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Senior Compliance Officer jobs - New York, NY

Viewing 1 - 10 of 3,900 jobs

  • 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...

    2 days ago from PwC

  • 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...

    2 days 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...

    13 days ago from eFinancial Careers

  • Senior Compliance Officer - Commercial and Residential

    Compliance Search Group - New York City, NY

    Senior Compliance Officer- Commercial and Residential Lending A top commercial bank that offers an array of services, ... of Compliance professionals ranging from staff levels to Chief Compliance Officers with the nation's top-tier...

    8 hours ago from TheLadders.com

  • 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...

    9 days ago from eFinancial Careers

  • Senior Compliance Officer ICG Metrics

    Citi - Jersey City, NJ

    www.citigroup.com. 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...

    14 days ago from Citi

  • Senior Compliance Officer

    Bank In New York City - 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...

    10 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...

    5 days ago from IvyExec

  • Compliance Systems Testing Officer – Associate

    Mitsubishii UFJ Financial Group - New York City, NY

    document process flow(s), fully understand the IT compliance component, and document/analyze data in/output. ... are designed to test/evaluate key compliance systems and other bank systems/operations which have core compliance...

    9 days ago from Mitsubishii UFJ Financial Group

  • Senior Compliance Officer Surveillance

    Citi - Jersey City, NJ

    www.citigroup.com. 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...

    14 days ago from Citi

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