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Compliance Officer jobs - White Plains, NY

Viewing 1 - 10 of 1,115 jobs

  • Senior Compliance Officer Data Mining AML

    Citi - Long Island City, NY

    the industry. DMG partners closely with Global AML Compliance Testing, AML Advisory and Compliance Advisory to ... for testing. The Compliance Data Mining Analytics Officer will be responsible for planning, scoping, developing and...

    30+ days ago from Citi

  • Senior Compliance Officer Surveillance

    Citi - Jersey City, NJ

    Description Retail Surveillance provides compliance coverage for the Private Bank and Wealth Management business lines, ... the financial services industry preferably in securities compliance or Sales Practice experience working with a...

    30+ days ago from Citi

  • Compliance Officer ICG Testing

    Citi - Jersey City, NJ

    In addition to strong audit/compliance and analytical skills, the candidate should have a strong background and understa ... * Leading small to medium sized teams in audits/compliance reviews is a plus...

    30+ days ago from Citi

  • Senior Compliance Officer

    Russell Tobin & Associates - Stamford, CT

    research, sales and trading firm is looking for a Senior Compliance Officer for their Stamford, CT office. ... regulation Requirements: Minimum 5 years of experience in compliance Must have prior experience in Institutional...

    14 days ago from ZipRecruiter

  • Compliance Officer - Policies & Procedures

    Private Wealth & Asset Management Firm - Stamford, CT

    escription AG, a global financial services company, seeks a Compliance Officer to oversee the the policies and ... across business divisions documenting regional compliance procedures, including the development of a...

    14 days ago from IvyExec

  • Compliance Officer – Dodd Frank Testing

    Boutique Investment Bank - New York City, NY

    The Compliance Testing (CT) Officer will provide business management with an independent assessment of the control ... Prior extensive experience within a control function such as Compliance, audit/examination that would provide a strong u...

    28 days ago from IvyExec

  • Senior Compliance Officer

    Leading Financial Services Firm - Stamford, CT

    Responsibilities for Senior Compliance Officer: Provide compliance support for equity sales and trading desks, as ... industry regulation Qualifications for Senior Compliance Officer: Minimum 5 years of experience in compliance Must...

    23 days ago from IvyExec

  • Compliance Officer- Managed Investments

    Major International Bank - Stamford, CT

    Description Compliance Officer covering the North American Global Managed Investments (GMI) business within the Private ... S/he will report to the Head of GMI Compliance and will be responsible for the following: Providing support into busines...

    26 days ago from IvyExec

  • Senior Compliance Officer- Investment Banking & Research

    Human Resources Focused Consulting Firm - New York City, NY

    broker dealers. The responsibility of the IB and Research Compliance Officer is to provide primary compliance ... etc.). Specific tasks of the IB and Research Compliance Officer also include the following: Assist with...

    2 days ago from IvyExec

  • Senior Compliance Officer

    Human Resources Focused Consulting Firm - Stamford, CT

    progress towards achieving effective and sustainable Compliance Programs. Interact with divisional compliance ... in compliance or audit function Technical abilities with compliance regulations (Banking regulations preferred, with...

    30+ days ago from IvyExec

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