Compliance Officer jobs - Whippany, NJ

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Apr 14 Compliance Officer Ny-based Bank - Finance Industry New York, NY

Qualifications- Manage a team of seven capital markets investigators/analysts.- Manage regulatory investigations and inquiries.- Review investigations and record production by... more

Apr 09 Brokerage Compliance Officer, VP Ny-based Bank/broker-dealer - Finance Industry New York, NY

Advising business persons on regulatory and compliance requirements with respect to new ... business.* Writing, reviewing, and updating Compliance policies and procedures*... 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

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

implementation, and maintenance of compliance policies, procedures, and ... of the compliance program;* Performing compliance testing, specific to firm trading... 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

Feb 05 Compliance Officer II BNY Mellon New York, NY

Compliance Officer II Req # 1401012 Location: New York, New York As one of the world's ... services and/or the auditing/compliance field preferred Thorough knowledge... more

Oct 17 BSA / AML Compliance Officer (VP Level) Global Financial Services Firm New York, NY

is seeking an experienced BSA/AML Compliance Officer (VP Level) with a strong background ... Proactively update the Chief Compliance Officer and the In-Office Compliance Committee... more

Oct 17 Vice President - Compliance Officer Financial Services Company New York, NY

Vice President - Compliance Officer Location:Manhattan, NY Salary:$110,000-$160,000 ... support to the designated Chief Compliance Officer of each Swap Dealer entity Recommend... more

Oct 17 Tradebook Self-Clearing Compliance Officer Bloomberg New York, NY

be responsible for conducting reviews for compliance with Rule 3012 and will ensure ... - 5+ years experience in equities operation compliance - Working knowledge of the... more

Oct 17 Compliance Officer - FX Advisory Compliance. Compliance Search Group New York, NY

Top-tier investment bank seeks a Compliance Officer to cover their Global Finance and ... • Providing regulatory/compliance training as needed... more

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