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Senior Compliance Officer jobs - Edison, NJ

Viewing 1 - 10 of 1,718 jobs

  • 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...

    12 days ago from eFinancial Careers

  • Junior Business Line Compliance Officer, AVP

    MUFG - New York City, NY

    respectively Track regulatory changes impacting compliance programs, summarize changes and communicate changes to ... materials Minimum of 3-5 years of work experience in compliance and/or risk-management related fields. International...

    4 days ago from Mitsubishi UFJ Financial Group

  • Senior Compliance Associate

    Robert Half International - New York City, NY

    ROLE The Senior Compliance Associate will join the firm’s compliance team in the assessment, development, ... to providing SEC Exam support and outsourced Chief Compliance Officer (CCO) functions. Primary Responsibilities:...

    12 days ago from eFinancial Careers

  • Sr. Compliance Officer

    Green Key Resources - New York City, NY

    hedge fund advisor compliance program Examine and review compliance processes and produce reports and memos Oversee, ... regulatory reporting procedures Help to develop new compliance Assume responsibility for compliance calendar...

    6 days ago from eFinancial Careers


    BNP Paribas Investment Partners - New York City, NY

    Officer in our New York office. As a member of the Compliance team, the Senior Compliance Officer will be ... in maintaining, updating, developing and testing firm wide compliance policies and programs; managing compliance...

    17 days ago from eFinancial Careers

  • Senior Compliance Officer (Research)

    Private Research Institution - Newark, NJ

    Position Summary The Senior Compliance Officer, Research position will essentially establish an effective research ... and standard research contract terms. Demonstrated compliance with various areas of research compliance, such as:...

    13 days ago from IvyExec

  • Chief Compliance Officer - Investment Advisor

    Compliance Search Group - New York City, NY

    Chief Compliance Officer- Investment Advisor A large successful asset management firm seeks a Chief Compliance Officer ... compliance role(s), preferably as the Chief Compliance Officer or equivalent senior compliance experience with a focus...

    5 days ago from The Ladders

  • Senior Compliance Officer- Latam Ethics Attorney -

    Jasper Media - New York City, NY

    Senior Vice President/Ethics reports to a Director/Ethics Officer and ultimately to Chief Ethics Officer within Global ... Identify and report trends, significant matters and compliance issues to senior management; Develop...

    4 days ago from ZipRecruiter

  • Senior Compliance Officer

    Parsippany, NJ

    NJ office. Key Deliverables • Work with the Chief Compliance Officer to interpret new Advisers Act regulations ... reports. • Prepare materials for semi-annual Compliance Committee meetings (e.g., compliance reports, agendas,...

    6 days ago from IvyExec

  • Chief Compliance Officer

    Finance, Nyc - New York City, NY

    We are seeking to fill the position of Chief Compliance Officer (CCO) reporting directly to the Global Head of Brokerage ... -Monthly “Compliance Champions” meetings with senior leaders of the business -Timely maintenance of a Compliance...

    5 days ago from Finance, NYC