Are you a business? Hire compliance officer candidates in Jersey City, 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...
The Company is seeking a Compliance Testing Officer to join its Independent Compliance Risk Management (ICRM) testing team. Vice President, Compliance Testing Officer. The successful candidate will be responsible for assessing compliance risks and controls within the first and second lines of def...
This team focuses on several key compliance risk types, including consumer compliance, investment banking related compliance, conduct, regulatory compliance, reputation, strategic, and technology risk. Managing compliance-driven initiatives and/or processes which require close partnership with co...
Serve as the audit liaison for Compliance cover a number of topics including but not limited to:conducting monthly Compliance/IAD touch points; participating in all Compliance related audit Reviews to ensure Compliance is meeting IAD expectations and timelines and provide consistent messaging to ...
The role requires leading workshops with 1st line of defense ("1LOD") and Compliance and other 2nd line of defense ("2LOD") subject matter experts to assess relevant compliance risks and controls for both the compliance risk assessment as well as the Compliance RCSA. As a Compliance Risk Assessme...
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...
DASH Financial Technologies (part of ION Group) is the leading US options technology and execution provider, offering fully customizable routing and order management solutions to financial institutions as well as complete order routing transparency featuring real-time visualization.The Compliance...
The Chief Compliance Officer for. Fidelity Compliance reports into the Chief Administrative Officer. ...
As part of RM&C CFO, the RM&C Finance & Business Management team supports the firm's Chief Risk Officer, RM&C Chief Financial Officer and the Risk Operating Committee through on-going governance and discipline on direct and allocated expenses, technology investment governance, real estate managem...
The Compliance Testing Officer executes independent compliance testing for the U.Compliance Testing Program, a critical program element of the U.Regulatory Compliance Management framework for RBC’s CUSO/IHC.This position is responsible for supporting various stages of the testing lifecycle often ...
Audit, Compliance Testing, Monitoring, Risk Assessment or Legal role, preferably focused in Investment Banking and Corporate Banking. ...
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...
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...
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 also be tasked with creating and delivering compliance training, maintaining effective reporting channels, and serving as the primary contact for compliance-related issues with external parties. The CCO will be responsible for developing and implementing comprehensiv...
This role will act as Homesteaders Life Company’s AML officer and the head of the SIU, as well as the Chief Privacy Officer. 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 C...
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...
We are seeking a highly skilled and experienced Investment Banking Compliance and Supervision Officer to join our team. Oversee and review the work of compliance staff, providing guidance and training as needed to ensure adherence to best practices and regulatory standards. Manage the preparation...
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...
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...
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. Compliance Monitoring Officer (Audit, QA, Risk Assessment, Testing). Collaborate with th...
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...
Working closely with various teams, including portfolio managers, compliance officers, and traders, to ensure smooth ETF operations. * Troubleshooting: Resolving operational issues related to the ETF ...
