Are you a business? Hire compliance officer candidates in College Point, NY
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 Firm's fix...
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...
Equities 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 Equity and Equity Derivatives Compliance. TP ICAP is seeking an Equities Compliance Officer to provide regulatory/compliance advice and support to the ...
The Compliance and Privacy Officer, reporting to the Chief Human Resources Officer, will have primary responsibility for the compliance and privacy programs at God's Love We Deliver. The Compliance and Privacy Officer will review, revise and maintain the organization's compliance and privacy poli...
NYC Aging seeks a highly motivated Senior manager with broad-based experience in compliance, internal and external audit, financial reporting and programmatic fiscal processes to serve as Chief Compliance Officer. Reporting to the Chief Financial Officer, with additional accountability to the Fir...
Serves as a senior function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and delivery of a ris...
This role will act as Homesteaders Life Company’s AML officer and the head of the SIU, as well as the Chief Privacy Officer. Responsible for the compliance activities of the company’s operating departments, including research, and advice regarding compliance matters and maintains related researc
Our fast-paced Compliance team is looking for a Compliance Monitoring Officer with experience in performing compliance and risk quality assurance monitoring procedures in the payments and/or finance industry. Compliance Monitoring Officer (Audit, QA, Risk Assessment, Testing). Collaborate with th...
JOB SUMMARY Responsible for soliciting, negotiating, underwriting and coordinating the closing of mortgage loans in compliance with the Bank's lending policies and procedures; Develops business ...
Manage annual audits of retirement plans and preparation of Forms 5500, 945 and other filings in collaboration with CFO, other HR specialists and Plan auditors * Ensure compliance with federal, state ...
Research Compliance Officer Location: New York, NY Firm Overview: Cantor Fitzgerald L.P., with over 12,000 employees, has been a leading global financial services firm at the forefront of financial ...
Compliance Officer Location : New York City (Hybrid) Overview : A boutique investment management firm is seeking a Compliance Officer to join their team in NYC. This role offers the unique ...
A global bank located in Midtown Manhattan looking to bring on board a "Director - Fixed Income Compliance Officer" to join their team. This role is currently in a hybrid schedule (2 days in office
We are seeking a highly skilled and experienced Investment Banking Compliance and Supervision Officer to join our team. This role requires 3-5 years of experience in investment banking, with a focus ...
Review and validation of High Risk KYC files to ensure completeness and compliance with Bank policies and Regulatory Requirements. * Review and issue regulatory guidance to Bank staff on proposed ...
Collaborate with senior legal and compliance officers to update and refine internal compliance policies and procedures related to fund allocations and investment processes. * Risk Assessment
Collaborate with the Chief Compliance Officer. Qualifications * 6-12 years of relevant compliance or regulatory experience at a midsize or large financial services or investment firm. * Managerial ...
The COO will be responsible for overseeing the day-to-day operations, ensuring efficiency, compliance, and a commitment to client success. The ideal candidate will have a strong background in ...
The COO will be involved in all phases of administration, personnel, finances, facilities ... Train staff on policies and procedures, linking compliance with the same to Key Performance ...
Support Chief Compliance Officers in liaising with regulatory authorities, responding to inquiries and coordinating regulatory examinations * Help maintain and implement the firm's adviser, fund, AML ...
Chief Executive Officer Direct Reports: Controller, Head of Grants Management; Head of Facilities ... Direct all aspects of financial management and reporting, administration, compliance, governance ...
Immediate need for a talented Privacy Compliance Officer/Data Protection . This is a 06+ Months Contract opportunity with long-term potential and is located in New York NY (Onsite) . Please review ...
Working closely with various teams, including portfolio managers, compliance officers, and traders, to ensure smooth ETF operations. * Troubleshooting: Resolving operational issues related to the ETF ...
Complies with appropriate policies and procedures and brings potential compliance matters to the supervisor or compliance officer. * Participates in ongoing evaluation and development of additional ...
