Compliance Officer jobs - New York, NY

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Apr 11 Compliance Officer A Legal Company New York, NY

Office is seeking an experienced Compliance Officer for itâ??s Surveillance team.The ... surveillanceJob Requirements:5-10 years compliance experience , including equity... more

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

compliance and control testing. Represent Compliance Department on new product launches ... Experienced in broker/dealer compliance a plus... more

Apr 11 Regulatory Compliance Officer A Legal Company New York, NY

work autonomously. The Regulatory Compliance Officer will execute the Branch's Compliance ... position will work closely with the BSA Officer). The Regulatory Compliance Officer... 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 11 Deputy Chief Compliance Officer A Legal Company New York, NY

is looking for a Deputy Chief Compliance Officer for the dually registered retail ... investment advisor. The Deputy Chief Compliance Officer is a senior level position... 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 05 Compliance Assessment Officer Leading Global Financial Services Firm New York, NY

Profile Professionals within Legal and Compliance provide a wide range of services ... businesses. Background on the Team: The Compliance Assessment Group ("CAG") is... more

Mar 28 Compliance COO Business Lead - Americas (AVP) Leading Financial Services Firm New York, NY

the day-to-day running of the Americas Compliance function.Main DutiesFacilitate ... management services to the Americas Compliance function, including:Execution of... more

Mar 28 Equity Sales and Trading Compliance Officer Leading Global Financial Services Firm New York, NY

Compliance Department manages a Firmwide Compliance Risk Management program, including ... Group Overview: Equity Sales and Trading Compliance Group ("Equity Compliance")... more

Mar 28 Securities Services Compliance Officer Leading Financial Services Firm New York, NY

The Securities Services Compliance Officer is responsible for providing direct Compliance ... broker dealer and FINRA/NFA member.The Compliance Officer will: â?¢ Provide daily... more

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