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Compliance Officer jobs - New York, NY

Viewing 1 - 10 of 496 jobs

  • Alternatives Investment Compliance Officer (New York)

    Compliance Search - New York, NY

    oversee their alternatives investments division 5+ years of compliance experience, including experience with real ... Bachelors degree Responsibilities Include: Provide advisory Compliance support to the Alternatives businesses which...

    30+ days ago from Doostang

  • Compliance Officer, Investments (Major Investment Firm)

    Guardian Investments - New York, NY

    Major Investment Firm seeks Compliance Officer to analyze issues and develop plans on a systemic level, thinking through potential connections and impact across the organization, and developing roadmaps to achieve long term vision through...

    30+ days ago from Doostang

  • Deputy Chief Compliance Officer

    A Legal Company - New York, NY

    Institution is looking for a Deputy Chief Compliance Officer for the dually registered retail investment adviser ... and institutional investment advisor. The Deputy Chief Compliance Officer is a senior level position that works...

    2 days ago from IvyExec

  • Deputy/Senior Associate Compliance Officer

    New York University - New York, NY

    government regulatory compliance and laws Experience in compliance or related area Required experience: 5+ ... Compliance Officer will work directly with the University Compliance Officer to assure that New York University's...

    30+ days ago from Doostang

  • VP, Investment Advisory Compliance Officer

    A Legal Company - New York, NY

    and compliance applications.Manage and mentor a team of compliance professionals.Attend committee meetings and work ... Advisory Compliance OfficerVP, Investment Advisory Compliance OfficerVP, Investment Advisory Compliance Officer...

    2 days ago from IvyExec

  • Compliance Officer Control Room, Capital Markets/High Grade Fixed Income

    US Bank - New York, NY

    groups, including participating in conducting annual compliance meetings The Control Room Compliance Officer is ... compliance related matters Disseminating and communicating compliance related information from regulators and industry...

    30+ days ago from Doostang

  • Capital Markets Compliance Officer

    Diversified Financial Services Organization - New York, NY

    approval of the Corporate banking clients to assure compliance with all on-boarding requirements, including BSA/AML, ... policies. Assist Business Unit compliance Officer in the development of written supervisory procedures Assist...

    7 days ago from IvyExec

  • Equity Compliance Officer

    Jefferies & Company - New York, NY

    Advising various business groups as well as other legal and compliance professionals on issues regarding restricted ... teams on daily issues, including input on and deployment of compliance policies Headquartered in New York, with offices...

    30+ days ago from Doostang

  • VP, Product Compliance Officer

    A Legal Company - New York, NY

    procedures, communication with clients, training, and compliance and control testing. Represent Compliance Department on new product launches Work closely with the compliance ... Experienced in broker/dealer compliance a plus...

    2 days ago from IvyExec

  • Compliance Assessment Officer

    Leading Global Financial Services Firm - New York, NY

    culture. Department Profile Professionals within Legal and Compliance provide a wide range of services to our business ... govern the firm's businesses. Background on the Team: The Compliance Assessment Group ("CAG") is primarily responsible...

    8 days ago from IvyExec

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