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Compliance Officer jobs - Purchase, NY

Viewing 1 - 10 of 5,871 jobs

  • Compliance Officer Fixed Income

    Citi - New York City, NY

    The Compliance Officer position will report to the Compliance Director who covers the municipal securities ... Office, Risk, Operations, Technology, Finance, and other Compliance areas. Qualifications * Bachelor's degree...

    28 days ago from Citi

  • Investment Management Compliance Officer

    Compliance Search Group - New York City, NY

    Management Compliance but will work daily with the Chief Compliance Officer Responsibilities: • Oversight of the ... investment adviser to enhance the Chief Compliance Officer’s 38a-1 and 206(4)-7 annual certification(s) • Work...

    4 days ago from eFinancial Careers

  • Compliance Officer - Hedge Fund

    Compliance Search Group - Norwalk, CT

    Compliance Officer- Hedge Fund An Alternative investments firm seeks a Compliance Officer Professional will be ... of Compliance professionals ranging from staff levels to Chief Compliance Officers with the nation's top-tier...

    27 days ago from The Ladders

  • VP/Director Fixed Income Compliance Officer

    Infinity Consulting Solutions - New York City, NY

    Fixed Income Compliance VP/Director Responsibilities: Primary responsibilities are responding to compliance inquiries fr ... Responsibilities Contd: Train Capital Markets Personnel on Compliance Matters Conduct training on various compliance/reg...

    7 days ago from CareerBuilder

  • Compliance Officer

    Financial Services - Greenwich, CT

    A top broker-dealer in Greenwich, CT is seeing a Compliance Officer with 4-10 years experience with the SEC, FINRA, ... District of Columbia or appropriately registered compliance officer (i.e. at least a Series 24 and/or Series 3...

    13 days ago from ZipRecruiter

  • Senior Compliance Officer Equities

    Citi - New York City, NY

    Description The position is for a Product Compliance Officer within Citi's Institutional Clients Group (ICG), supporting ... providing compliance guidance and administering the Firm's Compliance policies/procedures in a timely manner.

    28 days ago from Citi

  • Compliance Officer - Buy Side

    Efinancial Careers - New York City, NY

    compliance matters • Assisting with updates to compliance policies and procedures • Monitoring records retention ... authorities • Assisting with the firm compliance reviews • Assisting with regulatory and compliance research •...

    7 days ago from eFinancial Careers

  • AML Global Risk Compliance Officer - Director

    Access Staffing - New York City, NY

    Knowledge/ Experience required 12 + yearsexperience in AML, Risk Management or Compliance experience in the banking sect ... Strong understanding of US Regulatory framework and related compliance/ risk management/regulatory experience Leadership...

    19 days ago from The Ladders

  • Chief AML Compliance Officer

    Efinancial Careers - New York City, NY

    • Provide backup to general AML compliance functions such as surveillance reviews, section 312 reviews and due ... Officer for their Anti-Money Laundering Division. The Successful Candidate will report to the Chief Compliance...

    12 days ago from eFinancial Careers

  • Compliance Officer

    Robert Half International - New York City, NY

    Officer with experience at an Asset Management firm. The Compliance Officer will review and analyze sales literature ... work very closely with Business Development. Description - Compliance Officer will review and analyze sales literature...

    13 days ago from eFinancial Careers

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