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Compliance Officer jobs - New York, NY

Viewing 111 - 120 of 5,004 jobs

  • Anti-Money Laundering Compliance Officers Needed

    Adams & Martin Group - New York, NY

    Job Description Adams & Martin Group is seeking several Compliance Officers to work in the Financial Crimes Department. ... and/or MBA preferred. 2. 5 to 8 years of Financial Services Compliance experience including experience working with...

    11 days ago from Adams & Martin Group

  • Compliance Officer - IB Credit Trading Group

    UBS - New York, NY

    Advisory - responsible for providing compliance coverage to the UBS Investment Bank's Credit Trading Group. Rules and ... interest issues. Other responsibilities - work with Legal & Compliance colleagues on department-wide initiatives to...

    15 days ago from UBS

  • Compliance Officer Equities Compliance Department Derivatives and Multi Asset Group Sales and Trading

    Citi - New York, NY

    providing compliance guidance and administering the Firm's Compliance policies/procedures in a timely manner. Primary ... States,New York,New YorkEducation: Bachelor's DegreeJob Function: Compliance and ControlTravel Time: NoJob ID:...

    29 days ago from Citi

  • Junior Compliance Officer

    Related - New York, NY

    Ensuring that the steps in the firm’s compliance process – risk identification, establishing policies ... and are undertaken timely. Ensuring that compliance policies and procedures are comprehensive, robust, and...

    30+ days ago from Related

  • US Capital Markets Trade Compliance Officer

    CIBC - New York, NY

    surveillance and advisory functions to support CIBC’s US Compliance program. The Compliance Officer 1) administers key ... KEY ACCOUNTABILITIES The U.S. Capital Markets Compliance Officer is primarily accountable for: · Monitoring the daily...

    19 days ago from CIBC

  • Compliance Officer/Risk Manager

    Linium - New York, NY

    mix of policies, procedures, systems and controls to ensure compliance with regulatory requirements and activity on a ... senior managers across Operations, Technology, Finance and Compliance. It is expected that this person be familiar with...

    30+ days ago from Linium

  • Compliance Officer III

    BNY Mellon - New York, NY

    Compliance includes the following groups: Risk Management, Compliance, Global Corporate Security, Information Risk ... Primary Location: United States-NY-New York Internal Jobcode: 23620 Job: Audit/Compliance/Risk Organization: Compliance...

    19 days ago from BNY Mellon

  • Compliance Officer

    SF Staffing Solutions - New York, NY

    Seeking a candidate who will help conduct reviews of marketing materials to ensure conformance with US regulatory requirements as well as firm policies and procedures. The individual will work closely with members of the GSAM distribution,...

    30+ days ago from SF Staffing Solutions

  • Compliance Officer – Trading Surveillance

    Robert Half International - New York, NY

    Robert Half Financial Services is searching for a Compliance Officer with trading desk surveillance experience. The successful candidate will join and international capital markets firm and support monitoring and surveillance of firm...

    30+ days ago from eFinancial Careers

  • Compliance Officer Policies & Communications

    Shulman Fleming & Partners - New York, NY

    Compliance Officer – Americas Policies & Communications Responsibilities: Draft, revise and advise on policies and ... banking regulations and best practice standards for compliance policies, including regulatory standards and...

    30+ days ago from Shulman Fleming & Partners