Compliance officer jobs in Bronx, New York (NY) State

The Advisory Compliance team serves as a regulatory advisory function 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, Underwrit...

Support the development and implementation of action plans, including policies and procedures to ensure all aspects of company compliance, and prevent violations and systemic compliance issues for internal departments and external service providers. Our officers and directors have an average of 2...

Review and validation of High Risk KYC files to ensure completeness and compliance with Bank policies and Regulatory Requirements. The employee will most likely interact on a regular basis with the Client On Boarding group, Front Office personnel, Head Office Compliance personnel, and IT support....

General Counsel & Chief Compliance Officer++ (New York, NY). Execute the core of the compliance program: monitor Code of Ethics, review marketing materials, provide trade surveillance, create policies and procedures, perform compliance testing, chaperone expert network calls and prepare all regul...

The Chief Compliance Officer (CCO) will be responsible for developing, implementing, and managing all aspects of the compliance program for our medical laboratory. Minimum of 10 years of experience in a compliance role within the healthcare industry, with at least 5 years as a Chief Compliance Of...

LHH Recruitment Solutions is working on an EXCITING Corporate Counsel/Compliance Officer opportunity with a company located in Suffolk County, New York. Demonstrated expertise in contracts, regulatory compliance matters, and corporate law. ...

Serves as a Markets Fixed Income Product Compliance officer for Independent Compliance Risk Management (ICRM). Primary responsibilities include monitoring compliance risk behaviors and providing day-to-day Compliance advice relating to the supported function/business/product and guidance on funct...

Seniorpliance Officer - Trade / Export Control - Legal &plianceThe energy of a newsroom, the pace of a trading floor, the buzz of a recent tech breakthrough; we work hard, and we work fast - while keeping up the quality and accuracy we're known for. We are seeking a Trade / Export Controlpliance ...

Senior Compliance Officer - Trade / Export Control - Legal & Compliance. The Compliance Officer will maintain compliance with applicable customs / export and other government agency laws and regulations and provide support for all Bloomberg entities globally. The Global Compliance team within Blo...

The President and Chief Compliance Officer, for BDO Capital Advisors, LLC will serve dual roles in leading the organization’s investment banking subsidiary and managing its operational and compliance functions. The President and Chief Compliance Officer will work on building, implementing, and ov...

Senior Data Privacy Compliance Officer - Legal & Compliance. The Data Privacy Compliance team works closely with our Legal counterparts, business and engineering stakeholders to ensure compliance with current/developing rules and regulations, implement global training and communication programs a...

Establishes systems for auditing, tracking and reporting Greystar’s compliance with applicable regulatory requirements and develops and provides annual and periodic training on compliance policies and procedures and emerging compliance issues. This position is a key leader for Greystar’s Investme...

Support Investment Banking Compliance Coverage in executing the Investment Banking Compliance program, including compliance risk assessments and reporting. Broker dealer located in Midtown Manhattan looking to bring on board an “Control Room – Compliance Officer” to join their team. Conduct day-t...

Regulatory Review and Risk Assessment: Lead the annual 206(4)-7 risk assessment, testing, and review process.Policy andmunication Drafting: Create and maintainprehensive policies, procedures, and both internal and externalmunications.Conflict Resolution: Proactively identify and manage situations...

Chief Compliance Officer Swap Execution Facility. Serve as Chief Compliance Officer (CCO) advising on day-to-day issues for all Swaps executed through the Firm’s Swap Execution Facilities (“SEF”). Assist in pulling the necessary information for regulatory reviews, audits and other examinations Ac...

Compliance Officer – Head of Origination & Advisory – Director. As the Compliance Officer – Head of Origination & Advisory Director, you will lead a team and focus on providing real-time support to the Origination & Advisory (O&A) Coverage business. Provide regulatory/compliance training. Perform...

As our Senior Information Security Compliance Officer, you will be part of our Information Security team, overseeing our InfoSec compliance requirements. This role partners with several areas of Digital Science and adds value through delivering a robust compliance framework to meet our ever evolv...

Director will be the Commercial Broker Dealer Chief Compliance Officer (“BD CCO”) for three institutional FINRA registered broker-dealers and provide compliance support to the Capital Markets line of business, a division within the Commercial Bank of Capital One. NYC 299 Park Avenue (22957), Unit...

Senior Data Privacypliance Officer - Legal &plianceThe energy of a newsroom, the pace of a trading floor, the buzz of a recent tech breakthrough; we work hard, and we work fast - while keeping up the quality and accuracy we're known for. ...

Support the Compliance Division in formulating and performing a periodic review of key Compliance policies and controls to ensure that they remain robust and in line with regulatory standards and industry/peer best practices. These policies are in GIC’s Compliance Manual and Code of Ethics, inclu...

The Advisory Compliance team serves as a regulatory advisory function 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, Underwrit...

Annually review the AML compliance officer's activity report and obtain interim reports for higher-risk activities. Annually assess the effectiveness of the compliance function, including through audits. ...

Seniorpliance Officer - Bloomberg Tradebook - Legal &plianceThe energy of a newsroom, the pace of a trading floor, the buzz of a recent tech breakthrough; we work hard, and we work fast - while keeping up the quality and accuracy we're known for. ...

Family and Medical Leave Act ; Employee Polygraph Protection Act and Pay Transparency Nondiscrimination Provision ....