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Compliance Officer jobs - New York, NY

Viewing 21 - 30 of 4,322 jobs

  • Compliance Officer - Surveillance

    Compliance Search Group - New York City, NY

    A Major Global Bank seeks a Compliance Officer who will be responsible for surveillance, regulatory inquiry response and ... with regulatory rules, partnering with product compliance to resolve questionable trading patterns, and...

    30+ days ago from The Ladders

  • Compliance Trade Support Officer

    Asset Management Firm - New York City, NY

    Review client participation in equity IPOs and similar new issues for compliance with FINRA Rules 5130/5131, Regulation ... of Charles River Compliance Master and/or Bloomberg Compliance a plus. Must have strong communication and Microsoft...

    3 days ago from ZipRecruiter

  • Compliance Analyst

    Bessemer Trust - New York, NY

    Compliance Officer This individual will be part of a team that is responsible for administering the compliance programs ... regulated financial institution preferably in a regulatory, compliance, operational risk, audit, and or other control...

    30+ days ago from Just Jobs

  • Compliance Analyst

    Guidepoint Global - New York City, NY

    DescriptionThe Compliance Analyst is responsible for monitoring employee and client adherence to the firm’s Compliance ... Europe and Asia. The position will report to the Chief Compliance Officer and essential duties will include:Assisting...

    16 days ago from

  • Compliance Officer for Private Equity Fund - NYC

    Atlantic Group - New York City, NY

    Open Position: Compliance Associate – Legal & Compliance Location: New York, NY We seek a highly-motivated Compliance ... Legal & Compliance team. Reporting to the firms Chief Compliance Officer. Responsibilities include but are not...

    4 days ago from StartDate Labs

  • Chief Compliance Officer-FINRA MSRB and NFA Member Firm

    Celadon Financial Group - Chatham, NJ

    Job Description: Chief Compliance Officer - FINRA MSRB and NFA Member Firm, Chatham NJ Established in 1986, an ... full service, broker-dealer is seeking an experienced Chief Compliance and AML Officer with extensive compliance...

    20 days ago from ZipRecruiter

  • Mortgage Loan Officer (MLO)

    PNC - Woodland Park, NJ

    Position Overview As a Mortgage Loan Officer within the PNC Mortgage organization, you will be based in Woodland Park, ... sell products and services; reviews documentation to ensure compliance. Manages customer pipeline for efficiency.

    18 days ago from PNC Bank

  • Healthcare Compliance Auditor

    Mjhs - Brooklyn, NY

    excellence. Responsibilities: Reporting to the Corporate Compliance Officer for MJHS and working collaboratively with ... of compliance principles and practices Certification in compliance or health-related specialized training; CHC is...

    30+ days ago from

  • Senior Manager, Control and Compliance - CGEP

    William J. Clinton - New York City, NY

    Develop, recommend, design, implement and monitor compliance programs within CGEP and its Enterprises. Perform ... gathers, verifies, and analyzes financial data, Ensures compliance with government policies, plans, procedures, laws...

    9 hours ago from StartDate Labs

  • Mandarin Compliance Associate

    Robert Half Finance & Accounting - New York City, NY

    speaking Compliance Associate will assist the Consumer Compliance Officer & CRA Officer with the formulation; ... 3. Communicate issues to Consumer Compliance Officer & CRA Officer in an effective manner. 4. Computer literate;...

    4 days ago from StartDate Labs