Compliance officer jobs in Newark, New Jersey - Page 5Create job alerts

A Credit Portfolio Analyst is an experienced Lending Product specialist and Credit Officer within the Wealth Lending. The Credit Portfolio Analyst is required to have strong underwriting skills and sound credit judgment. Review credit request for new standard/program loans for compliance with produc

President 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, Underwriting, Risk Management, Compliance, IT Risk and Training committee

The Chief Legal & Risk Officer (CLRO) serves as the top legal advisor and enterprise risk leader for the organization.This executive is responsible for overseeing legal affairs, enterprise risk management, compliance, regulatory matters, and internal audit across the organization.Beyond traditional

Marsh McLennan Agency (MMA) is seeking a Senior Compliance Officer to serve as a trusted advisor to business colleagues on regulatory, risk, compliance and ethics issues relating to MMA's regulated insurance brokerage businesses. The Senior Compliance Officer will cover an array of issues and will s

The Compliance Officer within Regulatory Relations Core Compliance assists in the development and execution of core compliance programs and processes and helps manage the various relationships with our US regulators.Assist with the coordination of examinations and inquiries by regulators covering va

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 Compliance Officer will work closely with the members of a team focusing on regulatory compliance issues with respect to marketing and other investor/third party materials and communications. The Compliance Officer will report to a supervisor with the Wealth Management Broker/Dealer Compliance d

Consultant- Chief Risk Officer - Operations (Fractional/Contract Role). Consultant - Chief Risk Officer, Investments (Fractional/Contract Role).

Under the general direction of the Director of the Vendor Compliance and Relations Unit (VCR)/ Minority/Women-Owned Business Enterprise (M/WBE) Officer, with wide latitude for independent judgment and initiative, the M/WBE Liaison/ Community Associate performs duties related to the improvement of co

Understand and assess insurance and reinsurance-related issues, including international and domestic regulatory compliance topics. Investment and Insurance Compliance. Develop and maintain a comprehensive compliance program that aligns with federal, state, and international insurance regulations (NA

VP Morgan Stanley is seeking a Compliance Officer to join the Swap Dealer Compliance group in its Global Compliance Department.The Group is responsible for the implementation and management of the overall compliance program for the Firm's CFTC-regulated swap and SEC-regulated security-based swap bus

Founded in 1991, we are a global quantitative and systematic asset management firm applying a scientific approach to finance to develop alternative investment strategies that create value for our clients.We value innovation, dedication, collaboration and the ability to make an impact and together we

We are seeking to add a knowledgeable, driven, intellectually curious and experienced compliance professional to the compliance team led by the Chief Compliance Officer. Additionally, the AML compliance officer should be able to:. Anti-Money Laundering Compliance Officer.

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

Under general supervision of the Director of the Vendor Compliance and Relations (VCR) Unit/ DSS Minority/ Women-Owned Business Enterprise (M/WBE) Officer, with some latitude for independent initiative and judgment, the Vendor Performance Evaluations Coordinator works closely with the Director, as w

This role involves assisting the Bank's Bank Secrecy Act Compliance Officer (BSACO) to ensure compliance with BSA/AML/OFAC regulations and a separate role in maintaining the Corporate Compliance Program.

The TD Securities Compliance team is seeking a Senior Compliance Officer to join the Surveillance Data Quality Team.The team supports the Trade and Communications Surveillance leads across geographies (US, Canada, EMEA, and APAC), as well as key stakeholders to execute across an industry-leading dat

A growing clearing fintech broker dealer is seeking a compliance officer to further enhance their Reg Sho framework. Maintain, administer, and enhance compliance policies, procedures, and written supervisory procedures (WSPs) related to Reg SHO, particularly Rule 204. Monitor and analyze Reg SHO obl

Support the Chief Compliance Officer on global compliance program initiatives. Our consultants are executive specialists in compliance recruitment, and also in financial crime, legal and cyber security, all within the financial and professional services sectors in the United Kingdom and New York. We

SMBC Group is a top-tier global financial group.Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance.The Group has more than 130 offices and 80,000 employees worldwide i

The Vice President will be a key member of the Anti-Financial Crime Compliance team within the Legal and Compliance Department at PIMCO, located in either Newport Beach, CA or New York, NY. The Vice President will work closely with the Global Anti-Financial Crimes Compliance Officer and collaborate

Conduct compliance training for new and existing regulations and firm policies. Qualifications: 2 to 7 years of experience working in fixed income compliance function of a FINRA registered broker dealer.

Position Overview: Under the direction of the Chief Financial Officer (CFO), the Revenue Cycle Director effectively leads billing, collection, compliance, and accounts receivable management team while maintaining a full understanding of Ryan Health Network's billing system and all aspects of communi

Were a diverse group of visionary innovators who provide trading and workflow automation software, high-value analytics, and strategic consulting to corporations, central banks, financial institutions, and governments. Over 2,000 of the worlds leading corporations, including 50% of the Fortune 500 a

The Global Compliance Department manages a Firmwide Compliance Risk Management program, including Compliance risks that transcend business lines, legal entities, and jurisdictions of operation. We devise an annual compliance program and conduct and coordinate monitoring, testing, and training for th

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

Piermont Bank is a commercial bank with a mission to serve growth companies. Experience with BaaS (Banking as a Service) preferred. We are seeking a highly experienced and detail-oriented Senior BSA Manager to serve as a key deputy to the BSA Officer in managing the Bank's BSA/AML/OFAC compliance pr

Open/close the office each day and ensure general tidiness of office at all times. Adhoc support to Chief Operating Officer related to the office and business operations / administration. Keep up to date with office safety and regulations - ensure compliance (Fire Safety / Emergency Plan + drills et

Track administrative decisions and emerging compliance risks to proactively address vulnerabilities in agency and contractor operations. Develop training materials and deliver presentations to agency partners and stakeholders regarding regulatory obligations and best practices related to M/WBE compl

Associate Vice President, Information Management and Trade Surveillance Compliance.The Ares Compliance Department oversees and manages Ares' global regulatory compliance and ethics program.Under the leadership of the Chief Compliance and Regulatory Officer, the Compliance Department is comprised of

As Chief Information Security Officer, you will be responsible for leading and strengthening the company's entire security function across four key domains: Governance, Risk & Compliance, Offensive Security, Defensive Security, and Security Engineering & Architecture. Chief Information Security Offi

Finance Associate, Regulatory Reporting. As a Regulatory Reporting / Finance Associate at FalconX, you will be supporting the Chief Financial Officer of FalconX's regulated swap dealer entity, FalconX Bravo in matters related to accounting, book keeping, regulatory compliance, financial reporting, a

Knowledge of credit risk, financial and statistical analysis, credit administration, policies and procedures, and regulatory compliance is required. Credit Portfolio Maintenance/Credit Officer. Conduct in-depth thorough analysis of new credit requests, credit change requests, renewals and annual cus

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 First

Cerberus is seeking an analytical and collaborative individual who is interested in serving as a compliance officer within our operations affiliate, Cerberus Operations and Advisory Company, LLC. Working knowledge of Bridger (Lexis-Nexis), Clear (Thomson Reuters), Dow Jones (Risk Center), Sayari or

We are seeking to add a knowledgeable, driven, intellectually curious and experienced compliance professional to the compliance team led by the Chief Compliance Officer. Anti-Money Laundering Compliance Officer. Additionally, the AML compliance officer should be able to:.

In a nutshell, we're looking for a US compliance specialist & BSA Officer to lead compliance efforts at our New York Representative Office. BSA Officer And Compliance Director. BSA Lead - oversee and develop the BSA/AML and Compliance program for the New York Representative Office, reporting to the

Finance is organized into five bureaus, each led by an Assistant Commissioner: Bureau of the Agency Chief Contracting Officer; Bureau of Budget; Bureau of the Controller; Bureau of Finance Administration and Planning; and Bureau of Revenue. The Bureau of the Agency Chief Contracting Officer is prima

The Chief Global Compliance Officer (CGCO) is responsible to the Senior Vice President, General Counsel for developing, executing, and enforcing the Global Ethics and Compliance Program in order to ensure compliance with evolving laws and regulatory requirements in addition to University policies an

Vice President, Compliance Monitoring and Testing Officer.

Bilingual Customer Service Sr Analyst. A Service Officer provides service support to the Citi Private Latin America businesses. Ability to establish relationships and partner effectively with various groups including sales, service, operations, compliance, and marketing.

The ideal candidate will hold a Certified Regulatory Compliance Manager (CRCM) designation, exhibit strong analytical skills for risk rating scoring, and have proven experience in managing or conducting compliance risk assessment or RCSA exercises. In this crucial position, you will lead the impleme

Previously, Mayor Adams has served the people of New York City as an NYPD officer, state senator, and Brooklyn borough president. The Problems You'll Solve The incumbent will report to the Deputy Director, Compliance and with wide latitude for independent judgment will perform the following job resp

Job DescriptionChief Sales Officer (IT Services, Consulting) - Public Sector Job Overview We are seeking an experienced and dynamic Chief Sales Officer (CSO) work closely with the CEO and EVP to lead our clients sales efforts in the public sector for their IT services and consulting business. The ideal candidate will have a proven track record of success in driving sales growth, developing strategic partnerships, and leading high-performing teams within the public sector IT services industry. Key Details • Position: Full-time, • Location: Remote (US-only), • Experience Required: 10-25 years, • Industry: IT Services, Consulting, • Focus: Public Sector, • Package: $300k base + EBIDTA Bonus + Commission About our Client Our client, who is PE backed, is a leading provider of innovative IT services and consulting solutions, specializing in the public sector. They partner with government agencies, educational institutions, and non-profit organizations to deliver cutting-edge technology solutions that drive efficiency, enhance security, and improve citizen services. Current headcount is circa 500. Role Description As the Chief Sales Officer, you will be responsible for developing and executing our clients sales strategy for the public sector market. You will lead a team of sales professionals, foster key client relationships, and work closely with other executive team members to align sales objectives with overall business goals. Your leadership will be crucial in driving revenue growth, expanding market share, and ensuring customer satisfaction. Key Responsibilities • Develop and implement a comprehensive sales strategy for the public sector market, focusing on IT services and consulting solutions., • Set and achieve ambitious sales targets, consistently driving year-over-year growth in revenue and market share., • Lead, mentor, and motivate a high-performing sales team, ensuring they have the tools, knowledge, and support to succeed., • Establish and maintain strong relationships with key decision-makers in government agencies, educational institutions, and non-profit organizations., • Collaborate with the marketing team to develop effective sales collateral, proposals, and presentations tailored to the public sector audience., • Work closely with the product development and delivery teams to ensure alignment between client needs and our clients service offerings., • Analyze market trends, competitor activities, and customer feedback to identify new opportunities and refine our clients sales approach., • Oversee the entire sales process, from lead generation to contract negotiation and closure., • Develop and manage strategic partnerships with technology vendors, system integrators, and other relevant stakeholders in the public sector ecosystem., • Represent the company at industry events, conferences, and high-level client meetings., • Provide regular reports and insights to the executive team on sales performance, market dynamics, and growth opportunities., • Ensure compliance with all relevant public sector procurement regulations and ethical guidelines., • Collaborate with the finance team to develop accurate sales forecasts and manage the sales budget effectively., • Stay informed about emerging technologies and industry trends to position our client as a thought leader in the public sector IT services market. Qualifications • Bachelor's degree in Business Administration, Computer Science, or a related field; MBA preferred., • 10-25 years of progressive sales experience in the IT services and consulting industry, with a strong focus on the public sector., • Proven track record of consistently meeting or exceeding salesThis is an exceptional opportunity to take up an influential position in an already successful, and growing, IT services organization. For more details, please contact Josh Dixon (YCG) for further details, or submit your application today.Chief Sales Officer (IT Services, Consulting) - Public Sector

Founded in 1992, Cerberus is a global leader in alternative investing with approximately $65 billion in assets across complementary credit, private equity, and real estate strategies.We invest across the capital structure where our integrated investment platforms and proprietary operating capabiliti

A growing clearing fintech broker dealer is seeking a compliance officer to further enhance their Reg Sho framework. Reg SHO compliance experience at a broker-dealer or clearing firm. Maintain, administer, and enhance compliance policies, procedures, and written supervisory procedures (WSPs) related

Compliance - Compliance Officer - Indices/ Benchmark Administration.

We are seeking an experienced Conflicts Officer to join our Compliance Control Room at TD Securities. Serve as an advisor to the business, legal, and compliance stakeholders on complex conflict scenarios. Mentor, train, and guide junior team members, fostering a culture of compliance and continuous