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Compliance Officer jobs - New York, NY

Viewing 1 - 10 of 312 jobs

  • Volcker Rule Compliance Officer

    Michael Page International - US - Manhattan, NY

    Description Work with and provide support to the Compliance Volcker team Participate in workstreams regarding ... DFA Job Offer Base + Bonus + Benefits Volcker Rule focussed compliance officer role at Associate or AVP level with a...

    30+ days ago from eFinancial Careers

  • Junior Compliance Officer for Registered Investment Advsory Group

    Sound Income Strategies - Rye, NY

    will have the desire and capacity to become a senior compliance officer. We expect to grow rapidly due to ... working with the senior compliance officer, chief operating officer, and an external compliance group currently...

    8 days ago from ZipRecruiter

  • Compliance Officer â?? FRC Advisory

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

    AG, a global financial services company, seeks a Compliance Officer to support the IB Americas FRC (FX, Rates and ... to include: Advisory - responsible for providing compliance coverage to the UBS Investment Bank’s FRC (FX,...

    4 days ago from IvyExec

  • Compliance Analyst - Associate / Senior Associate

    Compliance Search Group - New York City, NY

    Framework • Conduct the annual review of Corporate Compliance procedures • Administrate and track compliance training ... of placing hundreds of Compliance professionals ranging from staff levels to Chief Compliance Officers with the...

    4 days ago from The Ladders

  • 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...

    4 days ago from IvyExec

  • Equity Sales and Trading Compliance Officer

    Leading Global Financial Services Firm - New York City, NY

    The Global Compliance Department manages a Firmwide Compliance Risk Management program, including Compliance risks that ... and enforcing sales and trading practices. Equity Compliance is responsible for reviewing business, compliance...

    5 days ago from IvyExec

  • Compliance Officer- Fixed Income (Credit Markets)

    Major International Bank - New York City, NY

    Description The position is for a Fixed Income Compliance Officer within Institutional Client Group (ICG), supporting ... transactional approvals and interpretation of internal compliance policies; Draft compliance policies and...

    5 days ago from IvyExec

  • Compliance Examiner

    Compliance Search Group - New York City, NY

    explains, and enforces compliance and/or regulatory procedures and policies. • Assists Compliance Examiners and ... Compliance professionals ranging from staff levels to Chief Compliance Officers with the nation's top-tier firms.

    30+ days ago from The Ladders

  • Compliance & Risk Associate - Asset Management

    Compliance Search Group - New York City, NY

    division who will provide direct support to the Chief Compliance Officer and Risk Management globally. This ... individual will report directly to the Chief Compliance Officer as well as the Risk Analyst. This person will have...

    22 days ago from The Ladders

  • Sr. Compliance Officer (Global Marketing Review)

    New York City, NY

    global liaison for marketing review, coordinating with compliance professionals at sales offices in the US, Europe, ... process; Provide training and education to business and compliance personnel; Review marketing materials on behalf...

    11 days ago from IvyExec

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