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Compliance Officer jobs - New York City, NY

Viewing 1 - 10 of 4,756 jobs

  • Senior Compliance Officer - Retail Surveillance

    Compliance Search Group - New York, NY

    A major global bank is seeking a Senior Compliance Officer, specifically in Retail Surveillance. Retail Surveillance ... the analyst will be responsible for working with Product Compliance, technology, business supervisors and Branch...

    4 days ago from The Ladders

  • Compliance Officer Testing Consumer Commercial Banking

    Citi - Long Island City, NY

    and activities, some complex in accordance with the Global Compliance Testing standards. Complete assigned testing ... review schedule Complete key projects as assigned by the Compliance Testing ManagementQualifications BA/BS or...

    23 days ago from Citi

  • Compliance Officer - Surveillance

    Compliance Search Group - New York, NY

    A major global bank is seeking a Surveillance Compliance Officer. The primary responsibility of this position is to ... for working with colleagues in Retail Investments Compliance, technology, business supervisors and Branch...

    4 days ago from The Ladders

  • PMO - Compliance & Regulatory / NYC

    Atyeti - New York, NY

    Recognition Inc. 500 5000 Honoree Company for 2012 , 2013, 2014 and 2015 Atyeti Ranks No. 270 on the 2012 Inc. 500 List 2012 NJ 50 Fastest Growing Companies Please email resumes to subashri.sankaran(at) Call 609-921-8494 Client...

    6 hours ago from Dice

  • Compliance Associate

    Robert Half Finance & Accounting - New York, NY

    Ref ID: 02944-104064 Classification: Compliance Officer Compensation: DOE Robert Half Financial Services is recruiting ... experience in corporate & investment banking areas. The Compliance Associate will review trade reports and escalate...

    9 days ago from CareerBuilder

  • US Capital Markets Trade Compliance Officer

    CIBC Group of Companies - New York, NY

    based surveillance reports; · Ability to manage Compliance technology projects; · Understanding of U.S. regulatory landscape, with a familiarity with the Volcker Rule and CFTC/SEC swaps rules · Strong interpersonal skills in order to...

    20 days ago from CareerArc

  • Equity Compliance Officer

    Nomura Securities International - New York, NY

    the Chi-X businesses. Position Overview: The Equity Compliance Officer position will cover ATS, Electronic ... Compliance Officer. Responsibilities: Provide real-time compliance advice to senior management and sales trading...

    30+ days ago from OneWire

  • Chief Compliance Officer / General Counsel - Hedge Fund

    Bergan Recruiting - New York, NY

    the 3 categories: Real Estate, Mortgages, Fund Regulatory/Compliance * Self motivated, high levels of integrity * ... (worked in finance before law school or vice versa). Chief Compliance Officer to advise on SEC, FHA/HUD, and GNMA...

    30+ days ago from eFinancial Careers

  • Senior Compliance Officer - Market Surveillance

    Compliance Search Group - New York, NY

    A Major Global bank seeks a Senior Compliance Officer, Market Surveillance who will be responsible for providing ... candidate will work alongside specialists in Product Compliance, the sales and trading business, technology and...

    4 days ago from The Ladders

  • Technical Trading Compliance Officer

    Investment Technology Group - New York, NY

    issues and escalate potential risk issues to the Chief Compliance Officer while offering constructive input and ... Organizations (“SRO”). The Trading Compliance Officer will compile applicable data, e.g., firm and customer...

    30+ days ago from OneWire