Senior Compliance Officer jobs - Purchase, NY

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Apr 14 Compliance Analyst Bank/broker Dealer - Finance Industry New York, NY

in the international bank regulatory compliance industry* Undergraduate degree ... for review/test by the Chief Compliance Officer* Develop an annual review/testing... more

Apr 09 Compliance, GS Bank Lending Compliance Officer, Associate/Vice-President Goldman Sachs - Finance Industry New York, NY

Compliance. The primary objective of GS Bank Compliance is the management of compliance ... Compliance and Bank Holding Company Compliance to execute the compliance risk... more

Mar 28 Equities Trading Floor Compliance - VP Compliance Search Group New York, NY

services firm, is seeking a Markets Compliance Officer. This individual will be ... of Compliance reports for Compliance Management, Senior Management, Executive... more

Mar 28 VP - Fixed Income Sales and Trading Compliance Compliance Search Group New York, NY

a Fixed Income Sales and Trading Compliance Officer. This position will be at a Vice ... and present to senior compliance and front office personnel on relevant issues. •... more

Mar 28 VP - Anti - Money Laundering Advisory Compliance Financial Services Company New York, NY

will include Anti-Money Laundering compliance coverage of the Global Transaction ... professionals ranging from staff levels to Chief Compliance Officers with the... more

Mar 28 Municipal Securities Compliance Compliance Search Group New York, NY

products - Interact with and present to senior compliance and front office personnel ... compliance issues/tasks simultaneously THE COMPLIANCE SEARCH GROUP, the leading and most... more

Mar 20 Investment Advisory Compliance Coverage Officer Morgan Stanley - Finance Industry New York, NY

successful candidate will provide compliance support to the Global Investment Solutions ... • Providing regulatory compliance advice to the Consulting Group business in... more

Mar 20 Director, Head of Control Room & Investment Banking Compliance Guggenheim Partners - Finance Industry New York, NY

Partners, and the Chief Compliance Officer, Guggenheim Securities. This person ... Room and act as senior compliance officer for Guggenheim’s Investment Banking... more

Mar 20 Regulatory Exams Compliance Officer Morgan Stanley - Finance Industry New York, NY

potential findings- Communicate with senior management in LCD, business, and risk regarding exam status, potential findings, and remediation- Draft formal responses to findings... more

Mar 16 Investment Banking and Compliance - Control Room Compliance Search Group New York, NY

to business and compliance senior management • Participate in internal ... of Compliance professionals ranging from staff levels to Chief Compliance Officers... more

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