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Compliance Officer jobs - New York, NY

Viewing 1 - 10 of 56 jobs

  • COO & Compliance Officer

    Litmore - New York City, NY

    This is an entrepreneurial role with a great degree of flexibility, and best suited to self-starters and lateral thinkers ... responsibility to ensure that the business is run to the highest standards in terms of efficiency, cost and...

    15 days ago from Doostang

  • Compliance, Securities Divisional Compliance Officer

    Full Service Global Investment Bank - New York City, NY

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

    1 hour 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 Citis Institutional Client Group (ICG), ... transactional approvals and interpretation of internal compliance policies; Draft compliance policies and...

    1 hour ago from IvyExec

  • Assistant Vice President, Compliance Officer

    New York City, NY

    as directed by the Senior Vice President Compliance Officer for BDG and the firm s Global CCO. Primary Function ... Development Group (BDG) including: As directed by the SVP Compliance Officer of BDG, review and analyze sales...

    1 day ago from IvyExec

  • Equities Compliance Officer

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

    is in the advisory group of Equities Compliance. The compliance officer will provide advice and guidance to ... and Compliance Bulletins Reviewing descriptions of system compliance functionality and system testing protocols...

    2 days ago from IvyExec

  • Compliance Officer รข?? FRC Rates 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 advice to the Rates, US Treasury, US Agency,...

    2 days ago from IvyExec

  • Consumer Compliance Officer

    Human Resources Focused Consulting Firm - New York City, NY

    Our client is seeking an experienced Consumer Compliance Officer. This position will cover key areas of consumer ... 4 years of relevant experience, as a consumer compliance officer Experience with consumer protection rules and...

    6 days ago from IvyExec

  • Municipal Securities Compliance Officer

    Human Resources Focused Consulting Firm - New York City, NY

    Services organization Description The Municipal Securities Compliance Officer will provide advisory compliance support ... Offer The successful candidate for the Municipal Securities Compliance Officer position will receive a competitive...

    7 days ago from IvyExec

  • Compliance Officer

    New York City, NY

    working with compliance monitoring systems, tracking compliance issues and issuing reports. Experience working ... compliance solutions. Demonstrated success in implementing compliance process improvements in a complex global...

    13 days ago from IvyExec

  • Compliance Officer, Compliance Examinations

    New York City, NY

    Qualifications: 3-5 years Compliance examinations or compliance surveillance background within financial services ... required. Experience must include creating and executing compliance test procedures, including statistical sampling...

    13 days ago from IvyExec

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