Non Financial Services Manager (5761003)

    PwC - New York City, NY

    Internal Audit directors, Chief Compliance officers, Audit Committees and Risk Management personnel. Demonstrates ... and requirements, including compliance readiness programs. -Generally Accepted Accounting Principles. -Financial and...

    17 days ago from PwC

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