Compliance officer jobs in Kings County, New York (NY) State

Surveillance Compliance Officer. Hamlyn Williams have partnered with a global financial services platform, based in New York, NY, that are looking to hire a Surveillance Compliance officer. As a Surveillance Compliance Officer, you will:. As a Surveillance Compliance Officer, you will need:. ...

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...

A prominent Broker-Dealer client of ours is seeking to grow their compliance function by adding an FCM (Futures Commission Merchant) Compliance Officer to their team. Support broader compliance function by providing regulatory compliance guidance from an advisory capacity for the FCM, IBs (introd...

Compliance Officer (New York, NY). Organization views compliance as a resource and value add so they have an excellent culture of compliance. Assist with day-to-day compliance matters, managing the firm’s personal trading, gifts and entertainment, outside business activities and political contrib...

As a Senior Trade Surveillance Compliance Officer, you will play a crucial role in ensuring that our firm adheres to regulatory requirements and internal policies related to trade surveillance. Develop and maintain surveillance policies, procedures, and controls to ensure compliance with regulato...

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...

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...

Surveillance Compliance Officer. Hamlyn Williams have partnered with a global financial services platform, based in New York, NY, that are looking to hire a Surveillance Compliance officer. As a Surveillance Compliance Officer, you will:. As a Surveillance Compliance Officer, you will need:. ...

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...

Natixis seeks a VP-level Compliance Officer to join and grow with the CIB Americas Compliance Department. As a member of the Compliance Advisory Team, the Compliance Officer will assist with providing day to day coverage of the Global Markets Derivatives sales and trading business, which includes...

A prominent Broker-Dealer client of ours is seeking to grow their compliance function by adding an FCM (Futures Commission Merchant) Compliance Officer to their team. Support broader compliance function by providing regulatory compliance guidance from an advisory capacity for the FCM, IBs (introd...

HR Chief Diversity Officer - Diversity and Compliance: York College/CUNY. HR Chief Diversity Officer- Diversity and Compliance: York College/CUNY. Implements the College's Affirmative Action and Equal Opportunity policies and ensures compliance with relevant city, state, and federal statutes such...

Serves as a Markets Fixed Income Product Compliance 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 managemen...

HR Chief Diversity Officer - Diversity and Compliance: York College/CUNY. HR Chief Diversity Officer- Diversity and Compliance: York College/CUNY. Implements the College's Affirmative Action and Equal Opportunity policies and ensures compliance with relevant city, state, and federal statutes such...

The Chief Risk & Compliance Officer will be responsible for leading comprehensive risk and compliance functions commensurate with the Wyoming Stable Token’s risk profile. The CRCO will design and manage a compliance and risk management program incorporating multiple levels of responsibility and o...

Corporate Banking Compliance Officer, AVP page is loaded. Corporate Banking Compliance Officer, AVP. Partner with Relationship Managers/Product Groups to enable more enriched discussions on risk/AML/Sanctions compliance issues, while managing the progress of KYCs from an end to end basis for an a...

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...

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

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...

SEF Compliance Surveillance Lead and Advisory Compliance Officer - Legal & Compliance. We are looking for a Swap Execution Facility (SEF) Compliance Officer to join our SEF Compliance team. As part of the broader Compliance team, provide Compliance support to the broad range of businesses operate...

The Trade Compliance Officer will:. Monitor trading activities to ensure compliance with relevant regulations, laws, and policies. Work with traders to ensure that all trades are executed in compliance with regulatory requirements and internal policies. Develop and implement policies and procedur...

The successful candidate will serve as the Chief Compliance Officer (CCO) and be responsible for leading all components of the compliance program for an investment advisory firm in Manhattan, which is currently registered with New York State and will register with the U. The CCO will foster a cul...

The Program Officer, Monitoring and Compliance sits within IRC headquarters Resettlement, Asylum and Integration (RAI) Department which manages programming that serves refugees, asylum seekers and other types of Program Officer, Monitoring and Compliance supports the overall quality assurance an...