Compliance Officer jobs - New York, NY

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Apr 14 Compliance Officer Daniels, Norelli, Scully & Cecere, P.C. Carle Place, NY

our compliance and regulatory programs. The Compliance Officer is responsible for ... development for staff relating to compliance procedures. more

Apr 11 VP, Investment Advisory Compliance Officer A Legal Company New York, NY

well as part of team VP, Investment Advisory Compliance OfficerVP, Investment Advisory ... Compliance OfficerVP, Investment Advisory Compliance Officer - See more at:... more

Apr 09 Capital Markets Compliance Officer Diversified Financial Services Organization New York, NY

Corporate banking clients to assure compliance with all on-boarding requirements, ... Assist Business Unit compliance Officer in the development of written supervisory... more

Apr 09 Compliance Officer Hedge Fund - Finance Industry New York, NY

Qualifications* 4-6 years commodities compliance* Possible candidate pool coming from ICE ... who understands the products, as well as Compliance issues associated with these... more

Apr 09 Compliance Officer Ny-based Broker-dealer - Finance Industry New York, NY

Job Description* Developing and implementing compliance policies and procedures for the ... filings* Assisting in the development of compliance training for employees and... more

Mar 31 Compliance Officer Integrated Maangement Solutions USA New York, NY

years.Responsibilities Manage broker dealer compliance matters Manage broker dealer ... 1-4 years of experience in accounting or compliance role at a financial institution... more

Mar 26 Deputy/ Senior Associate Compliance Officer Herc New York, NY

should include a minimum of 3 years of compliance management responsibility and ... range of international government regulatory compliance and laws Required Knowledge,... more

Mar 25 Senior Compliance Officer Surveillance Citi Jersey City, NJ

Surveillance provides compliance coverage for the Citi Private Bank ... responsible for working with Retail Product Compliance, business supervisors, Branch... more

Mar 23 Compliance Officer Law Firm New York, NY

requirements.Identifies and addresses non-compliance and risk assessment  issues with ... documentation relating to the KYC/AML compliance process and procedures.Handles... more

Oct 17 BSA Compliance Officer Financial Institution New York, NY

BSA Compliance Officer/VP - $120K (Commensurate with experience) Prestigious International ... Financial Firm seeks a BSA Compliance Officer to be responsible for overall... more

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