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Compliance Officer jobs - New York, NY

Viewing 1 - 10 of 55 jobs

  • Bank Regulatory Compliance Officer

    Selby Jennings - New York City, NY

    of compliance. Purpose Position to provide regulatory compliance advice and support to business units that ... trends in the market. Provide compliance training. Provide compliance advisory services to the Firms banking-related...

    2 days ago from Selby Jennings

  • Compliance Officer - Brokerage

    Michael Page - New York City, NY

    analyze rule interpretations Conduct comprehensive internal compliance reviewsRespond to regulatory inquiries and ... trainingMaintain WebCRD filings ? Bachelors degree? Compliance experience in an electronic trading environment?...

    30+ days ago from Michael Page

  • Compliance Officer - Medical Device (Full-time & Permanent)

    Coyote Technical & Executive Sourcing - Ramsey, NJ

    Title: Compliance Officer Detailed Description: Job Summary: Work closely with the Corporate Compliance Office and the ... Compliance objectives. Ensure development of an integrated Compliance Program to promote understanding and compliance...

    30+ days ago from Coyote Technical & Executive Sourcing

  • Trust Compliance Officer

    Investment Fund Company - New York City, NY

    Officer, Risk Management, Controller, Bank Secrecy Act Officer, Privacy, Security and Internal Audit for regulatory ... Annual Testing Plan; Conduct annual compliance testing of compliance obligations identified in the Issue Compliance...

    20 days ago from Rosenthal Recruiting Job Board

  • Senior Compliance Officer- multiple openings

    Selby Jennings - New York City, NY

    the VP-SVP level and work along side the Deputy and Chief Compliance officers. The role will require a strong ... and efficiently analyze and address any prominent compliance risks Work extensively with FINRA and SEC...

    3 days ago from Selby Jennings

  • Policy and Markets Compliance Officer

    Michael Page - New York City, NY

    include: ? Act as a conduit between business and legal & compliance groups ? Communicate regulatory initiatives and ... teams (Business areas, Operations, IT, Tax, Legal and Compliance) ? Detect alerts of regulatory initiatives and...

    1 day ago from Michael Page

  • AWS Security Compliance Architect - Financial Services

    Amazon - New York City, NY

    This candidate should be a technically experienced and innovative security/compliance professional who has the ability t ... successful compliance programs - Experience defining compliance roadmaps based on customer requirements, compliance...

    4 days ago from Amazon

  • Coding and Compliance Manager-Faculty Practice

    Mount Sinai Health System - New York City, NY

    coders and auditors and functions as the Faculty Practice Compliance Officer.  This individual is responsible for ... and adhering to compliance policies and providing ongoing compliance training to physicians and Faculty Practice coding...

    16 days ago from HEALTHeCAREERS Network

  • Associate Officer, Associate Portfolio Manager

    Alliancebernstein - New York City, NY

    based on investment exposure and pre and post trade compliance reviews. Associate Portfolio Managers are responsible for ensuring that portfolio strategy is applied to individual client accounts by demonstrating a deep understanding of...

    30+ days ago from AllianceBernstein L.P.

  • Compliance Officer-Hedge fund group Large NY bank

    Selby Jennings - New York City, NY

    for their hedge fund arm.This position supports the Chief Compliance Officer and Fund Boards in conjunction with ... of compliance experience. JD, CPA or CFA a plus. Previous compliance experience working for a Fund CCO preferable.

    4 days ago from Selby Jennings

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