Compliance officer jobs in Passaic, New Jersey - Page 7Create job alerts

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 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

Public Sector Compliance Officer to lead and support compliance efforts across all IBM business activities involving U. Advise leadership on compliance risks, regulatory changes, and best practices with a focus on compliance and business operations. Federal Government Contracting Compliance.

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

Compliance Officer, Whole Loans Trading and Securitization Compliance. Relevant experience providing compliance or legal coverage to a sales or trading desk at a broker/dealer working on or providing trade/sales support to such a desk. The role also involves monitoring and surveillance of controls,

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

Immediate need for a talented AVP-Compliance Officer.

The Chief Compliance Officer (CCO) is responsible for designing, implementing, and leading a compliance program that enables innovation while ensuring regulatory and legal adherence. The CCO ensures that compliance is integrated into business strategy, allowing the company to develop customer?centri

Lead Financial Officer: Global Legal Affairs & Compliance and Internal Audit. This Lead Financial Officer (LFO) role has responsibility for Global Legal & Affairs & Compliance (GLAC) and Internal Audit (IA). Managing critical stakeholder relationships, including the Corporate Secretary, Chief Audito

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

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

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. Mortgage Banking in

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

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

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

Support Compliance in maintaining documentation for annual certifications regarding data compliance and reporting to relevant governance bodies;. The Data Privacy Compliance and Chief Risk Office teams work closely with our Legal counterparts, business, support functions and engineering stakeholders

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. Prepare regulatory filings, a

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

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. The ideal candidate br

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". Supervise the Compliance governance framework.

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

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 complia

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

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

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

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

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

Experience supporting regulatory examinations or compliance engagements in financial services. Regulatory Strategy Senior Officer (Associate). As part of Risk Management and Compliance, you'll help drive responsible growth by anticipating and addressing emerging risks.

As part of Risk Management and Compliance, you'll help drive responsible growth by anticipating and addressing emerging risks. As a Regulatory Strategy Senior Officer (Associate) in the Firmwide Regulatory Strategy team, you will support the coordination and management of regulatory examinations and

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

Three years' experience in compliance, regulatory, or investigative capacity. 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 w

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

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

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. Reporting to the EVP & Chief Legal Officer, and working closely with Enterprise Risk Management, the Global CCO is respon

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 compliance with New York Cit

Compliance Officer Investment Bank Compliance Fixed Income Sales & Trading FIC Macro Compliance. Compliance Officer Investment Bank Compliance Fixed Income Sales & Trading FIC Macro Compliance. You will provide business compliance coverage for the Fixed Income and Currencies (FIC) Macro Sales

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

Provide compliance guidance and create oversight program for reg reporting, work with supervision, advisory compliance, testing, front office and IT to bridge gaps or provide expertise. Compliance Officer Operations & Regulatory Reporting Oversight. The Regulatory & Reporting Oversight Officer will

Analyze compliance alerts using knowledge of investment guidelines, regulations, compliance systems, and internal policies to deliver accurate and timely decisions. The Compliance Officer utilizes technical and subject matter expertise, experience and judgment to complete assigned responsibilities w

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.

As a Compliance Officer, you will be responsible for providing advisory compliance guidance; managing the firms regulatory filings across multiple regulatory bodies (e. You will have the opportunity to serve as subject matter expert on a variety of compliance areas, and you'll perform both routine a

We are looking for a Compliance Officer who will be the Company's first dedicated compliance role, expected to make a significant impact on building out and implementing a comprehensive compliance framework. Conducting research with respect to compliance and regulatory issues; developing new complia

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. Among other internal stakeholders, this individual will work closely with portfolio manage

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

The Privacy Compliance Coverage Officer will focus on assisting with the management of the privacy program's including risks and controls assessments, monitoring and testing, training, policies and procedures, advice and guidance, and governance activities for key meetings. The Privacy Compliance Co

About the Role** Mercor is seeking experienced Compliance Officer to support a leading AI lab in advancing research and infrastructure for next-generation machine learning systems.

About the Role** Mercor is seeking experienced Compliance Officer to support a leading AI lab in advancing research and infrastructure for next-generation machine learning systems.