Compliance officer jobs in Jersey City, NJCreate job alerts

Job Title: Compliance Officer Contract: 6 Months Location: Jersey City, NJ, 07310 Responsibilities: The Bank Regulatory Compliance Officer (“Compliance Officer”) will provide advisory and monitoring support to assigned business areas in implementing Compliance policies and procedures rega...

Job Title: Director, Eastern Region Department: Operations Management Location: Jersey City, New Jersey or Dallas, Texas Reports To: Vice President, Operations FLSA Status: Exempt SUMMARY: Daylight Transport seeks a dynamic and visionary operations leader to lead the company to its next s...

Job SummaryClient's Operations Tax Compliance (OTC) group is seeking a detail-oriented and analytically strong Business Analyst III to support its quality assurance, governance, and compliance functions. Support oversight of Responsible Officer (RO) Compliance Program and its internal control ass...

Department: Compliance - Registrations Compliance. The Registrations Compliance Officer is responsible for maintaining accurate and complete Client and CFTC/NFA registrations for Registered Representatives and swap dealers. Maintain training completion logs and send reminders to representatives, ...

Job title:- Registration Compliance Officer -Operations-Daily 4.

Serves as a Control Group compliance officer, specifically relating to research publications for the Independent Compliance Risk Management (ICRM) department. Primary responsibilities include monitoring compliance risk behaviors and providing day-to-day Compliance advice relating to the Research ...

Position: Licensing /Registration Compliance Officer (Hybrid).

Support the Chief Compliance Officer in oversight of comprehensive and ancillary projects, ensuring compliance with all applicable laws and regulations, specifically including: draft and update policies and other compliance-related materials, and develop, implement, and manage effective complianc...

The Registrations Compliance Officer is responsible for maintaining accurate and complete Client and CFTC/NFA registrations for Registered Representatives and swap dealers. Job Title: Registration Compliance Officer. Department: Compliance - Registrations Compliance.

Experience with defining and implementing data quality programs, conducting data analysis on large volumes of order and trade lifecycle data. Address Data Quality (DQ) issues from identification, root cause analysis, fix, testing, and closure.

Quickly escalate matters to supervisors, compliance advisory should there be evidence of non-compliance. Work closely with supervisors, business management, Compliance, Legal, HR and Conduct Office to gather required information/documents for filings with regulators. Registrations/Licensing, Fili...

Serve as a key advisor to business groups as well as other Legal and Compliance colleagues on issues regarding Information Barriers, wall crossing procedures, sensitive information and the Need-to-Know Principle. Conduct training, as directed, to educate the bankers and Research Analysts on vario...

Registrations Compliance Officer. Quickly escalate matters to supervisors, compliance advisory should there be evidence of non-compliance. Work closely with supervisors, business management, Compliance, Legal, HR and Conduct Office to gather required information/documents for filings with regulat...

Strong analytical skills and the ability to identify gaps in controls, procedures, or compliance. Job Title: SOX ITGC compliance Officer. The resource will be responsible for developing a SOX ITGC (Information Technology General Controls) Control Universe, an ITGC Compliance Schedule, and evaluat...

Job title:- Registration Compliance Officer -Operations-Daily 4.

Position: Licensing /Registration Compliance Officer (Hybrid).

Software Guidance & Assistance, Inc.

ITGC Compliance Schedule Development. Develop an ITGC compliance schedule for the fiscal year to ensure controls are executed timely per frequency described in the control universe. In-depth knowledge of SOX compliance and other regulatory standards that impact IT operations.

Chief Compliance Officer to ensure adherence by all Team Members on healthcare compliance and reinforcement of the Company's compliance and training program in conformity with the Office of Inspector General (OIG) for an effective compliance program. Support the Chief Compliance Officer in oversi...

Quickly escalate matters to supervisors, compliance advisory should there be evidence of non-compliance. Update and distribute list to senior management, supervisors, business management & compliance advisory on a monthly basis. Work closely with Americas Compliance Training team to identify regi...

Job DescriptionBenefits: - Servicing Leads - Servicing Realtor Accounts - Benefits Grouped Not Employer Matched - Company Credit Card - Bonus based on performance - Employee discounts - Profit sharing - Signing bonus - Training & development Position: Mortgage Lead & Realtor Account Rep...

The Investments Compliance team is actively seeking a Compliance Officer who will execute the compliance program related to securities laws prohibiting transactions based on material non-public information ("MNPI"). In addition, the Compliance Officer will be responsible for ongoing execution of ...

JD with 7+ years of post JD experience working in a regulatory or compliance capacity within a hedge fund (preferred), private equity fund, traditional asset manager, compliance consulting firm, or the SEC. General Counsel & Chief Compliance Officer (New York, NY):. Provide legal and compliance c...

Review and validation of High Risk KYC files to ensure completeness and compliance with Bank policies and Regulatory Requirements. The employee will most likely interact on a regular basis with the Client On Boarding group, Front Office personnel, Head Office Compliance personnel, and IT support....

Review and validation of High Risk KYC files to ensure completeness and compliance with Bank policies and Regulatory Requirements. The employee will most likely interact on a regular basis with the Client On Boarding group, Front Office personnel, Head Office Compliance personnel, and IT support....

The ICBA Compliance Officer reports directly to the Head of Global Markets Regulatory Compliance in the Americas and the Head of ICBRC in Head Office ultimately to the Regional Chief Compliance Officer for the Americas. Partner with other Compliance teams, including CMG, Transversal, Financial Se...

The ICBA Compliance Officer reports directly to the Head of Global Markets Regulatory Compliance in the Americas and the Head of ICBRC in Head Office ultimately to the Regional Chief Compliance Officer for the Americas. The Investment and Corporate Banking Advisory (“ICBA”) Compliance Officer ��

A prestigious and well-established asset manager and broker-dealer, with a growing portfolio of private equity funds, is seeking a dynamic Chief Compliance Officer (CCO) to lead and enhance its compliance program. An ideal candidate will have relevant experience at a similar organization with sen...

Experience in investment fund compliance (including federal and state securities laws compliance and managing relevant regulatory filings and deadlines) and investment fund structuring. A private investment firm is seeking a legal/compliance officer to join their team in the NYC office. Assist wi...

The Bank Regulatory Compliance Officer ("Compliance Officer") will provide advisory and monitoring support to assigned business areas in implementing Compliance policies and procedures regarding State and Federal banking regulations. The Compliance Officer will provide advice and support on matte...

The Bank Regulatory Compliance Officer (“Compliance Officer”) will provide advisory and monitoring support to assigned business areas in implementing Compliance policies and procedures regarding State and Federal banking regulations. The Compliance Officer will provide advice and support on matt

Advisory Compliance Officer - Fixed Income Business Line Compliance. The candidate for this role will implement a comprehensive and sustainable compliance framework to ensure the bank's compliance with regulation and internal policy. The candidate for this role will implement a comprehensive and ...

Strong Compliance experience in an investment bank (preferably line of business advisory, ideally Research Compliance). Research Compliance, a line of business advisory team within Compliance, is seeking a highly motivated individual for a VP role in our New York office. In this role you will pro...

The Bank Regulatory Compliance Officer ("Compliance Officer") will provide advisory and monitoring support to assigned business areas in implementing Compliance policies and procedures regarding State and Federal banking regulations. The Compliance Officer will provide advice and support on matte...

The Bank Regulatory Compliance Officer will provide advisory and monitoring support on federal and state banking regulations, including BHCA, Reg Y, Reg K, Reg D, and Reg W. Experience with securities and broker-dealer compliance. Advise on compliance policies and regulatory changes affecting GBA...

The Compliance Advisory team also supports Central Compliance activities such as, but not limited to the development of Compliance Policies & Procedures, performing regulatory horizon scanning and impact assessments, and completion of periodic Compliance Risk Assessments. The Compliance Officer w...

Will be responsible for maintaining compliance with policies and procedures related to equities trading according to FINRA and SEC regulations.

Advisory Compliance Officer – Fixed Income Business Line Compliance. The candidate for this role will implement a comprehensive and sustainable compliance framework to ensure the bank’s compliance with regulation and internal policy. The candidate for this role will implement a comprehensive and

The Compliance Officer will be responsible for ensuring compliance with all relevant regulatory requirements related to public equities trading, including FINRA and SEC rules and regulations. Hold Brothers Capital, LLC, a leading self-clearing broker-dealer, is looking for a Compliance Associate/...

The Bank Regulatory Compliance Officer ( "Compliance Officer") will provide advisory and monitoring support to assigned business areas in implementing Compliance policies and procedures regarding State and Federal banking regulations. The Compliance Officer will provide advice and support on matt...

Advisory Compliance Officer – Fixed Income Business Line Compliance. The candidate for this role will implement a comprehensive and sustainable compliance framework to ensure the bank’s compliance with regulation and internal policy. Legal, Risk, First Line Control teams) and build credibility f

Manage the firm's compliance program, including policies, the Code of Ethics, and the Regulatory Compliance Manual. Step into a pivotal role with our client as a Compliance Officer in New York, NY. Collaborate with internal teams and service providers to maintain a robust compliance culture while...

In this role, you will be a key pillar in our US business expansion by leading the US Compliance program and acting as the regional BSA/AML Officer. As the Director of US Compliance, you will be responsible for our BSA/AML & OFAC Sanctions programs and ensuring that we maintain compliance with al...

The Office of the Agency Chief Contracting Officer is seeking a highly motivated and detailed oriented exceptional professional to serve as Assistant Agency Chief Contracting Officer (AACCO) of Compliance. Lead Directors and Analysts in the full array of compliance activities to ensure compliance...

The ECO performs duties associated with Clean Air Act program management and compliance, Air Permitting and Annual Air Emissions Reporting, TIER II EPCRA reporting, Greenhouse Gas Emission reporting and other environmental compliance initiatives to assure compliance with federal, state and local ...

Reporting to MMA's Chief Compliance Officer, you will be responsible for designing and executing on the operational elements of MMA's compliance program. Marsh McLennan Agency (MMA) is seeking a Senior Compliance Officer, Operations to build out and enhance the infrastructure of a best-in-class c...

Prior Head of Compliance or Chief Compliance Officer experience in finance, fintech, or crypto exchanges (prior experience scaling a global compliance program preferred). We are seeking an experienced Global Chief Compliance Officer to lead our distributed, global compliance team. Preparing or co...

Advisory Compliance Officer - Fixed Income Business Line Compliance. The candidate for this role will implement a comprehensive and sustainable compliance framework to ensure the bank's compliance with regulation and internal policy. The candidate for this role will implement a comprehensive and ...