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Compliance Officer jobs - New York, NY

Viewing 1 - 10 of 186 jobs

  • Compliance Officer -Alternatives Investments |

    Compliance Search - New York City, NY

    Qualifications include: Bachelors degreeProvide advisory Compliance support to the Alternatives businesses which offer ... through a variety of investment structures; Represent Compliance in the new product approval process which...

    25 days ago from Doostang

  • Bank Consumer Protection Compliance officer

    Compliance Search Group - New York City, NY

    Bank Consumer Protection Compliance officer A leading global bank/broker-dealer firm providing a wide range of ... management seeks seasoned Consumer Protection Compliance Officer. The candidate will be working with the Bank Group...

    2 days ago from

  • Senior Compliance Officer- GIU AML Investigations Team Lead

    Jersey City, NJ

    transaction including documenting review findings for Compliance and Business management reviewAssist in preparation of Suspicious Activity Reports (SARs) and recommend relationship retention or terminationSupervise, mentor, and oversee...

    5 days ago from IvyExec

  • CFO (New York)

    RecycleBank - New York City, NY

    management systems, budgeting, administrative processes, compliance with the highest accounting, legal and regulatory ... of external auditors to ensure timely and accurate annual compliance- Reviews reports to analyze projections of sales...

    29 days ago from Doostang

  • Privacy Compliance Officer - VP

    Compliance Search Group - New York City, NY

    Privacy Compliance Officer –VP A Global Financial services firm seeks a Privacy Compliance Officer The Candidate will be ... To join The Compliance Exchange on LinkedIn please visit the following site...

    5 days ago from

  • Senior Compliance Officer - Program Manager

    New York

    The SVP Program Manager for Consumer Compliance is a new role created to provide oversight of consumer-wide compliance ... significant interaction across Consumer Compliance, Global Compliance and a reasonable amount of interaction with...

    9 days ago from IvyExec

  • Accounting Manager / Chief Compliance Officer

    University Ventures Fund Management - New York City, NY

    education sector, seeking an Accounting Manager/ Chief Compliance Officer to manage the Accounting Policy, ... regulatory developments and contributing towards compliance policies - Providing ad hoc compliance advice -...

    16 days ago from

  • Compliance Officer, Investments

    New York City, NY

    securities/investment experience required; five years compliance or SEC regulatory experience preferredExtensive ... business units identifying and resolving potential compliance issues or problemsProviding compliance advice for...

    10 days ago from IvyExec

  • Senior Trading Compliance Officer

    Access Staffing - New York City, NY

    and investment banking firm seeks candidates to join their Compliance Department. Responsibilities will include: ... years compliance experience, including equities trading compliance Exposure to monitoring OTC securities (pink sheets...

    16 days ago from

  • Compliance Officer

    Berlin Group - Greenwich, CT

    and they are always looking for high quality talent. The Compliance Officer position requires familiarity with SEC, ... District of Columbia or appropriately registered compliance officer (i.e., at least a Series 24 and/or Series 3...

    16 days ago from

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