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Compliance Officer jobs - New York, NY

Viewing 81 - 90 of 6,707 jobs

  • Associate, Regulatory Change Management Compliance (Swap Dealership)

    Mitsubishii UFJ Financial Group - New York City, NY

    program. Assist the regulatory change management compliance officer to analyze the applicability and impact of ... compliance requirements – global swap dealer compliance program; swap dealer registration maintenance; policy and...

    7 days ago from Mitsubishii UFJ Financial Group

  • Associate, Regulatory Change Management Compliance (Swap Dealership)

    Union Bank - New York City, NY

    Assist the regulatory change management compliance officer to analyze the applicability and impact of regulatory ... • Provide support for Dodd-Frank compliance requirements – global swap dealer compliance program; swap...

    7 days ago from Union Bank

  • Senior Compliance Officer General

    Citi - Jersey City, NJ

    practices across Citi, partnering with colleagues across Compliance, enterprise and sector risk management functions, ... and governance. The successful candidate will represent Compliance on enterprise-wide and Institutional Clients...

    2 days ago from Citi

  • VP-Senior Credit Officer

    Moodys - New York City, NY

    is available at www.moodys.com This Group Credit Officer (GCO) will monitor credit developments for a large ... for Securities Trading. Employment is contingent upon compliance with the Policy, including remediation of positions...

    6 days ago from Job.com

  • Compliance Risk Assessment Officer

    New York City, NY

    Our client is seeking a Compliance Risk Assessment Officer in New York, NY.Requirements:Minimum of 3-5 years ... and full understanding of all significant regulatory compliance requirements applicable to assigned...

    3 days ago from IvyExec

  • Wealth Management Compliance Operations Officer

    Morgan Stanley - Finance Industry - New York City, NY

    This position will report into the Wealth Management Compliance Chief Operating Officer ... of responsibilities include: -Coordinate with WM Compliance Operations Officer to run strategic projects for the...

    4 hours ago from VelvetJobs

  • IB Compliance Monitoring & Testing - Desk Reviews

    Barclays - New York City, NY

    scope, budget and testing approach * Performing on-site compliance reviews to: * Validate compliance against ... value added compliance risk reviews * Provide guidance on compliance and supervisory findings related to review areas...

    4 days ago from IHispano

  • Senior Sanctions Compliance Officer

    HSBC - New York City, NY

    **Customers / Stakeholders ** * Acts as a liaison between global business lines and Financial Crimes Compliance ... EEO/AA/Minorities/Women/Disability/Veterans *Job Field:* Legal & Compliance *Primary Location:* North America-United Sta...

    1 day ago from A Mighty River

  • Compliance Officer

    Bank/broker Dealer - Finance Industry - Jersey City, NJ

    degree with experience in capital markets or securities compliance. * The candidate should have strong regulatory, ... trade exception reports and trading activity to ensure compliance with appropriate rules, regulations, and firm...

    4 hours ago from VelvetJobs

  • Compliance Manager

    Prudential - Newark, NJ

    for this Compliance Manager will be performed across the Compliance Department. Specific responsibilities include: ... * A college degree is preferred, but not required Compliance *Compliance Manager* *New Jersey-Newark*...

    5 days ago from IHispano

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