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Compliance Officer jobs - New York, NY

Viewing 1 - 10 of 163 jobs


    BNP Paribas Investment Partners - New York City, NY

    Officer in our New York office. As a member of the Compliance team, the Senior Compliance Officer will be ... in maintaining, updating, developing and testing firm wide compliance policies and programs; managing compliance...

    12 days ago from eFinancial Careers

  • Global Chief Compliance Officer- Broker Dealer

    Michael Page International - US - New York City, NY

    Description The Head of Compliance * Point of contact for all exams/inquiries & audits * cover all entities and manage s ... Profile 10-20 years plus experience required in regulatory compliance. A JD is not required but a plus. Job Offer...

    18 days ago from eFinancial Careers

  • 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

  • AML Privacy and Anti-Corruption Officer

    Forum Group - New York City, 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...

    18 days ago from eFinancial Careers

  • VP of Compliance

    Rockwood Search Associates - New York City, NY

    like to transition this role into the Chief Compliance Officer within a year, could be two years pending on ... and marketing material review. Qualifications: 10+ years of Compliance experience Experience in Private Equity...

    24 days ago from ZipRecruiter

  • General Counsel, Chief Operations Officer (Hedge Funds)

    Financial Services - White Plains, NY

    the individual will also be responsible for the legal and compliance functions in the firm. Responsibilities include: ... and agreements, understanding and managing firms overall compliance oversight, serve as a partner to the CEO to...

    6 days ago from ZipRecruiter

  • Chief Compliance Officer (Asset Management)

    Creative Solutions Services - New York, NY

    Position Summary Chief Compliance Officer for two SEC registered investment advisers investing primarily in fixed-income ... investment company Development and supervision of Compliance staff Participate in various committee meetings...

    30+ days ago from Creative Solutions Services

  • Senior Markets Compliance Officer

    Michael Page - New York, NY

    Responsibilities: The Senior Markets Compliance Officer will be accountable for the following:Overall ... and procedures).Responsible for managing one or two compliance officer(s). Ensure all compliance manuals,...

    30+ days ago from Michael Page

  • Chief Compliance Officer

    Bachrach Group - New York, NY

    broker-dealer and investment bank seeks a Chief Compliance Officer/Counsel to lead both functions for their US ... Reporting to the President, the Chief Compliance Officer will ensure regulatory compliance for all US...

    30+ days ago from The Bachrach Group

  • Senior Compliance Officer-Antitrust Compliance

    JPMorgan Chase - New York City, NY

    asset management, and private equity. J.P. Morgan seeks a compliance officer for its Global Antitrust Compliance ... **CORPORATE SECTOR* **Title:** *Senior Compliance Officer-Antitrust Compliance* **Location:** *NY-New York-277...

    9 days ago from JPMorgan Chase

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