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

We have an exciting Compliance Advisory role on the Data, Research & Analytics Compliance team, with a particular focus on providing compliance support to Bloomberg's Data and Pricing products and services. The role will involve close partnership with business stakeholders to provide compliance and

Head of Governance & Conduct Compliance Officer. International investment bank based in Midtown Manhattan, currently looking to bring on a "Head of Governance & Conduct Compliance Officer". Enhance awareness and adoption of the compliance standards across the Bank.

Develop and deliver compliance training programs for employees to ensure understanding of compliance policies and procedures. Compliance Leadership: Dive into the firms policies and procedures and make suggestions to enhance the documentation of procedures and testing of reports. Stay up to date wit

Mercer is looking to hire an experienced Compliance Officer to join our team in one of the following locations: New York City, Boston, St. You will be responsible for providing advisory compliance guidance regarding commercial activities that encompass both a broker-dealer and registered investment

Public Sector Compliance Officer. Advise leadership on compliance risks, regulatory changes, and best practices with a focus on compliance and business operations. Oversee compliance with state and local government contracting regulations, including:.

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

Immediate need for a talented AVP-Compliance Officer.

Natixis CIB Americas Compliance is seeking a Compliance Officer to support the CIB Americas Control Room and Compliance Department. The Compliance Officer will collaborate closely with the Head of Control Room, the Advisory team, and Front Office staff in Investment Banking, while ensuring complianc

Balyasny Asset Management is seeking an experienced Compliance Officer for its New York office. Assist the Compliance Department with ongoing regulatory requirements and enforcing Compliance policies. The employee will report to the Director, Senior Compliance Counsel and will work closely with both

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. Contribute, as needed, to annual compliance training requirements and regul

We are looking for a dynamic and highly experienced Chief Compliance Officer (CCO) to lead our global compliance and regulatory strategy. Lead the global compliance function, ensuring adherence to AML/CTF, sanctions, consumer protection, and data privacy regulations. Embed a strong culture of compli

Immediate need for a talented AVP-Compliance Officer.

The Senior Compliance Officer will assist the US compliance team in all aspects of the compliance program for an SEC registered adviser. Additionally, the Senior Compliance Officer will work on global regulatory topics within the framework of the Ardian compliance team. Ardian's compliance team is r

Data Compliance Officer - 12 Month contract. The Data Privacy Compliance and Chief Risk Office teams work closely with our Legal counterparts, business, support functions and engineering stakeholders to ensure compliance with current/developing rules and regulations, implement global training and co

Compliance Officer, Whole Loans Trading and Securitization Compliance. Support the global compliance monitoring program by providing input on the framework documents and completing verification checks as outlined the in the annual monitoring plan. Ability to make, support, and defend difficult and c

Ensure full compliance with federal and state Medicaid and HCBS regulations. Monitor and investigate incidents, billing practices, and staff compliance. Train staff on compliance standards, procedures, and regulatory updates.

The Fractional Compliance Officer serves as a strategic advisor and operational leader responsible for overseeing the organization's compliance framework on a part-time or contract basis. Jefferson Wells has a long-term contract opportunity for a Fractional Compliance Officer. Identify compliance ri

Flow Traders is looking for a Compliance Officer to join our Compliance team in New York. If you aim high, the sky is the limit! This Compliance Officer will design and implement automated compliance controls, conduct trading reviews, and perform trade surveillance. With a focus on Process Testing a

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. Compliance Monitoring & Compliance Oversight. Assist with developing and overseein

This Senior Compliance Officer is a key member of the TDS US Compliance Monitoring & Testing (M&T) Team, responsible for working on developing, implementing and coordinating the Compliance Oversight program over first line Risk Owner (RO) activities contributing to the overall Compliance coverage pl

LMU's labor compliance officers analyze payroll records and make field visits to affordable housing construction sites to establish contact with laborers and mechanics in the course of performing investigations for wage theft and other labor law violations. Labor compliance officers are required to

Compliance tester may also support issue validation as well as other initiatives aimed at enhancing the overall Compliance Testing Program. Provides ideas for the enhancement of the Program by leveraging Compliance Advisory team members, Compliance Practices and Assurance team members, Business Part

Serve as a compliance resource and SME (subject matter expert) to business units, internal team members, and management providing a range of support and analysis on regulatory compliance requirements, issues, and/or best practices, including the provision of guidance in the design, development and/o

Seeking a candidate who will help conduct reviews of marketing materials to ensure conformance with US regulatory requirements as well as firm policies and procedures.The individual will work closely with members of the GSAM distribution, product, and marketing teams.He/she will also interact with o

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 Certified Mortgage Compliance Professional (CMCP) Preferred. COMPLIANCE OFFICER

We have an exciting Compliance Advisory role on the Data, Research & Analytics Compliance team, with a particular focus on providing compliance support to Bloombergs Data and Pricing products and services. The Global Compliance team within Bloombergs Legal & Compliance Department provides coverage a

The Chief Compliance Officer (CCO) is responsible for designing, implementing, and leading a compliance program that enables innovation while ensuring regulatory and legal adherence. Develop a compliance?first culture where teams see regulations as guardrails for smart innovation, rather than roadbl

The Chief Compliance Officer is responsible for the overall design, execution, and oversight of the firm’s enterprise-wide Compliance Program. Prior experience serving as a Chief Compliance Officer or senior compliance leader at a full-service broker-dealer or investment bank. Lead firm-wide compl

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 responsibilities, which include and are not limited to:. Work closely with the Deputy Director to ensure agency accountability and com

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

Reporting to the General Counsel, the Chief Compliance Officer (CCO) will lead Sprinklr's global compliance program and serve as a key member of the legal leadership team. Sprinklr Chief Compliance Officer. Deliver high quality training, nurture and protect an open-reporting culture, and oversee the

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. The role will involve participation in all stages of the investment lifecycle including pre-acquisition

The Senior Vice President, Global Chief Compliance Officer (Global CCO) is RGA's most senior compliance executive and a key member of the Global Law & Compliance leadership team. Senior Vice President, Global Chief Compliance Officer. Maintain an objective, independent compliance function that integ

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

Co-Chief Compliance Officer Insurance - Director. Oversee compliance protocols for pre and post transaction investment management, including surveillance of trading activities, asset and liability matching and transfers, allocations, valuation processes, and affiliated and non-affiliated third-part

General Counsel And Chief Compliance Officer.

Work closely with the Deputy Director to ensure agency accountability and compliance with New York City's Administrative Code 6-129. Draft, review, and edit official documents, including memoranda, policy guidance, interagency advisories, and compliance directives. Track administrative decisions and

Flow Traders is looking for a Compliance Officer to join our Compliance team in New York. If you aim high, the sky is the limit! This Compliance Officer will design and implement automated compliance controls, conduct trading reviews, and perform trade surveillance. With a focus on Process Testing a

This role reports directly to the Chief Compliance Officer, Canada Investments who oversees the US&C Investments Portfolio Compliance team. Monitor portfolio guideline compliance; research potential issues and collaborate with other teams to come to resolution. We are seeking a talented individual t

This hybrid 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 F

We are now seeking a senior compliance officer within the team to execute and enhance the compliance program, and aid the business to comply with applicable laws, regulations, and Firm policies and procedures. The MSIM AIP Compliance team supports all aspects of the investment management business, 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. Broker Dealer Regulatory Governance Advisory Compliance Officer.

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.

Morgan Stanley is seeking a Compliance Officer to join the Swap Dealer Compliance group in its Global Compliance Department. Assisting in developing and maintaining a robust global compliance program for the Firm's swap and security-based swap dealers, including assisting each applicable Chief Compl

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 monthly and ad hoc Compliance reporting. Support the development of US

The Compliance Officer utilizes technical and subject matter expertise, experience and judgment to complete assigned responsibilities with considerable independence; ensures adequate procedures and controls are established and followed in order to minimize financial and reputational risk; identifies

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

The Senior Compliance Officer will assist the US compliance team in all aspects of the compliance program for an SEC registered adviser. Additionally, the Senior Compliance Officer will work on global regulatory topics within the framework of the Ardian compliance team. Partner with compliance consu