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Compliance Officer jobs - New York, NY

Viewing 71 - 80 of 5,534 jobs

  • Chief Compliance Officer-FINRA MSRB and NFA Member Firm

    Celadon Financial Group - Chatham, NJ

    visit us at www.celadonfinancial.com Chief Compliance Officer - FINRA MSRB and NFA Member Firm, Chatham NJ ... full service, broker-dealer is seeking an experienced Chief Compliance and AML Officer with extensive compliance...

    20 days ago from ZipRecruiter

  • Sanctions Compliance Officer

    Compliance Search Group - New York City, NY

    A global bank/broker dealer seeks a Sanctions Compliance Officer who will be responsible for maintaining day-to-day ... Compliance professionals ranging from staff levels to Chief Compliance Officers with the nation's top-tier firms.

    30+ days ago from The Ladders

  • MBSC Chief Compliance Officer - Compliance Manager II

    BNY Mellon - New York City, NY

    will be Compliance Manager for BNY Mellon and Chief Compliance Officer for a SEC-registered investment adviser ... US Distribution-HR11424 Requisition Number: 1500594 MBSC Chief Compliance Officer - Compliance Manager II - New York,...

    20 days ago from eFinancial Careers

  • Director of Finance / CFO

    C&A Resources - New York, NY

    for the firm and its parent company. Responsible for compliance with all federal and state bankingmoney transmitter regulations and the preparation, production of, and filing of regulatory reporting with respect to such regulations. Ensure...

    20 days ago from Dice

  • Personal Account Trading Compliance Officer - AVP & VP

    Drum Associates - New York City, NY

    Compliance Officer. This role will be part of the compliance team responsible for monitoring employee account ... potential regulatory violations, and ensuring overall compliance with pertinent FINRA regulations. The ideal...

    5 days ago from The Ladders

  • Equity Derivatives Compliance Officer

    Michael Page International - US - Manhattan, NY

    Description Responsibilities will involve all aspects of compliance support, including advising and providing ... Assess regulatory/compliance controls related to areas of coverage...

    30+ days ago from eFinancial Careers

  • PMO Consultant

    Hatstand US - Jersey City, NJ

    bank. This is an on-going long-term project examining compliance around the build and deployment of applications ... Trading Systems and Connectivity, Data Management and Risk, Compliance and Regulation. We work closely with our clients...

    1 day ago from Dice

  • Chief Compliance Officer Americas

    Forum Group - New York City, NY

    (cash management, correspondent banking) and candidate compliance expertise in these product areas. Strong SME ... their Americas Compliance division, looking for a strong leader to manage and run a first in class Compliance...

    30+ days ago from eFinancial Careers

  • IT Security Officer

    Riviera Consulting - Brooklyn, NY

    The Regional Information Security OfficerGovernance, Risk Compliance (GRC) Analyst focuses on facilitating the review, ... Demonstrate a strong understanding of various compliance and regulatory areas (e.g. HIPPA, Security) If...

    3 days ago from Dice

  • Director, Technology Governance and Compliance

    Fild - Manhattan, NY

    WHAT YOU NEED: Extensive experience working with governance, internal controls and compliance activities including BCP/D ... to analyze, communicate, articulate governance and compliance trends and program requirements Industry certifications...

    6 days ago from ZipRecruiter