Compliance Officer Jobs in New York
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Search Results - Compliance Officer Jobs in New York
Social Capital Resources LLC-New York
Job Title: Trade Compliance Officer
Responsibilities:
Monitor trading activities to ensure compliance with relevant regulations, laws, and policies
work with traders to ensure that all trades are executed in compliance with regulatory...
resume-library.com -
Hold Brothers-New York
questions and other needs.
Requirements
• Bachelor’s degree in law, finance, business management or a related field.
• 3+ years’ proven experience in a compliance officer role and broker/dealer-related and escalations.
• Series 7 or equivalent required...
workable.com -
Energy Impact Partners-New York
and Singapore.
EIP seeking to hire a Compliance Analyst who will work closely with the firm’s Compliance Officer to support the firm’s compliance program. This role is a great opportunity for a motivated compliance professional to learn more about private funds...
resume-library.com -
S&P Global-New York
About the Role: Grade Level (for internal use): 12 About the Role: The role involves a range of activities, including providing: Compliance advisory services, education & training, reporting to compliance management on compliance developments...
efinancialcareers.com -
Hold Brothers-New York
Requirements
Bachelor’s degree in law, finance, business management or a related field.
3+ years’ proven experience in a compliance officer role and broker/dealer-related and escalations.
Series 7 or equivalent required, Series 24 preferred or attained upon...
resume-library.com -
Raisin-New York
Your Responsibilities
As our US Compliance officer, you’ll be the lead for compliance in one of our fastest-growing and dynamic teams. You’ll lead our independent function in the US and report into our Compliance team based in Head Office...
join.com -
Phaxis LLC-New York
Assist in compiling necessary information for regulatory reviews, audits, and other examinations.
Manage the preparation of the Annual Chief Compliance Officer (CCO) Report for the SEF, along with other mandated reports.
Interface with technology...
resume-library.com -
The Symicor Group-New York
Sr. BSA/AML Compliance Officer – To $100K – New York, NY – Job # 3271
Who We Are
The Symicor Group is a boutique talent acquisition firm based in Lincolnshire, IL & Rockport, TX. Our nationally unique value proposition centers around providing...
workable.com -
Michael Page-New York
About Our Client
Banking and Financial Services
Job Description
• Develop and implement compliance policies and procedures that align with regulatory requirements and the company's business objectives.
• Monitor and assess the effectiveness...
michaelpage.com -
S&P Global-New York
Its members apply standardized monitoring and surveillance protocols to help mitigate compliance, regulatory and reputational risk; prevent or manage conflict of interests; help Ratings Division protect information collected or generated as part...
efinancialcareers.com -
New York
Crime, you are vital to Aon in achieving strategic objectives. You will partner with the North America Chief Counsel & Chief Compliance Officer in fulfilling the objective of supporting the business to achieve sustainable growth and innovation in North...
icims.com -
Goldman Sachs-New York
The role of a Global Banking & Markets- Public Compliance officer is to assist the firm in preventing......
efinancialcareers.com -
New York
agencies.
• Participate on the Mortality Review Committee (MRC).
• Create reports for the Chief Compliance Officer and VP of Quality Assurance and Compliance that document and measure Quality improvement activities.
• Draft written reports and presentations...
icims.com -
New York
shift.
:Ability to follow policies, procedures, and safety guidelines.
:Must be able to adapt to various jurisdictions and interface with compliance officers.
Keys to Success
:Building collaborative relationships
:Decision making
:Drive results...
tiptopjob.com -
Goldman Sachs-New York
The role of an Asset Management ("AM") Alternatives Compliance officer is to assist the firm in preventing......
efinancialcareers.com -
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