Compliance officer jobs in Passaic, New Jersey - Page 2Create job alerts

As we enter a new phase of scale and operational sophistication, we are seeking a Chief Compliance Officer (CCO) to build and lead our compliance function from the ground up. Job Details Build & Lead the Compliance Function Develop, initiate, and maintain a comprehensive corporate compliance program

Assist the Compliance Manager, Senior Compliance Officer, and Risk Assessment team with the evaluation of compliance testing program and processes. Works with Senior Compliance Officer, Compliance Manager to maintain audit tracking logs and other tracking reports as deemed necessary. COMPLIANCE OFFI

The Data Governance, Risk and Compliance Officer ("Officer") will be responsible for developing and implementing the US Firm's data governance strategy with regard to alignment and compliance with relevant laws and regulations. This role involves creating and maintaining strong relationships with ke

TD Securities is seeking an experienced Senior Compliance Officer to join our Compliance Control Room, focusing on portfolio management of the department's initiatives & programs. Work with the Compliance leadership team in support of a strong risk & compliance culture within Compliance and across t

As a Regulatory Strategy Senior Officer (Associate) in the Firmwide Regulatory Strategy team, you will support the coordination and management of regulatory examinations and ongoing monitoring engagements across the firm. You will play a vital role in ensuring effective regulatory interactions and c

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 Senior Compliance Office provides advice, guidance and support to business uni

We thrive through relentl Compliance Officer, Compliance, Officer, Chief, Leadership, Internal, Business Services.

The Compliance Officer III supports consumer regulatory compliance functions for the Company and supports the development, implementation, and maintenance of a consumer regulatory compliance program through compliance activities across various lines of business, banking offices, and operating depart

Apollo is seeking a Compliance Officer to join its growing global team of professionals who are focused on operationalizing Apollo's strategic compliance program. The compliance officer will be responsible for providing compliance advice and support for Apollo's direct lending platform, which includ

Compliance Officer - Operations & Regulatory Reporting Oversight. The Regulatory & Reporting Oversight Officer will serve as a pivotal compliance leader partnering with Finance, Operations and Risk teams to ensure regulatory adherence, timely and accurate reporting and robust client asset protection

Support the Chief Compliance Officer in managing the compliance programs for a FINRA broker dealer. We're seeking a future team member for the role of Senior Compliance Officer to join our BNY Pershing Wealth Services team. Experienced Senior Compliance Officer to act as a strategic partner to busin

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. Knowledge of the Investment Advisers Act of 19

The Regulatory Governance team collaborates with internal support functions to provide and receive status updates, find efficiencies, respond to ad-hoc requests and support the implementation of compliance program enhancements with respect to each of the below-listed Compliance Program areas: + Pol

Reporting to the General Counsel, Compliance Officer, Compliance, Program Leader, Officer, Leadership, Chief, Business Services. The Chief Compliance Officer (CCO) serves as the senior executive responsible for overseeing and managing compliance with federal, state, and local laws and regulations a

Position Summary 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 Un

Review and approve new business initiatives, products, and markets to ensure full compliance before launch * Assist in the design and review of surveillance reports * Develop, maintain, and update Written Supervisory Procedures (WSPs) and internal compliance policies, ensuring they accurately reflec

We're seeking someone to join our team as a Crypto Advisory Compliance Officer in Wealth Management Compliance to shape Morgan Stanley Wealth Management's U. Crypto Advisory Compliance Officer In Wealth Management Compliance. Serve as a compliance coverage officer for the digital assets business and

COMPLIANCE OFFICER SENIOR-MORTGAGE ORIGINATION* WHAT IS THE OPPORTUNITY? The Compliance Officer Senior - Mortgage is responsible for managing and maintaining assigned areas of the compliance program covering U. For Banking Compliance related roles, Certified Compliance Risk Manager (CRCM) or Ce

Compliance Surveillance Analyst. This role is instrumental in conducting trading and communication surveillance, investigating potential compliance issues, and working with business and technology partners to drive enhancements in surveillance processes. Partner with the Compliance Inquiry team to i

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. Coordinate compliance policy & procedure reviews, updates and ap

LOB Compliance Program Execution and Monitoring (60%)** + Implementation and maintenance of the Firm's control framework, full compliance with risk control, recordkeeping and reporting, internal supervision and compliance, counterparty protection and other additional requirements as stipulated by t

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

Enhance compliance frameworks to address regulatory changes and evolving risks. Develop and maintain compliance-related policies and procedures. Serve as a key point of contact for compliance-related regulatory matters.

Lead the annual compliance risk assessment and planning process, integrating with the enterprise risk management (ERM) framework * Monitor and analyze new regulatory changes, ensuring timely adaptation of internal policies and procedures * Oversee the creation and maintenance of compliance dashboard

Prepared to serve as the primary internal owner of the compliance framework, with the authority and judgment to identify issues, recommend solutions, and escalate matters to the Chief Regulatory Officer when appropriate. Excited to build and lead a best-in-class compliance framework that brings inst

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. The CFM Legal & Compliance team is involved in complex projects

Oversee books-and-records compliance under SEC Rules 17a-3/17a-4, ensuring documentation, retention controls, and audit trails; partner on compliance testing and risk assessments. G MASS Consulting are partnered with a leading Hedge Fund to appoint an experienced Compliance Officer who will take own

Reporting to the Center's Deputy Director for Compliance and Policy, this role involves providing comprehensive/expert guidance to the campus and Central Office Chief Diversity Officers (CDO) throughout the investigative process, conducting investigations as needed, providing trainings on relevant l

As a Senior Compliance Officer on the Legal and Compliance Team, you will:. Capstone is looking for a qualified, enthusiastic candidate to join the firm's global Legal and Compliance team in a Senior Compliance Officer role. The Senior Compliance Officer will lead the day-to-day management of Capsto

Collaborate with internal teams and service providers to maintain a robust compliance culture while managing key projects, regulatory filings, and compliance training initiatives. Lead compliance training programs and assist with compliance-related projects as needed. Qualifications for the Complian

As a Regulatory Strategy Senior Officer (Associate) in the Firmwide Regulatory Strategy team, you will support the coordination and management of regulatory examinations and ongoing monitoring engagements across the firm. You will play a vital role in ensuring effective regulatory interactions and c

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. Compliance Monitoring and Testing:.

Support Chief Compliance Officers (CCOs) in administering RIA compliance programs, including:. Guggenheim Investments is currently seeking a Senior Compliance Officer to support the regulatory oversight of complex fixed income products and registered investment adviser (RIA) programs. Given the over

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

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

The Fixed Income Compliance Officer serves as key function/business/product compliance advisor within the Fixed Income Compliance Advisory Group with primary coverage of Credit products and US Rates. This position is based in New York City in the Fixed Income Compliance Advisory Group and will be pr

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 role provides compliance advisory services, coordinates and performs ongoing risk assessments, and performs monitoring and surveillance activities to ensure that the Compliance Program remains current and aligned with the Firm's Enterprise-wide Compliance Program. The Capital Markets Compliance,

We are seeking an experienced and detail-oriented Advertising Compliance Officer to join our compliance team and support our fast-growing active trading division. Advertising Compliance Officer. The Advertising Compliance Officer is role is pivotal in ensuring that all marketing and advertising mate

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 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 Advisory Compliance Officer provides compliance oversight to (1)

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 independent judgment will perform the following job responsibilities, which includ