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Compliance Officer jobs - New York, NY

Viewing 1 - 10 of 2,131 jobs

  • VP, BSA/AML Compliance Business Line Compliance Officer (Investment Banking & Markets)

    Mitsubishii UFJ Financial Group - New York City, NY

    Summary: This position serves as the Business Line Compliance Officer (BLCO) for the Investment Banking Division for ... compliance related matters outlined in the Compliance Officer/Compliance Liaison Officer Appointment Letter. Key...

    8 hours ago from Mitsubishii UFJ Financial Group

  • Associate, Trading Surveillance Compliance 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...

    1 day ago from Union Bank

  • Junior Compliance Officer

    Global - New York City, NY

    Junior Compliance Officer A Global investment bank is in search of a compliance officer with roughly 3 years experience ... team. This role will report up to the chief compliance officer. As one of the lead examiners you will be...

    9 hours ago from TheLadders.com

  • Compliance Officer Surveillance

    Citi - Jersey City, NJ

    Description Market Surveillance provides independent compliance coverage for the Equities, Fixed Income, Commodities/Fut ... 5+ years of experience in capital markets or securities compliance. The candidate should have strong regulatory,...

    3 days ago from Citi

  • Compliance Analyst Lead

    AIG - New York City, NY

    member of our dynamic compliance team, you will support the compliance group in a monitoring and data analytics ... This position will report to the Deputy Chief Compliance Officer in the Advisory team and build ongoing relationships...

    19 hours ago from AIG Corp

  • Compliance Officer

    Bank - Finance Industry - New York City, NY

    Qualifications - Manage a team of seven capital markets investigators/analysts. - Manage regulatory investigations and inquiries. - Review investigations and record production by analysts for completeness. - Track and address regulatory...

    21 hours ago from VelvetJobs

  • Senior Compliance Officer - Regulatory & Policy

    New York City, NY

    In this role, the Senior Compliance Officer/Regulatory Compliance works with a team of three regulatory compliance ... platform Coordinate with RCM governance groups and compliance officers in other regions and businesses to...

    1 day ago from IvyExec

  • Associate, Trading Surveillance Compliance Officer

    Mitsubishii UFJ Financial Group - New York City, NY

    and statistical analysis to identify potential compliance issues. Perform surveillance reviews. (60%) Support the ... Equal Opportunity Employer/Minority/Female/Disability/Veteran Job : Risk & Compliance Primary Location : NEW YORK-New Yo...

    23 hours ago from Mitsubishii UFJ Financial Group

  • VP, BSA/AML Compliance Business Line Compliance Officer (Invvestment Banking & Markets)

    Union Bank - New York City, NY

    Summary: This position serves as the Business Line Compliance Officer (BLCO) for the Investment Banking Division for ... compliance related matters outlined in the Compliance Officer/Compliance Liaison Officer Appointment Letter. Key...

    1 day ago from Union Bank

  • Compliance Officer Exam Management

    Citi - New York

    of regulatory exams impacting Global Compliance, AML Compliance and other control functions and business line, ... Compliance Testing. * Coordinate with regional advisory Compliance teams, Legal, Operations, Technology, Risk and...

    3 days ago from Citi

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