Are you a business? Hire compliance officer candidates in Bayonne, NJ
Customs and Border Protection Officer U.S. Customs and Border Protection (CBP) offers those interested in a career in law enforcement an opportunity to work with an elite team of highly trained professionals whose camaraderie, pride, and purpose are hallmarks of their daily mission to protect Ame...
Equities Compliance Officer will work as a member of the Americas Compliance team based in TP ICAP's New York offices and report into the Head of Equity and Equity Derivatives Compliance. TP ICAP is seeking an Equities Compliance Officer to provide regulatory/compliance advice and support to the ...
Fixed Income Compliance Officer will work as a member of the Americas Compliance team based in TP ICAP's New York offices and report into the Head of Fixed Income Compliance. TP ICAP is seeking a Fixed Income Compliance Officer to provide regulatory/compliance advice and support to the Firm's fix...
This team focuses on several key compliance risk types, including consumer compliance, investment banking related compliance, conduct, regulatory compliance, reputation, strategic, and technology risk. SMBC Group is seeking a ComplianceTransformationOfficer for the Compliance Department Americas ...
The Advisory Compliance team serves as a regulatory advisory function and is responsible for overseeing the management of the broker dealer's compliance risk, and is represented by the Chief Compliance Officer as either a member or observer of various committees such as the New Product, Underwrit...
This includes conducting regular compliance risk assessments, monitoring regulatory changes, and providing guidance to business units on compliance matters. The Company is seeking a Chief Compliance Officer (CCO) to join their team and play a pivotal role in fostering a culture of compliance. The...
The Compliance and Privacy Officer, reporting to the Chief Human Resources Officer, will have primary responsibility for the compliance and privacy programs at God's Love We Deliver. The Compliance and Privacy Officer will review, revise and maintain the organization's compliance and privacy poli...
The successful candidate will be responsible for assessing compliance risks and controls within the first and second lines of defense, performing risk assessments of compliance risks, and conducting independent testing activities to evaluate the design and effectiveness of key controls. Key activ...
Serves as a compliance testing officer for Independent Compliance Risk Management (ICRM)'s Independent Assessment team responsible for assessing significant compliance risks and controls implemented by the first and second line of defense. Participating in the planning, executing, and reporting o...
We are seeking a highly skilled and experienced Investment Banking Compliance and Supervision Officer to join our team. Identify and assess potential compliance risks, implementing strategies to mitigate these risks effectively. Develop and enforce compliance policies and procedures, ensuring the...
Provide day-to-day Compliance advisory services to the firm’s Global Equity Research business, which includes Equity Research products and services, with specific focus on research independence, conflicts of interest, material non-public information and reputational risk. Independently manage pro...
Fortress seeks an experienced Compliance Officer to join the Fortress Legal and Compliance Department and will report directly to the firm’s Chief Compliance Officer. The successful candidate will work with members of the Legal and Compliance Department and other departments and businesses around...
NYC Aging seeks a highly motivated Senior manager with broad-based experience in compliance, internal and external audit, financial reporting and programmatic fiscal processes to serve as Chief Compliance Officer. Reporting to the Chief Financial Officer, with additional accountability to the Fir...
Our fast-paced Compliance team is looking for a Compliance Monitoring Officer with experience in performing compliance and risk quality assurance monitoring procedures in the payments and/or finance industry. Collaborate with the compliance team on the further development of the compliance progra...
Serves as a senior function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and delivery of a ris...
As Chief Compliance Officer and Assistant General Counsel you will analyze the manner in which applicable laws and regulations will be incorporated into Homesteaders Life Company’s business operations. This role will act as Homesteaders Life Company’s AML officer and the head of the SIU, as well
Research Compliance Officer Location: New York, NY Firm Overview: Cantor Fitzgerald L.P., with over 12,000 employees, has been a leading global financial services firm at the forefront of financial ...
Compliance Officer Location : New York City (Hybrid) Overview : A boutique investment management firm is seeking a Compliance Officer to join their team in NYC. This role offers the unique ...
A global bank located in Midtown Manhattan looking to bring on board a "Director - Fixed Income Compliance Officer" to join their team. This role is currently in a hybrid schedule (2 days in office
We are seeking a highly skilled and experienced Investment Banking Compliance and Supervision Officer to join our team. This role requires 3-5 years of experience in investment banking, with a focus ...
Review and validation of High Risk KYC files to ensure completeness and compliance with Bank policies and Regulatory Requirements. * Review and issue regulatory guidance to Bank staff on proposed ...
Collaborate with senior legal and compliance officers to update and refine internal compliance policies and procedures related to fund allocations and investment processes. * Risk Assessment
Collaborate with the Chief Compliance Officer. Qualifications * 6-12 years of relevant compliance or regulatory experience at a midsize or large financial services or investment firm. * Managerial ...
The COO will be responsible for overseeing the day-to-day operations, ensuring efficiency, compliance, and a commitment to client success. The ideal candidate will have a strong background in ...
