Senior Compliance Officer jobs in New York, NY
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SENIOR COMPLIANCE OFFICER - CONTROL ROOM & EMPLOYEE TRADING (HYBRID - NEW YORK)
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...
| Company | York State Department Of Labor |
|---|---|
| Address | New York, NY |
| Category | Information Technology |
| Date Posted | 2 weeks ago See detail |
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...
2 weeks ago seen See more...
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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Commercial Broker Dealer Chief Compliance Officer - Sr. Director New
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,...
6 hours 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...
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Senior Officer, Consumer Goods Partnerships
International Rescue Committee
New York, NY
Requisition ID:req48124Job Title:Senior Officer, Consumer Goods PartnershipsSector:FundraisingEmployment Category:RegularEmployment Type:Full-TimeGross Compensation:New York, NY HQ USA: USD 73,000.00 - 107,000.00 AnnuallyLo...
3 days ago seen See more...
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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Senior Trust Officer
Citizens
New York, NY
Effectively establish and manage strong client relationships within an assigned book of trust accounts. Meet with clients, family members and their advisors as appropriate. Educate clients and beneficiaries on estate and trust pla...
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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...
7 days ago seen See more...
Senior Business Execution Consultant - Corporate & Investment Bank COO Office
Wells Fargo
New York, NY
Partner with Banking senior leaders to establish strategic priorities and company-level goals. Play key role in development of banker headcount strategy, track and manage the execution thereof. Research and analyze information and...
5 days 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...
2 weeks ago seen See more...
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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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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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Senior Executive Assistant to the CEO and Chief People Officer
Spring Health
New York, NY
$116K - $147K a year
Anticipate the leader's needs and act proactively to address them, including preparing meeting materials, briefing documents, and agenda items in advance. Monitor deadlines and follow up on action items, ensuring timely completion...
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Fund Finance Group Senior Lead Control Management Officer
Wells Fargo
New York, NY
Provide control team support across a variety of topics including:. Marketing, sales activity, and transactional execution with large and sophisticated multi-national corporate clients, publicly-traded and institutionally-owned, b...
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Senior Associate, Data Scientist - Model Risk Office
Capital One
New York, NY
Partner with a cross-functional team of Data Scientists, software engineers, and product managers to deliver a product customers love. Leverage a broad stack of technologies - Python, Conda, AWS, H2O, Spark, and more - to reveal t...
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Senior Major Gifts Officer, New York Metro Area
Center For Reproductive Rights
New York, NY
$170,000 a year
Develop and manage a portfolio of 150+ donors and prospects, including individuals and family foundations. Create individual goals for each donor based on the donor's giving history and knowledge of the donor's potential. Create i...
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Senior Compliance Counsel, Artificial Intelligence and Digital Health & Medicines
Pfizer
New York, NY
$205,400 - $342,400 a year
J.D. or equivalent degree. Must be a member of the Bar. 10+ years' legal experience. Experience at a top law firm, government or in-house involving practical application of US healthcare laws, e.g., investigations, risk assessment...
3 weeks ago seen See more...
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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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Senior Manager, Information Security Office Consultant
Capital One
New York, NY
Leverage strong technical acumen to drive the execution of large scale, cross-functional programs that align to line of business priorities.. Work closely with engineers, product managers and other cross-functional partners to hel...
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Senior IT Helpdesk Technician (Association Office)
Ymca Of Greater New York
New York, NY
Utilize Active Directory knowledge for efficient management. Expertly handle Helpdesk Ticketing system for tracking and resolving IT queries. Provide remote guidance to clients, ensuring effective problem-solving.Attentively addre...
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Senior IT Helpdesk Technician (Association Office)
The Community Ymca
New York, NY
Utilize Active Directory knowledge for efficient management. Expertly handle Helpdesk Ticketing system for tracking and resolving IT queries. Provide remote guidance to clients, ensuring effective problem-solving.Attentively addre...
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SENIOR LEGAL OFFICER (Temporary Job Opening)
United Nations Secretariat
New York, NY
Services diplomatic conferences, commissions, committees, task forces, expert groups and other bodies, including preparation of background materials, summaries of issues and views of delegations, meeting reports, etc. Work Exper...
3 weeks ago seen See more...
Treasury & Chief Investment Office - Research Analyst, Senior Associate
Jpmorgan Chase & Co
New York, NY
$142,500 - $200,000 a year
Develop quantitative frameworks such as a balance sheet optimization platform to support senior management in formulating strategies around managing balance sheet, capital and funding positions, and Firms investment portfolio. Co...
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Senior Data Analyst (Mayor's Office of M/WBE)
Mayor's Office Of Contract Services
New York, NY
$76,000 - $86,000 a year
Dental insurance. Flexible spending account. Health insurance. Health savings account. Paid time off. Parental leave. Retirement plan. Tuition reimbursement. Vision insurance. Monday to Friday. New York, NY 10007: Relocate before...
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Senior Director of Accounting Quality Control (Internal Audit & Compliance)
Charter School Business Management
New York, NY
Lead the quality team and oversee Quality Control programs, goals, and results. Establish the organization's internal quality policies and procedures. Collaborate on the design, training and implementation of quality software, met...
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MSS Risk and Control Volcker Rule Office Business Risk Senior Analyst
Citigroup, Inc.
New York, NY
Conduct daily Volcker trade and position monitoring. Investigate feed/booking issues that impact data quality of Volcker metrics reported to regulators. Communicate and coordinate with various different stakeholders to ensure corr...
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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...
4 weeks ago seen See more...
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