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Senior Compliance Officer jobs - Edison, NJ

Viewing 1 - 10 of 2,608 jobs

  • Senior Compliance Officer

    Compliance Search Group - Red Bank, NJ

    a Compliance Officer, whom will report to the CCO. The Compliance Officer should have an understanding of the ... with investment adviser compliance and/or investment company compliance, and broker dealer compliance, (candidates...

    1 day ago from The Ladders

  • Senior Compliance Officer - Mutual Fund Broker-Dealer

    Compliance Search Group - New York City, NY

    management in excess of $100 billion is seeking a Senior Compliance Professional whom will be responsible for ... monitor the business units’ performance with compliance, and alert management to compliance gaps and issues; ·...

    30+ days ago from The Ladders

  • Technical Trading Compliance Officer

    Investment Technology Group - New York City, NY

    of the appropriate Senior members in Compliance or Senior Management of the Firm. Key Responsibilities: 1. ... Organizations (“SRO”). The Trading Compliance Officer will compile applicable data, e.g., firm and customer...

    16 days ago from OneWire

  • Senior Compliance Officer - Market Surveillance

    Compliance Search Group - New York City, NY

    A Major Global bank seeks a Senior Compliance Officer, Market Surveillance who will be responsible for providing ... in FX Sales and Trading, capital Markets, trading compliance, securities trading or regulation. · Strong...

    30+ 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...

    30+ days ago from OneWire

  • Sr. Director, Compliance

    Regeneron Pharmaceuticals - Irvington, NY

    Counsel, Compliance & Investigations will assist the Chief Compliance Officer and Compliance Department in executing ... overseeing all compliance investigations. Additionally, the Senior Director, Assistant General Counsel, Compliance &...

    18 days ago from Biospace

  • Senior Compliance Officer - Retail Surveillance

    Compliance Search Group - New York City, NY

    A major global bank is seeking a Senior Compliance Officer, specifically in Retail Surveillance. Retail Surveillance ... the analyst will be responsible for working with Product Compliance, technology, business supervisors and Branch...

    30+ days ago from The Ladders

  • Compliance Officer Job

    Bloomberg - Entertainment and Media Industry - Princeton, NJ

    Regulatory Compliance Team is seeking a compliance officer to become a key team member to assist in enforcing ... offices. • Collaborate with the Senior Compliance officer to expand our policies to adapt to BI strategic...

    30+ days ago from VelvetJobs

  • Compliance Officer - Compl Advisory Svcs

    Apollo Search Partners - Mount Laurel, NJ

    Compliance Program directed through the Chief Compliance Officer and Director-level leadership of Compliance ... presentations, and compliance updates to senior management and the Boards of Directors as needed. • Interfacing...

    16 days ago from ZipRecruiter

  • Compliance Trade Support Officer

    Asset Management Firm - New York City, NY

    Job Description: Senior Compliance Associate Prestigious New York based Asset Management firm is seeking an experienced ... of Charles River Compliance Master and/or Bloomberg Compliance a plus. Must have strong communication and Microsoft...

    5 days ago from ZipRecruiter