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Compliance Officer jobs - New York, NY

Viewing 1 - 10 of 151 jobs

  • Senior Compliance Officer - Asset Management

    Compliance Search Group - New York City, NY

    Senior Compliance Officer - Asset Management A global investment bank seeks a Senior Compliance Officer who will be ... loan origination. Responsibilities: • Provide back-up to compliance advisory coverage officer overseeing various credit...

    3 days ago from The Ladders

  • Sr. Asset Management Compliance Officer

    Compliance Search Group - New York City, NY

    Compliance Officer A global investment bank seeks a Senior Compliance Officer who will be responsible for ... loan origination. Responsibilities: • Provide back-up to compliance advisory coverage officer overseeing various credit...

    6 days ago from The Ladders

  • Global Chief Compliance Officer- Broker Dealer

    Human Resources Focused Consulting Firm - New York City, NY

    dealer with extensive U.S. operation is seeking a head of compliance for the global operation. The role sits in the ... Description The Head of Compliance * Point of contact for all exams/inquiries & audits * cover all entities and manage s...

    30+ days ago from IvyExec

  • SEF Compliance Officer Job

    Bloomberg - Entertainment and Media Industry - New York City, NY

    Bloomberg is seeking a Swaps Regulatory Compliance Officer who will be responsible for supporting the implementation and ... Execution Facility Compliance Program designed to ensure compliance with all applicable regulatory requirements...

    30+ days ago from VelvetJobs

  • SEF Compliance Officer

    Renowned Financial Software, Media, and Data Company - New York City, NY

    CCO including: Recommend and implement changes to the compliance program and the Swap Execution Facility Compliance ... Draft and coordinate the dissemination of regular Compliance Alerts/Reminders to ensure that business groups are aware o...

    30+ days ago from IvyExec

  • Control Room and Research Compliance

    Compliance Search Group - New York City, NY

    will serve as the compliance liaison with other Compliance functions (sales and trading, registrations, ... track record of placing hundreds of Compliance professionals ranging from staff levels to Chief Compliance Officers...

    3 days ago from The Ladders

  • VP - Senior Covenant Officer

    Moody's - New York City, NY

    MSS Candidates are asked to disclose securities holdings pursuant to Moody's Policy for Securities Trading. Employment is contingent upon compliance with the Policy, including remediation of positions in those holdings as necessary. See...

    30+ days ago from eFinancial Careers

  • Compliance Business Counsel

    Samsung Electronics America - Ridgefield Park, NJ

    Compliance Business Counsel General Description The Compliance Business Counsel, NAHQ Compliance Department (the ... America Chief Compliance Officer (the “CCO'), the Compliance Business Counsel will be responsible for identifying...

    18 days ago from CareerRookie.com

  • Chief Privacy Officer

    Major Banking and Financial Services Company - New York City, NY

    senior management, business areas and the Chief Compliance Officer and General Counsel’s office to establish an ... Global Compliance Officer, Area Compliance Officer or Local Compliance Officer, ensuring adequate compliance...

    18 days ago from IvyExec

  • AML Privacy and Anti-Corruption Officer

    Human Resources Focused Consulting Firm - Manhattan, NY

    recommendations on the compliance requirements. The officer will stay informed of novel issues and threats to ... parties. The officer will work with the Firm’s compliance staff to help identify and escalate “red flags” that may...

    30+ days ago from IvyExec

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