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Compliance Officer jobs - New York, NY

Viewing 1 - 10 of 4,495 jobs

  • Fixed Income Compliance Officer

    Jcw Search - New York City, NY

    trade exception reports and trading activity to ensure compliance with appropriate rules, regulations and firm ... They are looking to recruit a fixed income trading compliance officer with proven experience to help the firm...

    10 days ago from eFinancial Careers

  • Anti - Money Laundering - Compliance Officer

    Compliance Search Group - New York City, NY

    Anti-Money Laundering- Compliance Officer Program Officer Our client, a leading financial service provider, is seeking a ... to the bank’s BSA Officer and sit within the AML Compliance Group. The bank’s AML Compliance ensures that the AML...

    4 days ago from The Ladders

  • Vice President, Corporate Compliance - Business Line Compliance Officer

    Mitsubishii UFJ Financial Group - New York City, NY

    compliance-related matters as outlined in the Compliance Officer/Compliance Liaison Officer Appointment Letter. ... compliance issues raised by bank regulators, IAOA and Compliance Testing. Coordinate the implementation of corrective...

    30+ days ago from Mitsubishii UFJ Financial Group

  • Senior Compliance Officer - AML / KYC Program Officer

    Compliance Search Group - New York City, NY

    Senior Compliance Officer- Anti Money Laundering/Know Your Client Program Officer Our client, a leading financial ... Anti-Money Laundering (AML)/Know Your Client (KYC) Senior Compliance Program Officer with 7+ years of experience with...

    10 hours ago from The Ladders

  • Compliance Officer -Alternatives Investments

    Compliance Search - New York City, NY

    Responsibilities Include: Provide advisory Compliance support to the Alternatives businesses which offer investment ... through a variety of investment structures; Represent Compliance in the new product approval process which...

    9 days ago from Doostang

  • Chief Compliance Officer

    Adams Consulting Group - New York City, NY

    Community Bank in Long Island Job Description: Chief Compliance Officer Responsible for compliance related ... to mitigate compliance risk. Develops and implements a compliance monitoring program. Ensures that the company has...

    2 days ago from ZipRecruiter

  • 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...

    2 days ago from IvyExec

  • Compliance Officer - Tradebook Job

    Bloomberg - Entertainment and Media Industry - New York City, NY

    Compliance team is looking for an experienced Compliance Officer. The ideal candidate will have compliance experience ... and developments. Skills Required: • Compliance experience with a regulated broker dealer or an SRO • Working...

    8 days ago from VelvetJobs

  • Compliance Officer

    Law Firm - New York City, NY

    Serves as resource regarding the KYC/AML compliance process and procedures ... Updates departmental and Firm documentation relating to the KYC/AML compliance process and procedures...

    9 days ago from ZipRecruiter

  • Electronic Trading Compliance Officer

    Compliance Search Group - New York City, NY

    Electronic Trading Compliance Officer A global investment bank seeks an electronic compliance professional who will be ... track record of placing hundreds of Compliance professionals ranging from staff levels to Chief Compliance Officers with...

    16 days ago from The Ladders

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