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Compliance Officer jobs - New York, NY

Viewing 11 - 20 of 6,128 jobs

  • Chief Compliance Officer - Investment Advisor

    Compliance Search Group - New York City, NY

    Chief Compliance Officer- Investment Advisor A large successful asset management firm seeks a Chief Compliance Officer ... compliance role(s), preferably as the Chief Compliance Officer or equivalent senior compliance experience with a focus...

    7 days ago from The Ladders

  • PMO - Compliance & Regulatory / NYC

    Atyeti - New York, NY

    Recognition Inc. 500 5000 Honoree Company for 2012, 2013 and 2014 Atyeti Ranks No. 270 on the 2012 Inc. 500 List 2012 NJ 50 Fastest Growing Companies Please email resumes to subashri.sankaran(at)atyeti.com Call 609-921-8494 Client...

    2 days ago from Dice

  • Senior Compliance Officer

    Compliance Search Group - New York City, NY

    Senior Compliance Officer A Top Tier, Investment Management Firm, has an excellent opportunity for a Senior Compliance ... with the Chief Compliance Officer (CCO) and other Senior Compliance Officers. Responsibilities include -Creating and...

    30+ days ago from The Ladders

  • Analyst - Compliance & Customer Onboarding

    MUFG - New York City, NY

    including AML/BSA/KYC/OFAC; derivative sales market compliance; corporate compliance; transaction monitoring and ... issue Obtain necessary approvals from CoDA, Global Compliance and account officers for KYC MLRA Decision Memoranda and...

    15 hours ago from Mitsubishi UFJ Financial Group

  • Compliance Testing -Vice President

    MUFG - New York City, NY

    group. *Monitor the level of compliance risk, compliance issues and compliance weakness by reviewing ... risk. *Coordinate with the business units and Compliance Officers/BLCOs to ensure the Risk Assessment is applied...

    13 days ago from Mitsubishi UFJ Financial Group

  • Government and Political Activity Compliance Officer

    Leading Global Financial Services Firm - New York City, NY

    The Government and Political Activity Compliance Officer reports to the Global Head of Anti-Corruption and Government ... Responsibilities The Government and Political Activity Compliance Officer will: - Execute various aspects of...

    1 day ago from IvyExec

  • In-House Counsel Jobs-Jdhuntr-14810 Chief Compliance Officer, Broker-Dealer

    In-house Counsel Jobs | Jdhuntr - New York City, NY

    In-House Counsel Jobs-Jdhuntr-14810 Chief Compliance Officer, Broker-Dealer, New York, NY To apply click here ... professionals. We are seeking to fill the position of Chief Compliance Officer (CCO) of the company, company’s...

    20 hours ago from BullhornReach.com

  • Senior Compliance Officer- Latam Ethics Attorney -

    Jasper Media - New York City, NY

    Senior Vice President/Ethics reports to a Director/Ethics Officer and ultimately to Chief Ethics Officer within Global ... Identify and report trends, significant matters and compliance issues to senior management; Develop...

    5 days ago from ZipRecruiter

  • Compliance Associate

    Robert Half International - New York City, NY

    obert Half Financial Services is currently recruiting for a Compliance Associate within Brokerage. Our client requires ... Summary: The Compliance Associate will report to the Chief Compliance Officer (CCO) and will be involved with a broad...

    5 days ago from eFinancial Careers

  • Deputy / Chief Compliance Officer

    Compliance Search Group - New York City, NY

    A wealth management practice seeks a Deputy/Chief Compliance Officer who will be responsible for combining expertise, ... of Compliance professionals ranging from staff levels to Chief Compliance Officers with the nation's top-tier...

    30+ days ago from The Ladders