Regulatory Compliance Officer jobs in New York, NY
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REGULATORY COMPLIANCE OFFICER
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...
| Company | Hsbc |
|---|---|
| Address | New York, NY |
| Category | Information Technology |
| Job type | Permanent - Full Time |
| Date Posted | 3 weeks ago See detail |
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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Compliance and Regulatory Lead New
Kohler
New York, NY
Secure US and select international regulatory authorization for health/wellness products Oversee maintenance of regulatory licenses, registrations and listings Work with commercial team to ensure advertising and promotions comply...
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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,...
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Attorney Development Manager: Life Sciences (Patent, Licensing, Regulatory & Compliance)
Goodwin
New York, NY
We are in the business of building authentic, long-term relationships with our clients, who are some of the worlds most successful and innovative investors, entrepreneurs and disruptors in the Life Sciences, private equity, real...
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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...
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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...
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Regulatory Officer - Associate
Sumitomo Mitsui Banking Corporation
New York, NY
$81,000 - $132,000 a year
Notifies senior management and other relevant personnel of upcoming examinations and advises on scope, focus of exam and expectations. Reviews document requests and previews with examiners to narrow and define focus of discovery....
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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...
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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...
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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....
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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...
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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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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...
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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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Senior - AML Regulatory Compliance Consultant (Blockchain/Digital Assets)
Rsm Global
New York, NY
Work individually or as part of a team to execute model validation activities and testing against BSA/AML and OFAC models, including assessing risks related to model design, data, output, and governance. Lead and execute AML indep...
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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...
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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...
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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...
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REGULATORY COMPLIANCE COUNSEL
Hermes Of Paris Inc.
New York, NY
$137,156 - $228,594 a year
Work closely with U.S. legal team, U.S. import team and French Parent Company across all departments and business divisions for all Herms owned brands operating in the USA to advise on applicable U.S. Regulatory Laws. Track and i...
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Senior - AML Regulatory Compliance Consultant (Blockchain/Digital Assets)
Rsm Us Llp
New York, NY
$75,200 - $150,100 a year
Work individually or as part of a team to execute model validation activities and testing against BSA/AML and OFAC models, including assessing risks related to model design, data, output, and governance. Lead and execute AML indep...
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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...
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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...
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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...
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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...
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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...
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