Compliance officer jobs in Bayonne, New Jersey - Page 7Create job alerts

You will be responsible for typical line compliance functions within a large, global investment bank, including but not limited to: providing real-time advice on matters relating to trading and sales activities; reviewing and advising on surveillance escalations; performing monitoring of controls; c

Global Control Room Leads for all Control Room portfolios and Business partners) to develop clear deliverables, milestone, and project plans for regulatory initiatives, new Global Control Room deployments, and Global Control Room enhancements. Global Control Room Procedures: Work with Global Control

You will be one of three Deputy General Counsels who will work alongside the Chief Compliance Officer and Chief Legal Officer in comprising the Legal and Compliance leadership team, that is responsible for managing Antares' Legal and Compliance risk. Legal Leadership Team: Serve as a member of the f

This role will focus on leading and executing the annual Compliance Risk Assessment process, ensuring that compliance risks are properly identified, documented, and managed across the bank's business lines and support functions. We are seeking a Compliance Risk Assessment Officer to support one of o

The Compliance Intern is going to support and assist the BSA Officer (team). Prefer major in Finance or Legal related.

The Virtu Legal and Compliance team is looking for an experienced, self-driven Compliance Officer to join the team. The Compliance Officer will play an important role in shaping Virtu's Compliance function through innovation, analytical thinking and a desire to improve upon existing processes. The C

Anti-Bribery and Anti-Corruption Compliance Officer (12-month contract). What's The Role? We are seeking a 12-month contractor for an Anti-Bribery & Anti-Corruption (ABAC) Compliance Officer who will be responsible for supporting the overall management of ABAC risk across Bloomberg's businesses glob

A financial services firm in New York is seeking a Deputy Chief Legal Officer to manage its investments and support compliance activities. Responsibilities include overseeing legal compliance, negotiating contracts, and collaborating with teams to ensure strategic investment operations.

A global technology company seeks a Chief Financial Officer to lead financial strategy through an IPO transition.This remote role entails overseeing all financial operations, including IPO readiness, regulatory compliance, and global finance management.The ideal candidate has extensive experience in

A financial services firm in New York is seeking a Deputy Chief Legal Officer to oversee investments' legal aspects. The ideal candidate will manage compliance functions and legal negotiations regarding private equity and debt transactions.

Global banking client is seeking a compliance officer to join their team as senior member of the Regulatory Compliance Department responsible for helping oversee the Bank's AML/OFAC and Corporate Compliance Programs. Provide guidance on complex compliance matters and serve as AML/OFAC Responsible Of

Compliance Culture: Work with the Compliance leadership team in support of a strong risk & compliance culture within Compliance and across the firm. TD Securities is seeking an experienced Compliance Officer to join our Compliance Control Room, focusing on portfolio management of the department's in

The Senior Compliance Office provides advice, guidance and support to business units in adhering to regulatory/compliance requirements and assists in implementing compliance initiatives to help manage regulatory risk. The TD Securities Compliance team is seeking a Senior Compliance Officer (Associat

Three years' experience in compliance, regulatory, or investigative capacity. Previously, Mayor Adams has served the people of New York City as an NYPD officer, state senator, and Brooklyn borough president. The incumbent will report to the Deputy Director, Compliance and with wide latitude for inde

The Compliance Officer will work closely with senior compliance officers to monitor trading activity, review policies and procedures, and assist in the implementation and review of compliance controls. Citizens is seeking a highly motivated Compliance Officer to join the Swap Dealer Compliance team.

This role reports directly to the Chief Compliance Officer, Canada Investments who oversees the US&C Investments Portfolio Compliance team. Monitor portfolio guideline compliance; research potential issues and collaborate with other teams to come to resolution. We are seeking a talented individual t

This role reports directly to the Chief Compliance Officer, Canada Investments who oversees the US&C Investments Portfolio Compliance team. The role is responsible for supporting the design and implementing controls and processes to ensure compliance with all applicable regulatory and portfolio guid

The Senior Compliance Office provides advice, guidance and support to business units in adhering to regulatory/compliance requirements and assists in implementing compliance initiatives to help manage regulatory risk. This Compliance Officer is a key member of the TDS US Compliance Regulatory Initia

Work closely with the Compliance Team and assist in any other Compliance related functions and ad hoc projects. Coordinate with various teams including investment management compliance, marketing, investment services, supervisory principal(s) and all applicable business units in order to timely revi

This Senior Compliance Officer is a key member of the TDS US Compliance Monitoring and Testing Team and Core Compliance Group. This Compliance Officer will also support other aspects of the Core Compliance program as needed. Contribute, as needed, to annual compliance training requirements and regul

The Senior Compliance Office provides advice, guidance and support to business units in adhering to regulatory/compliance requirements and assists in implementing compliance initiatives to help manage regulatory risk. Senior FCRM Compliance Officer. The Senior FCRM Compliance Officer is responsible

This role reports directly to the Chief Compliance Officer, Canada Investments who oversees the US&C Investments Portfolio Compliance team. We are seeking a talented individual to join our Compliance team at Mercer. This position plays a critical role in developing and administering our portfolio an

The SMBC Compliance Advisory Function resides within Compliance Department Americas Division ("CPAD") and provides compliance advice, guidance, and credible challenge to SMBC's businesses and support functions in the Americas Division. Supporting production of Annual Compliance Report and related se

This role reports directly to the Chief Compliance Officer, Canada Investments who oversees the US&C Investments Portfolio Compliance team. Monitor portfolio guideline compliance; research potential issues and collaborate with other teams to come to resolution. We are seeking a talented individual t

Compliance Officer - Investment Bank Compliance - Fixed Income Sales & Trading - FIC Macro Compliance. Provide regulatory/compliance training, Assist the Business in implementing and documenting various supervisory/control mechanisms. Ability to make, support, and defend difficult and complex regula

Advisory Compliance Officer, RBC Capital Markets LLC, New York, NY.The Advisory Compliance Officer will provide key compliance guidance, support, and oversight to the Rates, Futures, Commodities, and FX business lines within the Capital Markets Macro business in support of US and cross border (e.The

The Compliance team seeks a junior compliance officer whose duties will include:. Supervise compliance with laws, regulations, compliance manuals and code of ethics requirements with focus on staff and operations based in North America. Assist and train staff on compliance matters.

Labor Compliance Officer, Labor Monitoring Unit. LMU's labor compliance officers analyze payroll records and make field visits to affordable housing construction sites to establish contact with laborers and mechanics in the course of performing investigations for wage theft and other labor law viola

The Senior Compliance Office provides advice, guidance and support to business units in adhering to regulatory/compliance requirements and assists in implementing compliance initiatives to help manage regulatory risk. Compliance Monitoring & Compliance Oversight. Assist with the development of the C

This is a new role reporting into the firm's Chief Compliance Officer, that provides a great opportunity for an individual who can work independently and as part of a global team. Proven ability to partner closely with front office and senior stakeholders, embedding compliance into business decision

Support the compliance testing and monitoring plan by executing various compliance monitoring routines, developing testing procedures and partnering with engineers to refine and automate monitoring activities. As a Senior Compliance Officer on the Legal and Compliance Team, you will:. The Senior Com

RBC strives to deliver this through policies and programs intended to foster a workplace based on respect, belonging and opportunity for all. Advisory Compliance Officer, RBC Capital Markets LLC, New York, NY. RBC's compensation philosophy and principles recognize the importance of a highly qualifie

Produce metrics on surveillance reviews to the head of us surveillance. Surveillance Compliance Officer. Testing of trade data and oms/ems systems to ensure the quality and completeness of data being input to the surveillance tools.

Conduct, no less than annually, a compliance meeting wherein compliance matters relevant to all supervised persons' activities are discussed. Establish and maintain compliance programs for business line and drive a culture of compliance within the firm. Identify and assess the firm's compliance risk

This Compliance Officer is a key member of the TDS US Compliance Regulatory Initiatives Team and U. The Compliance Regulatory Initiatives Team is a newly created team within U. Wholesale Compliance focused on remediation and program development and improvement within TDS.

As part of Risk Management and Compliance, you'll help drive responsible growth by anticipating and addressing emerging risks. You will play a vital role in ensuring effective regulatory interactions and compliance, contributing to the firm's strong risk management culture. Build and maintain effect

LMU's labor compliance officers analyze payroll records and make field visits to affordable housing construction sites to establish contact with laborers and mechanics in the course of performing investigations for wage theft and other labor law violations. Labor compliance officers are required to

Monitoring labor law compliance on federally funded HPD-assisted construction projects subject to prevailing wage and other pay requirements;. Writing detailed reports to document monitoring and investigative activities;. The Labor Monitoring Unit (LMU) is a department within EORC and monitors affor

Support an effective Compliance program including Compliance Risk Assessment (CRA) and Regulatory Change Management (RCM) and contribute to the Business Unit Compliance Assessments (BUCA) and Annual Compliance Plan (ACP). Compliance Role at American Express. Provide effective challenges throughout t

This role reports directly to the Chief Compliance Officer, Canada Investments who oversees the US&C Investments Portfolio Compliance team. The role is responsible for supporting the design and implementing controls and processes to ensure compliance with all applicable regulatory and portfolio guid

Produce metrics on surveillance reviews to the head of us surveillance. Testing of trade data and oms/ems systems to ensure the quality and completeness of data being input to the surveillance tools. Other surveillance services as assigned.

This hybrid 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 F

This Compliance Officer is a key member of the TDS US Compliance Regulatory Initiatives Team and U. Experience as bank regulatory compliance SME either within Compliance or Legal at complex financial services institution. Work with stakeholders throughout the Firm to build out, maintain and enhance

In addition to leading the oversight of the SBSD compliance program, the Senior Compliance Officer will provide the CCO, management and the Board with periodic updates, ensure adequate policies and procedures are in place, administer the firm's training program, coordinate and oversee regulatory exa

Support an effective Compliance program including Compliance Risk Assessment (CRA) and Regulatory Change Management (RCM) and contribute to the Business Unit Compliance Assessments (BUCA) and Annual Compliance Plan (ACP). Global Risk and Compliance colleagues, General Counsel Office, Control Managem

Compliance Culture: Work with the Compliance leadership team in support of a strong risk & compliance culture within Compliance and across the firm. Preferred Qualifications: TD Securities is seeking an experienced Senior Compliance Officer to join our Compliance Control Room, focusing on portfolio

Citizens is seeking a highly motivated Compliance Officer to join the Swap Dealer Compliance team.This role supports the firm's registered swap dealer activities and ensures adherence to regulatory requirements under the Commodity Futures Trading Commission (CFTC) and National Futures Association (N

Digital Assets Advisory Compliance Officer In Wealth Management Compliance. We're seeking someone to join our team as a Digital Assets Advisory Compliance Officer in Wealth Management Compliance to shape Morgan Stanley Wealth Management's U. Experience serving as a compliance / risk officer or lawye