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

Additionally, it provides trade and communications surveillance, and manages transversal support functions that help the department achieve its goalsThe Corporate and Investment Banking division of Société Générale is looking to hire a Capital Markets Compliance Officer who will assume compliance...

Guide, recommend, and implement enhancements to the Volcker compliance program and related policies/procedures to ensure that they are reasonably designed to achieve compliance with applicable requirements. Overall, the candidate should have a strong functional knowledge of the Volcker rule, and ...

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

Our client is seeking a dynamic and experienced Chief Compliance Officer to join their team. Manage risk identification and compliance testing programs including risk matrixing, identifying opportunities for compliance testing and internal control enhancements. The CCO will be responsible for ove...

The Senior Compliance Officer-Licensed Attorney will play a critical role in ensuring that our company adheres to all relevant federal, state, and local regulations, as well as internal policies and procedures. Compliance Program Management: Develop, implement, and maintain a comprehensive compli...

Compliance Officer – Investment Bank Compliance – Fixed Income Sales & Trading – Rates. Provide regulatory/compliance training; assist the Business in implementing and documenting various supervisory/control mechanisms. Support the global compliance monitoring program by providing input on the fr...

We have partnered with this prestigious firm to find a Compliance Officer with 5+ years of experience working with vendor policies, expert network chaperoning, and regulatory requirements. Aid the Compliance Department in fulfilling ongoing regulatory obligations and upholding Compliance policies...

The Chief Compliance Officer (CCO) will help oversee the company's ethics, compliance, and privacy initiatives. Compliance, Leadership, Multi-Entity Outpatient Healthcare. Develop and update compliance program policies. Review and approve annual compliance work plans at the entity level. ...

This position provides technical and professional compliance expertise and advice to leadership, regional support teams, employees, committees and affiliates regarding current and emerging federal, state and local and internal healthcare compliance-related issues consistent with the system-wide C...

In this role, the Trade Compliance Officer will be responsible for ensuring compliance with all relevant regulatory requirements related to public equities trading, including FINRA and SEC rules and regulations. A financial services firm in New York City is currently seeking an experienced profes...

Our client is seeking a dynamic and experienced Chief Compliance Officer to join their team. Manage risk identification and compliance testing programs including risk matrixing, identifying opportunities for compliance testing and internal control enhancements. The CCO will be responsible for ove...

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....

We have partnered with this prestigious firm to find a Compliance Officer with 5+ years of experience working with vendor policies, expert network chaperoning, and regulatory requirements. Aid the Compliance Department in fulfilling ongoing regulatory obligations and upholding Compliance policies...

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...

Compliance Officer (Advisory & Broker Dealer)**. Leumi USA New York, NY USA * Key participant in and contributor to the execution of LISI (Leumi Investment Services Inc) Compliance Program, ensuring alignment with the Firms compliance and strategic direction and recommend policy and/or act...

The Compliance Officer is responsible for all aspects of the consumer compliance program to ensure Piermont Bank adheres to applicable laws, regulations, and in-house policies and procedures while keeping abreast of all regulatory developments and requirements. Manage compliance-related initiativ...

Provide compliance support and oversight to the firm's primary markets lines of business, and advise front office and back office on transactions and operational processes Conduct reviews of transactions Develop policies and procedures to enhance the compliance protocol of the primary markets d...

Director Quality Management/Compliance Officer. Serves as the Agency’s Compliance Officer. The Director of Quality and Compliance strives to ensure that all Agency personnel adhere to regulatory requirements, including but not limited to the Federal Conditions of Participation (COPs), New York St...

PIMCO is seeking a Senior Compliance Officer to join its global compliance team within the Legal and Compliance Department, focusing on the U. The ideal candidate will be based in PIMCO's New York Office and will play a crucial role in supporting the Funds' Chief Compliance Officer and the U. Adm...

Coordinate with CCO to develop the Firm's internal compliance dashboard for servicing client accounts, managing the books and records database, corporate actions, and other operational tasks. Previous broker dealer compliance or other financial services responsibilities a plus. ...

The Compliance Officer will be responsible for ensuring compliance with all relevant regulatory requirements related to public equities trading, including FINRA and SEC rules and regulations. Hold Brothers Capital, LLC, a leading self-clearing broker-dealer is looking for a Compliance Associate/O...

Utilize Regulatory Compliance Software, Risk Management Software, and Compliance Reporting Software to monitor and enforce compliance with consumer protection regulations. Ensure that the Consumer Compliance Program, BSA/AML &OFAC Program and Corporate Compliance Program appropriately address re....

Serves as a function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for assisting with internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a risk managem...

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