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Compliance Officer Jobs In New York City

10 matches | 1 - 10 displayed
  1  
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/
Feb 12,2018 USA-NY-New York City Compliance Officer
Compliance Officer
The candidate should be experienced Analyst/Associate.
Mar 22,2018 USA-NY-New York City Associate / Vp Commodities Compliance Officer
Associate / VP Commodities Compliance Officer
The candidate must have excellent academic credentials.
Mar 01,2018 USA-NY-New York City Securities Compliance Officer / White Collar Criminal Litigation Attorney
Securities Compliance Officer / White Collar Criminal Litigation Attorney
The candidate will provide day to day advice to the firm?s investments professionals to ensure compliance with applicable law and regulations. Should have 4+ years of current relevant experience with a big firm or top tier bo
Mar 18,2018 USA-NY-New York City Senior Compliance Officer
Senior Compliance Officer
The candidate work in Major Financial Institution.
Jul 06,2018 USA-NY-New York City Chief Compliance Officer (Based in NY or Boston) - USA-NY-New York City
Looking for senior compliance professional with 10 plus years of experience at a complex organization. Preference for those who have worked at insurance or employee benefits firms. The ideal candidate will have leadership qualities as they will be interfacing with senior management regularly and man
Jun 20,2018 USA-NY-New York City ATTORNEY/ COMPLIANCE OFFICER for Global Investment Management Firm hide this posting
ATTORNEY/ COMPLIANCE OFFICER for Global Investment Management Firm hide this posting
The Bachrach Group
?
New York
NY
Job #688740866
Attorney/ Compliance Officer for Global Investment Management Firm hide this posting An experienced Compliance Officer to support and assist the National Head of Risk
Jun 28,2018 USA-NY-New York City Compliance Officer
About Our ClientInvestment management firm that employs some of the most talented traders in the market, executing a diverse range of strategies. It is the most active participant in a number of exchange-traded products, contributing significant liquidity to both European and US markets. The company
Jun 29,2018 USA-NY-New York City Compliance Officer
Compliance Officer
Page Group
?
New York
NY
Job #693975975
The role is likely to suit a compliance professional whom has experience related to proprietary trading and/or market making and is looking to develop further within a growing organisation. Experience dealing with regulators is highly prefer

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