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Compliance Officer jobs - New York, NY

Viewing 81 - 90 of 3,425 jobs

  • Monitoring & Surveillance Compliance Associate Director

    Compliance Search Group - New York City, NY

    in creation of Compliance Risk Assessments and Compliance Plans, identifying key risks and control weaknesses that ... which may be required to support the compliance program • Participation in special projects assigned to Compliance...

    30+ days ago from The Ladders

  • Bank Group Compliance Testing Vice President

    Compliance Search Group - New York City, NY

    firm is seeking a Compliance Testing Officer to execute compliance testing covering bank regulations including ... regulations as applicable. Responsibilities: -Perform compliance testing with applicable federal banking rules and...

    30+ days ago from The Ladders

  • Regulatory Financial Reporting

    Compliance Search Group - Jersey City, NJ

    compliance support to the Broker-dealers’ Chief Financial Officer, Controller and Regulatory Control Group. Additional ... dealer compliance experience -Knowledgeable in compliance issues associated with back office operations (Buy Ins,...

    19 days ago from The Ladders

  • Project Manager

    Compliance Search Group - New York City, NY

    bank is seeking an Assist Senior Volcker Compliance Officer. The successful candidate will be involved with the ... responsibilities: • Coordinating with global Legal and Compliance officers, front office and shared service personnel...

    28 days ago from The Ladders

  • Compliance Officer - Policies & Procedures

    Linium - New York, NY

    Assist in the development and management/maintenance of a full suite of Compliance Department policies and procedures an ... Work with Compliance Department training team to develop training materials that accurately reflect Compliance Departmen...

    3 days ago from Linium

  • Employee Trading Compliance Officer

    Infinity Consulting Solutions - New York, NY

    A major financial institution is looking for an Employee Trading Compliance Officer. This Compliance Officer will handle all Personal Account Dealings for the firm. 3 plus years of compliance experience.

    18 days ago from Infinity Consulting Solutions

  • Compliance Officer Equities Compliance Department Derivatives and Multi Asset Group Sales and Trading

    Citi - New York, NY

    providing compliance guidance and administering the Firm's Compliance policies/procedures in a timely manner. Primary ... States,New York,New YorkEducation: Bachelor's DegreeJob Function: Compliance and ControlTravel Time: NoJob ID:...

    30+ days ago from Citi

  • Junior Compliance Officer

    Related - New York, NY

    Ensuring that the steps in the firm’s compliance process – risk identification, establishing policies ... and are undertaken timely. Ensuring that compliance policies and procedures are comprehensive, robust, and...

    30+ days ago from Related

  • Market Compliance Officer

    Linium - New York, NY

    At least 5 7 years of experience in a broker dealer and capital markets financial institution environment directly related to securities and banking laws, rules and regulations BA required Client Series 7 and 63 licenses Excellent...

    30+ days ago from Linium

  • Senior Associate - Compliance Officer

    Robert Half Finance & Accounting - New York, NY

    Officer with experience at an Asset Management firm. The Compliance Officer will review sales literature and ... closely with the Business Development team. o Compliance Officer will review and analyze sales literature and...

    30+ days ago from Robert Half Finance & Accounting