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Senior Compliance Officer jobs - Berkeley Heights, NJ

Viewing 1 - 10 of 3,493 jobs

  • Associate, Compliance & Conduct Officer

    Union Bank - New York City, NY

    and statistical analysis to identify potential compliance issues. Perform surveillance reviews. (60%) Support the ... information reporting (reports and metrics) for senior management and internal oversight committees. (10%) Support...

    11 days ago from Union Bank

  • Vice President, Corporate Compliance - Business Line Compliance Officer

    Mitsubishii UFJ Financial Group - New York City, NY

    compliance-related matters as outlined in the Compliance Officer/Compliance Liaison Officer Appointment Letter. ... compliance issues raised by bank regulators, IAOA and Compliance Testing. Coordinate the implementation of corrective...

    16 hours ago from Mitsubishii UFJ Financial Group

  • Senior Compliance Officer

    Efinancial Careers - New York City, NY

    14 a plus) Experience with all aspects of Broker/ Dealer compliance helpful. Responsibilities Include: Real time ... Dealer is seeking a Compliance Officer to oversee the Trading activities and manage Firm Risk and Regulatory...

    11 days ago from eFinancial Careers

  • Senior Compliance Officer, Investment Manager Due Diligence

    Efinancial Careers - New York City, NY

    Senior Compliance Officer, Investment Manager Due Diligence The role will be responsible for performing compliance due ... firm is looking to hire a Senior Compliance Officer with 7-10+ years of experience conducting operational...

    7 days ago from eFinancial Careers

  • Senior Compliance Officer ICG Metrics

    Citi - Jersey City, NJ Description The Compliance ICG Metrics Officer will work closely with the Directors of the ... As a senior member of Compliance, the candidate will collaborate with senior business and compliance leaders to design m...

    12 days ago from Citi

  • Corporate Finance Compliance Senior Associate (6156331)

    PwC - New York City, NY

    Position/Program Requirements: Minimum Years of Experience: 5 years of general broker dealer compliance Minimum Degree R ... achieving successful outcomes ability to assist the chief compliance officer with the review of client engagement...

    10 hours ago from PwC

  • Front Office- Senior Compliance Officer

    Rockwood Search Associates - New York City, NY

    tier Multi strategy hedge fund seeks a Front Office Senior Compliance Officer to monitor and offer guidance to ... Please put your Name and " Front Office- Senior Compliance Officerยด in the email subject line and...

    27 days ago from ZipRecruiter

  • Senior Compliance Officer

    Ny-based Bank - Finance Industry - New York City, NY

    * 8 plus years of compliance and/or regulatory experience, with knowledge of the financial service industry, regulatory ... of any necessary improvements. * Determine material non-compliance risks related to the company's relevant...

    8 days ago from VelvetJobs

  • Senior Compliance Officer

    Leading Financial Services Firm - New York City, NY

    team of compliance professionals: o Advising clients on compliance with the Securities Act, Securities Exchange Act, ... technology and technology infrastructure Perform other compliance-related responsibilities and special projects as...

    3 days ago from IvyExec

  • Senior Compliance Officer Surveillance

    Citi - Jersey City, NJ Description Retail Surveillance provides compliance coverage for the Private Bank and Wealth ... the analyst will be responsible for working with Product Compliance, technology, business supervisors and Branch...

    12 days ago from Citi

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