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Compliance Officer jobs - New York, NY

Viewing 111 - 120 of 6,238 jobs

  • Senior Compliance Officer- Private Bank

    KP Recruiting Group - New York City, NY

    Assisting the Business with identifying compliance risk and integrating legal/regulatory compliance requirements into wr ... Assist with the content, implementation and delivery of compliance training Interface with senior management, audit...

    5 days ago from KP Recruiting Group

  • WMA Equities Compliance Officer

    UBS - Weehawken, NJ

    As the WMA Equities Compliance Officer you will support compliance for all legal entities in Wealth Management Americas ... Provide clear and articulate advice on transactions, compliance policies and procedures, and regulatory...

    1 day ago from UBS

  • Equities Compliance Officer - Associate

    Smith Arnold - New York City, NY

    Responsibilities for the Equities Compliance Officer – Associate will include providing real-time compliance advice to t ... be engaged in drafting guidance and training materials. Compliance officer will provide compliance support for...

    6 days ago from Smith Arnold

  • Chief Compliance Officer-EFT Investments

    Response Companies - New York City, NY

    Chief Compliance Officer opportunity for an Investment Adviser focused on ETF Investments (actively managed and passive ... compliance experience and experience working with automated compliance tools. Growing entrepreneurial company with...

    6 days ago from Response Companies

  • Equities Compliance Officer - Associate

    RBC - New York City, NY

    guidance and training materials. Compliance officer would be expected to assist in Market-Access compliance ... process, and maintenance of limit structure. Compliance officer will provide compliance support for...

    8 days ago from RBC

  • Compliance Officer-Compliance Examinations

    Mcgraw Hill Financial - New York, NY

    operating units’ timely and effective implementation of compliance recommendations needed to correct regulatory ... preventive measures. Required: Compliance examinations or compliance surveillance background within financial services...

    30+ days ago from McGraw Hill Financial

  • Vice President, Business Unit Compliance Officer

    BMO Financial Group - New York City, NY

    A business unit compliance officer (“BUCO”) is responsible for directing, leading and operating the First Line of ... Identify,ensure and/or participate with the Compliance Group in the delivery of and the fulfillment of any compliance-re...

    13 days ago from BMO Financial Group

  • E-Rate Compliance Officer

    New York City Department of Education - New York City, NY

    Position Summary : The E-Rate Compliance Officer of the Office of Federal and State Regulatory Compliance (OFSRC) ... To accomplish this goal, the E-Rate Compliance Officer leads OFSRC and oversees all components of NYCDOE’s...

    14 days ago from New York City Department of Education

  • Compliance Officer Fixed Income (Credit Markets)

    Citi - New York City, NY

    DescriptionThe position is for a Fixed Income Compliance Officer within Citi's Institutional Client Group (ICG), ... transactional approvals and interpretation of internal compliance policies; Draft compliance policies and...

    15 days ago from Citi

  • Code Compliance Officer

    URS - New York City, NY

    project management skills, superior knowledge of code compliance requirements and industry standards, and effectively ... elements assigned, as they apply to code compliance, associated with design review, inspections during...

    20 days ago from URS Corporation

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