Compliance officer jobs in Orange, New Jersey (NJ) State

Summit Financial LLC is seeking an engaged, detail oriented and self-motivated Compliance Officer to join its Compliance Department. The Compliance Officer will be responsible for day to day compliance functions relating to our investment advisory business. The Compliance Officer must possess exc...

Summit Financial LLC is seeking an engaged, detail oriented and self-motivated Compliance Officer to join its Compliance Department. The Compliance Officer will be responsible for day to day compliance functions relating to our investment advisory business. The Compliance Officer must possess exc...

The Compliance Officer is an integral part of our DASH Compliance team. Will report to and work closely with the company's Chief Compliance Officer as to issues, problems, and sales practice. Compliance professionals facilitate business decisions within a dynamic regulatory environment, solve iss...

We are looking for Director - Senior Swap Dealer Compliance Officer. In addition to the general roles described below the Senior Swap Dealer Compliance Officer will also:. Swap Dealer Compliance office position or similar role in Compliance/Legal or Risk departments covering above referenced...

Senior Compliance Officer, Investments Compliance. Join us as a Senior Compliance Officer, Investments Compliance to play your part in that transformation. Perform compliance due diligence of external managers compliance programs. Make your mark in Global Legal, Compliance and Regulatory (GLCR)....

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 Compliance Transformation Officer for the Compliance Department America...

Senior Compliance Officer, Investments Compliance. Join us as a Senior Compliance Officer, Investments Compliance to play your part in that transformation. Perform compliance due diligence of external managers compliance programs. Global Legal, Compliance and Regulatory (GLCR). ...

We are keen to see CV's from Compliance Officer, Building Safety Officer, Senior Compliance Co-ordinator, Compliance Surveyor, Fire Safety Co-ordinator, Asbestos Co-ordinator. We are actively looking for a Compliance Officer to join a local authority in the Nottinghamshire area on a temporary bas...

The Compliance Anti-Money Laundering (AML) Risk Management Senior Officer is a senior level position responsible for establishing internal procedures to prevent money laundering and assist in all matters concerning financial crimes in coordination with the broader AML team. Maintain AML complianc...

Provide ideas for the enhancement of the compliance testing program, monitoring plan, and industry research, leveraging Compliance advisory. Compliance Testing Program, a critical program element of the U. Regulatory Compliance Management (RCM) framework for RBC Combined U. Leading compliance tes...

Fidelity Compliance, a 600-person organization, is accountable for business unit compliance strategy and oversight in addition to providing enterprise services and policies regarding Ethics, Digital Compliance practices, Anti-Money Laundering. As the leader of the Compliance team for Fidelity Dig...

Senior Compliance Officer, Investments Compliance. Join us as a Senior Compliance Officer, Investments Compliance to play your part in that transformation. Perform compliance due diligence of external managers compliance programs. Global Legal, Compliance and Regulatory (GLCR). ...

The Risk Management & Compliance CFO organization acts as strategic partners and trusted advisors to the Risk and Compliance organization. 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 C...

Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)’s Compliance Independent Assessment (CIA) team responsible for assessing compliance risks and controls implemented by the first and second line of defense. Assisting with the identification of Significant Compli...

The Risk Management & Compliance CFO organization acts as strategic partners and trusted advisors to the Risk and Compliance organization. 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 C...

Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)’s Compliance Independent Assessment (CIA) team responsible for assessing compliance risks and controls implemented by the first and second line of defense. Assisting with the identification of Significant Compli...

The Employee Compliance Officer will join a team that is responsible for implementing the firm’s policies on personal trading and investments, outside business activities, political contributions, and certifications and attestations. This position reports to the Head of Employee Compliance in the...

The CFO will be a key member of the Executive Leadership Team and will be responsible for leading ... Ensure compliance with accounting standards and regulations. • Manage and oversee annual ...

Ensure compliance with all financial regulations and laws. * Stay current on SEC and FINRA ... Proven experience as a CFO or Financial Operations Principal in the financial services industry

Chief Financial Officer (CFO) Newark, (with some travel to Bklyn & Long Island) 250k - 400k ... Maintain the financial standing of the company, ensuring compliance with all financial regulations ...

Provide strategic financial leadership and guidance to the CFO and senior management team ... Ensure timely and accurate compliance with all regulatory requirements, including HIPAA, GAAP, and ...

Chief Financial Officer - Near Livingston, NJ - 2/3 days per week hybrid - Up to $400K SoCode US are recruiting for a CFO on behalf of our client a growing and successful SME operating the Software ...

Compliance Management International (CMI) is a premier global provider of environmental, health, and safety (EHS) services, serving clients of all sizes for over 25 years. We collaborate closely with ...

We are seeking a motivated and detail-oriented Loan Officer to join our team. The ideal candidate ... Compliance: Stay up-to-date with industry regulations and company policies to ensure all loan ...