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Compliance Officer jobs - New York, NY

Viewing 61 - 70 of 6,273 jobs

  • Junior Compliance Training Data Analyst

    Mitsubishii UFJ Financial Group - New York City, NY

    data base related support of the Compliance Training Officer (CTO) in executing compliance and non-compliance training ... policy and procedure. (20%) • Work with entity Compliance Officers to identify specified scope of targeted training...

    30+ days ago from Mitsubishii UFJ Financial Group

  • Information Security Risk Officer - Capital Markets

    Eden Technologies - New York City, NY

    data normalization, and regular exception reporting. The officer will also be responsible for the review and analysis ... assessments to assess internal security procedures and compliance requirements. Work with relevant internal IT...

    3 days ago from Dice

  • Asset & Wealth Management Regulatory Compliance Officer

    Compliance Search Group - New York City, NY

    Asset and Wealth Management Regulatory Compliance Officer Our client, a top-tier global financial services firm, seeks a ... their Wealth and Asset Management Division. The Compliance Officer is to provide advisory Compliance support relating...

    19 days ago from The Ladders

  • Internal Audit Financial Services Senior Associate (5761004)

    PwC - Florham Park, NJ

    co-sourcing and Sarbanes-Oxley compliance services. We also provide IA Performance Improvement services including ... Internal Audit directors, Chief Compliance officers, Audit Committees and Risk Management personnel. Demonstrates...

    30+ days ago from PwC

  • Financial Crimes Compliance Officer- Associate Director

    Human Resources Focused Consulting Firm - New York City, NY

    financial services firm seeks a Financial Crimes Compliance Officer- Associate Director who will be responsible for ... Terrorist Financing ( AML/CTF ) Anti-Bribery Compliance ( ABC ) Program across institutional business...

    2 days ago from IvyExec

  • Compliance Officer

    Hedge Fund - Finance Industry - New York City, NY

    Qualifications * 4-6 years commodities compliance * Possible candidate pool coming from ICE (IntercontinentalExchange), ... * Needs someone who understands the products, as well as Compliance issues associated with these products *...

    9 days ago from VelvetJobs

  • Front Office- Senior Compliance Officer

    Rockwood Search Associates - New York City, NY

    tier Multi strategy hedge fund seeks a Front Office Senior Compliance Officer to monitor and offer guidance to ... Please put your Name and " Front Office- Senior Compliance Officer´ in the email subject line and attach...

    21 days ago from ZipRecruiter

  • Futures Compliance Officer

    Major European Financial Services Company - New York City, NY

    and subpoena request Develop and implement various compliance training programs and/or sessions Conduct reviews ... of various Newedge derivative trading desks to ensure compliance with regulatory rules, Newedge policies, and...

    4 days ago from IvyExec

  • Compliance Officer

    Premier Hedge Fund - Finance Industry - New York City, NY

    Assisting in the conduct of two annual compliance reviews: the NFA Self-Examination Checklist and the ... Minimum of 5 years as a Compliance Officer of an SEC-registered investment adviser; must have strong...

    9 days ago from VelvetJobs

  • Compliance Officer....Volcker Rule.......NYC

    Choice Associates - New York City, NY

    should meet the following criteria: Act as the designated Compliance point person for the bank’s Volcker Rule working ... Desired Skills: • Bachelors degree; • 10 plus years compliance experience with major investment or commercial bank or...

    22 days ago from ZipRecruiter

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