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Compliance Officer jobs - Roseland, NJ

Viewing 1 - 10 of 4,220 jobs

  • Chief Compliance Officer

    Compliance Search Group - New York City, NY

    An investment firm is seeking a Chief Compliance Officer to support their mission by being responsible for ... Requirements: Prior policy and compliance experience with an RIA, including at least 5 years supporting a compliance pro...

    22 days ago from eFinancial Careers

  • Compliance Officer

    Robert Half Finance & Accounting - New York City, NY

    Ref ID: 02944-104353 Classification: Compliance Officer Compensation: $99,000.99 to $121,000.99 per year THE COMPANY ... Communicate issues to the Consumer Compliance Officer and the Deputy BSA/OFAC Officer...

    4 days ago from StartDate Labs

  • Technical Trading Compliance Officer

    Investment Technology Group - New York City, 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...

    14 days ago from OneWire

  • Regulatory Compliance Officer

    Infinity Consulting Solutions - New York City, NY

    TheRegulatory Compliance Officer will support the Head of the Central RegulatoryCompliance Team, including assisting in ... and tracking and reporting on employees' completion Provide Compliance-related reporting to Head Office, as needed...

    20 days ago from StartDate Labs

  • Markets Compliance Officer - Credit (VP)

    Compliance Search Group - New York City, NY

    agencies and exchanges. Providing regulatory/compliance training as needed. • Working with the Markets Compliance team ... Ability to make, support and defend difficult and complex regulatory/compliance decisions in a fast-paced trading floor...

    27 days ago from The Ladders

  • Chief Compliance Officer

    Guggenheim Partners - New York City, NY

    effective compliance policies and procedures as well as compliance testing programs, conducting regular reviews; ... senior management and work with corporate legal and compliance, to provide compliance support for a range of...

    29 days ago from OneWire

  • Compliance Officer- U.S. Capital Markets

    CIBC Group of Companies - New York City, 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...

    12 days ago from CareerArc

  • Senior Compliance Officer - Mutual Fund Broker-Dealer

    Compliance Search Group - New York City, NY

    Significant mutual fund and/or investment adviser compliance experience is preferred ... with compliance, and alert management to compliance gaps and issues; · Draft and update the Written...

    30+ days ago from The Ladders

  • VP Supply Chain Operations

    Ss - Barnabas Health Systems - West Orange, NJ

    and ensure that corrective actions are initiated to ensure compliance and continuous improvement. Support the Supply Chain SVP in minimizing overall costs and maximizing the savings and benefits attributable to implementation of the Supply...

    7 hours ago from SS - Barnabas Health Systems

  • Compliance Officer

    Guggenheim Partners - New York City, NY

    Compliance Officer to join its team. Reporting to the Chief Compliance Officer of Guggenheim Partners Investment ... vehicle investor AML/KYC on-boarding. The Compliance Officer is located in our New York office. SKILLS &...

    30+ days ago from OneWire