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Compliance Officer jobs - New York, NY

Viewing 1 - 10 of 391 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...

    28 days ago from eFinancial Careers

  • 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...

    30+ days ago from The Ladders

  • Compliance Officer for C&ORC Testing

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

    of various businesses in order to proactively identify compliance issues (e.g., securities laws and broker-dealer ... within the CRT (Compliance Review Team) under the Global Compliance and Operational Risk Control (C&ORC) group.

    13 hours ago from IvyExec

  • 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...

    16 days ago from ZipRecruiter

  • Futures Compliance Officer

    Private Wealth & Asset Management Firm - Weehawken, NJ

    As a Futures Compliance Officer, you will work to support compliance for the futures business within the Wealth ... • Work with Compliance and/or Audit Staff on the testing and monitoring of the effectiveness of the FCMs policies and pr...

    13 hours ago from IvyExec

  • Compliance Officer- Fixed Income

    Major International Bank - New York City, NY

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

    8 days ago from IvyExec

  • Chief Financial Officer

    Fair Health - New York City, NY

    Knowledge of not-for-profit accounting preferred Strong compliance and ethical standards Experience in an ... optimum efficiencies, improvement of processes, and compliance with Generally Accepted Accounting Principles...

    30+ days ago from Doostang

  • Compliance Officer

    Global Leader In Investment Management - New York City, NY

    regulatory announcements, and industry practices for compliance requirements, and helps businesses develop and ... 3-5 years relevant product/financial services and/or auditing or compliance experience preferred...

    17 days ago from IvyExec

  • Equity Sales & Trading Compliance Officer (VP)

    Leading Global Financial Services Firm - New York City, NY

    Primary Responsibilities Provide Compliance support for the Institutional Equity Division, as well as support functions: IT, Risk, Operations, controllers, finance. Provide advisory support to traders, sales traders, supervisors, Risk and...

    27 days ago from IvyExec

  • Securities Divisional Trade Compliance Officer

    Full Service Global Investment Bank - New York City, NY

    and best practices • Creating and implementing compliance training programs for business unit professionals • ... audits Preferred Qualifications • 3+ years Compliance/Legal/Regulatory background • Strong knowledge of general...

    30+ days ago from IvyExec