Compliance Officer jobs - New York, NY

Viewing 1 - 10 of 176 jobs

• Compliance Officer - Bloomberg Tradebook

  Bloomberg - New York, NY

  The Role We are looking for a Compliance Officer that has working knowledge of FINRA rules and regulations relating to electronic trading. Qualifications: - Bachelor's Degree and 3+ years of relevant experience - Series 7 and 24 licenses -...

  7 days ago from TheLadders.com

• BSA Compliance Officer/VP

  A Financial Services Company - New York, NY

  Prestigious International Financial Firm seeks a BSA Compliance Officer to be responsible for overall management of ... Assist in Compliance training for all employees Front Link Compliance Coordinator for all internal audits, Compliance...

  30+ days ago from IvyExec

• Chief Compliance Officer

  Overbrook Management - New York, NY

  Job Description: We are currently seeking a Chief Compliance Officer (CCO) who will be responsible for the day-to-day ... This position provides exposure to all areas of the firm: compliance, operations, financial reporting/analysis, client s...

  30+ days ago from Doostang

• Programs Finance Officer

  Charity: Water - New York, NY

  As the Programs Finance Officer, you'll be responsible for developing and managing financial tracking, resource flows, reporting and compliance for a specified portfolio of grants awarded to a variety of partners. Responsibilities Review...

  11 days ago from Doostang

• Chief Compliance Officer

  Newco - New York, NY

  The Chief Compliance Officer will be responsible for the day-to-day oversight of all firm operations and compliance poli ... technology, and finance. The Head of Operations/ Chief Compliance Officer will also prepare daily and periodic...

  30+ days ago from Doostang

• Bank Compliance Officer, AVP

  Compliance Search Group - New York, NY

  testing program. o Ongoing management and execution of compliance monitoring activities on a risk-assessed basis ... special projects assigned by the Local Compliance Officer or Chief Compliance Officer. Requirements: Knowledge...

  7 days ago from TheLadders.com

• Chief Financial Officer

  A Non-profit / Social Enterprise Company - New York, NY

  managing organizational resources while maintaining compliance with current and committed contracts and grants. ... with managing federal grants and meeting federal compliance requirements. Skills to be Learned on the...

  30+ days ago from IvyExec

• VP - Compliance Officer - Swap Dealer

  Compliance Search Group - New York, NY

  VP - Compliance Officer - Swap Dealer The person performing this advisory position will be responsible for implementing ... entities, and will generally support the designated Chief Compliance Officer for these entities, as a subject matter...

  7 days ago from TheLadders.com

• Senior Compliance Officer

  Prime United Securities Holdings - New York, NY

  will be responsible for supporting the CEO and Chief Compliance Officer. The ability to quickly rise to the top ... for a motivated individual. As the a Senior Compliance Officer, the individual will be responsible for a compliance...

  30+ days ago from TheLadders.com

• Central Compliance Officer VP

  Compliance Search Group - New York, NY

  Central Compliance Officer – VP Our client, a major investment banking firm seeks a Central Compliance Officer to lead ... within Central Compliance. The functions of the Central Compliance team includes: Licenses and Registrations,...

  21 days ago from TheLadders.com