Compliance Officer jobs in New York, NY
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COMMERCIAL BROKER DEALER CHIEF COMPLIANCE OFFICER - SR. DIRECTOR
Promoting a culture of compliance and managed risk taking. Providing subject matter expertise and guidance on compliance with all applicable SEC and FINRA rules and regulations, including but not limited to anti-money laundering,...
| Company | Capital One |
|---|---|
| Address | New York, NY |
| Category | Accounting/Finance |
| Date Posted | 2 weeks ago See detail |
Commercial Broker Dealer Chief Compliance Officer - Sr. Director
Capital One
New York, NY
Promoting a culture of compliance and managed risk taking. Providing subject matter expertise and guidance on compliance with all applicable SEC and FINRA rules and regulations, including but not limited to anti-money laundering,...
2 weeks ago seen See more...
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AML-KYC Compliance Officer
Pear Core Solutions, Inc.
New York, NY
AML/KYC Compliance:Perform basic and enhanced due diligence KYC reviews for new and existing customers. Review incoming client documents in accordance with KYC/Anti-Money Laundering policies.Review and evaluate potential adverse i...
3 weeks ago seen See more...
SEF Compliance Surveillance Lead and Advisory Compliance Officer - Legal & Compliance
Bloomberg
New York, NY
Conduct trade surveillance monitoring, real-time market monitoring and investigations. Assess and interpret the relevance of applicable rules and regulations. Liaise with regulators, as well as BSEFs regulatory service provider....
a week ago seen See more...
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Chief Compliance Officer
Public
New York, NY
Serve as the Chief Compliance Officer and Anti-Money Laundering Officer of the Broker-Dealer, reporting to the Chief Administrative Officer of Public Holdings. Independently manage FINRA relationship, including all examinations an...
4 weeks ago seen See more...
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Senior Compliance Officer - Control Room & Employee Trading (Hybrid - New York)
York State Department Of Labor
New York, NY
Develop policies, systems and controls for the administration of Control Room functions with particular focus on Employee Trading and related monitoring and surveillance. Assist in the implementation of the firm's watch and restri...
4 weeks ago seen See more...
Assistant General Counsel and Compliance Officer
Nyc Careers
New York, NY
$97,187 - $140,000 a year
Agency: NYC HOUSING AUTHORITY Job type: Full-time Title Classification: No exam required Experience level: Manager Category: Legal Affairs....
a month ago seen See more...
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AML-KYC Compliance Officer
Ef Hutton
New York, NY
$120,000 - $200,000 a year
AML/KYC Compliance:. Perform basic and enhanced due diligence KYC reviews for new and existing customers. Review incoming client documents in accordance with KYC/Anti-Money Laundering policies. Review and evaluate potential advers...
a month ago seen See more...
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Chief Compliance Officer/ Chief Marketing Officer for Healthcare in USA
Epny.ai
New York, NY
Up to $2,000 a month
Minimum of 8 years of experience in senior or top-level positions in medical insurance companies or national government health/medical departments, with a deep understanding of the industry landscape and regulatory environment. Mi...
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Regulatory Compliance Officer
Hsbc
New York, NY
Interacting with and advising business and functional areas across multiple regions on regulatory requirements related to trading futures on US exchanges. Assisting with review and challenge on responses to regulatory inquires and...
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ESG Compliance Officer
Kohlberg Kravis Roberts & Co.
New York, NY
$130,000 - $150,000 a year
Support the development of an ESG Compliance matrix including areas such as Sustainable Investment, new regulations and ESG commitments made to clients. Develop processes, procedures and policies on key select ESG processes. Test...
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Compliance Officer-Swap Dealer/Security-Based Swap Dealer
Natixis North America Llc
New York, NY
$140,000 - $180,000 a year
Assist with providing daily compliance oversight and support to the Global Markets Derivatives sales and trading business, and key support functions such as Operations. Provide subject matter expertise on compliance related matter...
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Control Room Compliance Officer
Larson Maddox
New York, NY
Provide Firm Compliance policy guidance with respect to Information Barriers and Investment Banking Conflicts of Interest. Conduct training on the Firm's policies and procedures relating to Information Barriers. Monitor securities...
a month ago seen See more...
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Compliance Officer
Leerink Partners
New York, NY
Develop policies, systems and controls for the administration of control room function. Implementation, communication and maintenance of firm watch lists and restricted lists. Review and clearance of research reports containing wa...
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Health System Specialist (OIC Compliance Officer)
York State Department Of Labor
New York, NY
Duties include, but may not be limited to the following: Developing, recommending, and implementing Compliance and Integrity program goals for operational units within the local health care system. Performing local health care sys...
a month ago seen See more...
Program Analyst- Research Compliance Officer
York State Department Of Labor
New York, NY
Volunteer work helps build critical competencies, knowledge, and skills and can provide valuable training and experience that translates directly to paid employment. Applicants wishing to receive credit for such experience must in...
a month ago seen See more...
Executive Director & Clinical Compliance Officer
Weill Cornell Medicine
New York, NY
$225,400 - $262,500 a year
As required under NYC Human Rights Law Int 1208-2018 - Salary range for this role when Hired for NYC Offices. Provides strategic direction and oversight regarding all Clinical Compliance program matters. Manages the preparation an...
2 months ago seen See more...
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Senior Compliance Officer
Woori America Bank
New York, NY
$80,000 - $120,000 a year
401(k). Dental insurance. Employee discount. Health insurance. Life insurance. Paid time off. Referral program. Relocation assistance. Vision insurance. Monday to Friday. Will you, now or in the future, require sponsorship for emp...
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Compliance Officer - Vice President/Director
Pretium
New York, NY
Manage all aspects of the compliance program for the SEC-registered investment advisers, including the Code of Ethics, trade allocations, expense allocations, marketing regulations, annual review and restricted list. Act as point...
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Compliance Officer Asset Management VP #230916
Credit Suisse Group
New York, NY
Providing independent advice, challenge and control to the business' compliance risk-taking. Assisting in the administration, maintenance and improvement of the compliance policies, procedures and processes of CIG, and connecting...
2 months ago seen See more...
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Compliance Officer Asset Management VP
Credit Suisse
New York, NY
Providing independent advice, challenge and control to the business' compliance risk-taking. Assisting in the administration, maintenance and improvement of the compliance policies, procedures and processes of CIG, and connecting...
2 months ago seen See more...
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Compliance Officer / Brokerage Operation
Dub
New York, NY
Assist CCO with managing the administration of the broker dealer program. Assist with AML and CIP requirements for onboarding new customers. Assist with servicing client related requests/issues. Compile information required to sub...
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Deputy Chief Compliance Officer
Amalgamated Bank Of Ny
New York, NY
Monitor and ensure compliance with applicable banking laws, regulations, and guidelines. This includes staying up to date with changes in regulations and assessing their impact on the bank's operations. Work closely with regulator...
2 months ago seen See more...
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Chief Compliance Officer
Public.com
New York, NY
Serve as the Chief Compliance Officer and Anti-Money Laundering Officer of the Broker-Dealer, reporting to the Chief Administrative Officer of Public Holdings. Independently manage FINRA relationship, including all examinations an...
2 months ago seen See more...
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Compliance Officer (Korean Speaking)
Woori America Bank
New York, NY
$50,000 - $70,000 a year
401(k). Dental insurance. Employee discount. Health insurance. Life insurance. Paid time off. Referral program. Relocation assistance. Vision insurance. Monday to Friday. Will you, now or in the future, require sponsorship for emp...
2 months ago seen See more...
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Compliance and Data Privacy Officer, US
Pix11
New York, NY
POSITION MISSION & MAIN ACTIVITIES Working in conjunction with the Global Compliance Team the US Compliance and Data Privacy Specialist will work with the global compliance team to ensure firmwide compliance for all US entities an...
3 weeks ago seen See more...
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Senior Compliance Sanctions Officer (SVP) - Securities Services
Citi
New York, NY
$176,720 - $265,080 a year
Responsible for providing sanctions guidance globally to Citi's businesses that transact in securities and securities based financial instruments. Provide sanctions oversight of in business controls and review in-flight and propos...
2 months ago seen See more...
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Compliance Monitoring Officer
Adyen
New York, NY
Contribute in the planning and execution of the annual Compliance Monitoring program;. Drive the development of monitoring methodology relating to first line business processes;. Contribute in the execution of second-line quality...
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Control Group Compliance Officer
Dataaxxis
Jersey City, NJ
$650 - $820 a day
Assist and advise on IB and Capital Markets transactions, including conflicts review. Maintenance of the Firms Global Watch and Restricted Lists, including seeking and responding to updates from investment banking teams. Review E...
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