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Compliance Officer jobs - New York, NY

Viewing 1 - 10 of 294 jobs

  • Chief Compliance Officer - Asset Management

    Efinancial Careers - New York City, NY

    Chief Compliance Officer / Head of Operational Risk Company Description: Our client is a multi-billion dollar ... Chief Compliance Officer with 7 - 10+ years of compliance experience within the asset management industry. A JD and...

    30+ days ago from eFinancial Careers

  • Compliance Expert

    Compliance Search Group - New York City, NY

    banking compliance, operations, regulatory compliance consulting, or working with federal regulations • A ... Compliance Officer and/or Regulatory Examiner • Experience conducting product demonstrations to prospective clients •...

    30+ days ago from The Ladders

  • Government and Political Activity Compliance Officer

    Leading Global Financial Services Firm - New York City, NY

    Responsibilities The Government and Political Activity Compliance Officer will: - Execute various aspects of ... business clients and senior management within Legal and Compliance Skills Desired - Capital markets...

    9 days ago from IvyExec

  • Institutional Banking Compliance Officer

    Leading Global Financial Services Firm - New York City, NY

    Position Description The Institutional Banking Compliance Officer is part of the Bank Group Compliance (BGC) team ... Degree · Minimum of five years of compliance and/or regulatory experience, with knowledge of the financial service...

    10 days ago from IvyExec

  • Compliance Officer

    Private Wealth & Asset Management Firm - New York City, NY

    various businesses in order to proactively identify compliance issues (e.g., securities laws and broker-dealer rules ... testing team that focuses primarily on the regulatory compliance framework for UBS AG, UBS Securities LLC and UBS...

    12 days ago from IvyExec

  • Senior Compliance Officer - Fair Lending

    Major International Bank - New York City, NY

    has responsibility for the enterprise-wide fair lending Compliance program that spans across US lending businesses. Incumbent will work with Corporate Fair Lending and the business Fair Lending officers to execute fair lending program. The...

    30+ days ago from IvyExec

  • Vice President and Chief Corporate Compliance Officer

    Executive Healthsearch - Brooklyn, NY

    The Corporate Compliance Officer oversees the Corporate Compliance Program functioning as an independent and ... as well as recommends improvements/changes in the overall compliance program. As Chief Privacy Officer provides...

    30+ days ago from The Ladders

  • Portfolio Guidelines Monitoring Compliance Manager

    Compliance Search Group - Newark, NJ

    and reports to establish metrics for the compliance group • Research front end and post-trade compliance issues ... placing hundreds of Compliance professionals ranging from staff levels to Chief Compliance Officers with the nation's...

    30+ days ago from The Ladders

  • Senior Compliance Officer

    Global Securities, Investment and Retail Banking Firm - Jersey City, NJ

    Conduct complex risk, quantitative, and statistical analyses using SAS technology that is consistent with regulatory needs. Assemble relevant statistical data, create and maintain programs that track the criteria, and follow up on...

    30+ days ago from IvyExec

  • Officer/Analyst

    Standard Chartered Bank - Newark, NJ

    BCP testing and reviews. * Attendance at mandatory risk and compliance training and completion of mandatory e-learnings. * Daily Upload of metrics for Agent Calls, Time, and skills. Qualifications & Skills * Knowledge of international...

    11 days ago from eFinancial Careers

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