Senior Compliance Officer jobs - Newark, NJ

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Apr 13 Head of Banking Operations / COO Yms Associates Passaic, NJ

to customers and prospects. Adhere to compliance and operational risk controls in ... and report/correct control weaknesses, compliance breaches and operational defects. more

Apr 09 VP, Senior OFAC Officer Nj-based Bank/broker-dealer - Finance Industry Jersey City, NJ

Within the AML Department, there are two main areas: KYC/CIP Compliance and the Account Ac ... Pro-actively identify regulatory OFAC compliance issues / concerns and make... more

Apr 09 Desk Review Specialist AML Compliance Bank/broker Dealer - Finance Industry New York, NY

Test and verify compliance with applicable compliance-related internal and external ... Maintain relationships with business compliance officers, front office and... more

Apr 02 Credit Officer Valley National Bank Wayne, NJ

The Credit Officer will review and approve commercial transactions within the prescribed ... approval of commercial insider loans in compliance with Regulation O. Monitor compliance... more

Mar 28 Compliance Officer - Compliance Analytics Queens, NY

Compliance Analytics team acts within Global Compliance Architecture & Strategy to analyze ... and other compliance initiatives. The compliance analyst will contribute... more

Mar 27 Compliance Officer Leading Financial Services Firm New York, NY

â?? Administer the companyâ??s policies and procedures to ensure compliance with CFTC/NFA ... Respond to time sensitive compliance-related inquiries from the risk... more

Mar 26 Chief Financial Officer Forum Group New York, NY

and maintain strong relationships with senior executives and identify their needs ... internal controls are in place and ensure compliance with applicable federal, state and... more

Mar 20 Compliance, GSAM, CCO Goldman Sachs - Finance Industry New York, NY

SAM Compliance is seeking a Chief Compliance Officer (the “CCO”) for three new registered ... The CCO will be an experienced legal and/or compliance professional with a thorough unders... more

Mar 20 Wealth Management Compliance Regional Surveillance Analyst Morgan Stanley - Finance Industry New York, NY

The Regional Surveillance Compliance Group for Morgan Stanley Wealth Management ... with senior members of Compliance and the Risk Organization Qualifications-... more

Oct 17 Compliance Operational Risk Management - Director Level Compliance Search Group New York, NY

directly to the Deputy Chief Compliance Officer. Responsibilities: •Oversee and ... compliance officers to ensure that compliance risk assessments are designed and... more

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