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Senior Compliance Officer jobs - New York, NY

Viewing 1 - 10 of 3,170 jobs

  • Senior Compliance Officer Equities (Multi Asset Group)

    Citi - New York City, NY

    updating supervisory documents and processes to ensure compliance with regulatory requirements and internal firm ... with the businesses they support, providing compliance guidance and administering the Firm's Compliance...

    10 days ago from Citi

  • Senior Compliance Officer Control Group Advisory

    Citi - New York City, NY

    This position entails a high degree of interaction with Senior Management and requires excellent analytical, ... seating arrangements and floor access. * Liaise with senior management, when necessary, to address Information...

    10 days ago from Citi

  • Chief Compliance Officer for the Americas

    MUFG - New York City, NY

    group. Position Summary The Chief Compliance Officer, BTMU Americas is responsible for directing and ... of directors. Manage relationships with senior leaders to ensure they are made aware of compliance environment as well...

    30+ days ago from Mitsubishi UFJ Financial Group

  • Global Sanctions Sr. Compliance Officer Sanctions Regulatory

    Citi - Long Island City, NY

    Regulatory for all matters related to OFAC regulatory compliance (e.g., escalations, reporting, investigations, ... Regulatory Compliance within Global Sanctions and AB&C Compliance. Specific responsibilities include: * Provide...

    5 days ago from Citi

  • Senior Compliance Officer Global FIU Business Coordinator

    Citi - Long Island City, NY

    the activities of the Regional FIUs as they relate to compliance reviews of certain high risk clients and certain ... Island City * Education: Bachelor's Degree * Job Function: Compliance and Control * Travel Time: Yes, 10 % of the Time...

    6 days ago from Citi

  • Internal Audit Non Financial Services Senior Associate (5760347)

    PwC - Florham Park, NJ

    co-sourcing and Sarbanes-Oxley compliance services. We also provide IA Performance Improvement services including ... Internal Audit directors, Chief Compliance officers, Audit Committees and Risk Management personnel. Demonstrates...

    15 days ago from PwC

  • Senior Compliance Officer

    Michael Page International - US - Manhattan, NY

    Services Institution. Description The Broker/Dealer Senior Compliance Officer is responsible for implementing ... and fixed income desks. Profile The successful Senior Compliance Officer will demonstrate the following:...

    30+ days ago from eFinancial Careers

  • Senior Compliance Officer Fair Lending

    Citi - Long Island City, NY

    has responsibility for the enterprise-wide fair lending Compliance program that spans across Citi’s US lending ... * Education: Master's Degree * Job Function: Compliance and Control * Travel Time: Yes, 10 % of the Time * Job...

    9 days ago from Citi

  • Senior Equity Compliance Officer

    Nomura Securities International - New York City, NY

    10b-18. Experience with operational and financial compliance matters such as short interest reporting, ... and management personnel. Develop, enhance, and implement compliance and supervisory policies and procedures.

    28 days ago from OneWire

  • Internal Audit Financial Services Senior Associate (5761004)

    PwC - Florham Park, NJ

    co-sourcing and Sarbanes-Oxley compliance services. We also provide IA Performance Improvement services including ... Internal Audit directors, Chief Compliance officers, Audit Committees and Risk Management personnel. Demonstrates...

    15 days ago from PwC

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