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Compliance Officer Jobs In New York City

11 matches | 1 - 11 displayed
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date  location  job detail
Jan 30,2016 USA-NY-New York City Global Chief Compliance Officer- Broker Dealer
Global Chief Compliance Officer- Broker Dealer
The candidate will be point of contact for all exams/inquiries and audits. Will work on cover all entities and manage staff across business lines. Provide advisory assistance to sales and trading. Oversight AML/KYC. Upgrade platform (policies, testing/
Jul 04,2022 USA-NY-New York City Risk and Compliance Manager - USA-NY-New York City
New York City office of our client seeks risk and compliance manager with 5 years of working in risk and regulatory compliance risk and regulatory compliance within your industry (including thorough knowledge of the key regulations and regulatory bodies for your industry e.g., CCPA, HIPAA, Alpha Reg
Jul 04,2022 USA-NJ-Florham Park Risk and Compliance Manager - USA-NJ-Florham Park
Florham Park office of our client seeks risk and compliance manager with 5+ years of experience working in risk and regulatory compliance risk and regulatory compliance within industry (including thorough knowledge of the key regulations and regulatory bodies for industry e.g., CCPA, HIPAA, Alpha Re
Jul 04,2022 USA-NJ-Jersey City Director /Senior Swap Dealer Compliance Officer - USA-NJ-Jersey City
Jersey City office of our client seeks a director /senior swap dealer compliance officer with 10-15 years of investment banking experience with a broker-dealer and/or related legal or regulatory experience ( e.g. former Securities and Exchange Commission). The candidate will organize and contribute
Jul 04,2022 USA-NY-New York City Compliance Officer Investment Bank Compliance Origination and Advisory Assistant Vice President - USA-NY-New York City
New York City office of our client seeks a compliance officer investment bank compliance origination and advisory assistant vice president with relevant legal experience. Relevant securities experience, preferably in a global investment bank or law firm, and similar experience with a regulator will
Jul 04,2022 USA-NY-New York City Compliance Officer Assistant Vice President - USA-NY-New York City
New York City office of our client seeks a compliance officer assistant vice president with relevant legal experience. Experience providing compliance or legal coverage of sales or trading desk at a broker/dealer or working on or providing trade/sales support to such a desk is required. The candidat
Jul 04,2022 USA-NY-New York City Compliance and Control Senior Group Manager - USA-NY-New York City
New York City office of our client seeks compliance and control senior group manager with 12-15 years of total work experience, with 3-5 years of management experience, preferred. Experience is required with Reg E, fair lending, mortgage origination, UDAAP, Community Reinvestment Act, Reg Z, and con
Jul 04,2022 USA-NJ-Jersey City Senior Group Manager, Compliance and Control - USA-NJ-Jersey City
office of our client seeks a senior group manager, compliance and control with 12-15 years of total work experience, with 3-5 years of management experience, preferred. The candidate manages consumer compliance professional staff responsible for overseeing and managing highly complex, specialized ad
Jun 23,2022 USA-NY-New York City FID Compliance Officer - USA-NY-New York City
New York City office of our client seeks an FID compliance officer with 5-7 years of credit corporates and fixed income compliance or legal experience. The candidate will provide Compliance support for Credit Corporates Sales & Trading desks, as well as related support functions. Communicate with se
Jun 23,2022 USA-NY-New York City Global ESG Compliance Advisory, Senior Compliance Officer (Legal and Compliance) - USA-NY-New York City
New York City office of our client seeks a global ECG compliance advisory, senior compliance officer (legal and compliance) with 10 years of prior compliance, legal or other work experience with a large international financial institution and/or at a law firm, regulator or management consultancy fir
Jun 23,2022 USA-NY-New York City Anti-Tax Evasion Compliance Officer - USA-NY-New York City
New York City office of our client seeks an anti-tax evasion compliance officer with 6 years of relevant experience, preferably at a large/complex financial institution, law firm, accounting firm, or government/regulatory body. The candidate will provide advice and guidance to all business lines in
11 matches | 1 - 11 displayed
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