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Compliance Officer jobs - New York, NY

Viewing 111 - 120 of 6,239 jobs

  • VP, Compliance Officer

    LSG - New York City, NY

    Vice President, Compliance Officer Summary: Our client is a multibillion dollar wealth management/asset manager ... in-house compliance database programs, to account for compliance requirements and applicable verification procedures.

    3 days ago from LSG

  • Compliance Officer - FCM

    Orion - New York City, NY

    Investment Firm looking for a Compliance Officer - FCM to join their team in New York, NY. Job Responsibilities: ... Qualifications: 7-10+ Years FCM / Swap Compliance experience Testing experience Bachelor's Degree Salary: $120,000 - $15...

    5 days ago from Orion

  • Outsourcing Compliance Officer

    Financial Services, Nyc - New York City, NY

    of Outsourcing Compliance as a member of the Firm’s Compliance Group covering infrastructure. Coverage includes: ... Compliance reviews •Assist in building out Compliance coverage of outsourcing, including risk-based Compliance...

    8 days ago from Financial Services, NYC

  • Compliance Officer

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

    The Compliance Officer will review and evaluate operational obligations and compliance issues/concerns as outlined in th ... or retaliation. Inquiries regarding compliance with this equal opportunity policy may be directed to: Office of Equal...

    10 days ago from New York City Department of Education

  • Sr. Compliance Officer (Global Marketing Review)

    Legg Mason - New York City, NY

    a senior compliance professional to join the Distribution Compliance team and serve as a global compliance liaison for ... potential and will report directly into the Chief Compliance Officer (CCO). This position is based at the...

    10 days ago from Legg Mason

  • Compliance Officer Corp. and Govt ratings

    Mcgraw Hill Financial - New York, NY

    Position Description The Role: This Compliance Officer is responsible for covering Standard and Poor’s Corporate and ... will be responsible for executing the firm’s compliance program and monitoring compliance with policies and...

    30+ days ago from McGraw Hill Financial

  • Registration Compliance Officer

    Morgan Stanley - New York City, NY

    The Global Compliance Department manages a Firmwide Compliance Risk Management program, including Compliance risks that ... and jurisdictions of operation. Group Overview The Compliance Registration Group is responsible for obtaining and...

    12 days ago from Morgan Stanley

  • AVP Manager Local Compliance Officer

    HSBC - New York City, NY

    any material compliance issues identified and reported by Compliance Testing and Control (CTAC), Compliance Inspection ... Compliance, Global Business Compliance Officer, Area Compliance Officer or Local Compliance Officer, ensuring...

    12 days ago from HSBC

  • Compliance, Securities Divisional Compliance Officer, Associate/VP

    Goldman Sachs Group - New York City, NY

    The role of the Divisional Compliance Officer is to articulate and maintain the standards of conduct required of the ... to reputation. In particular, this Divisional Compliance Officer provides coverage support to investing, finance,...

    19 days ago from Goldman Sachs Group, Inc

  • Senior Compliance Officer, Corporate Vice President (14901)

    New York Life Insurance Co - New York City, NY

    Compliance Officer will work with the Chief Compliance Officer of the Investments Group to enhance the established ... framework and culture. The Compliance Officer will survey policies, procedures and approaches to compliance...

    20 days ago from New York Life Insurance Co