Compliance officer jobs in New York, NY - Page 3Create job alerts

Experience working within a Swap Dealer and/or Security-Based Swap Dealer Compliance program to meet the requirements of the Dodd-Frank Act. Familiarity with clearing and trade reporting systems, and related compliance programs. Collaborate with Compliance testing teams and other internal control...

The Senior CRA Compliance Officer will report to the CRA Compliance Officer / CRA Program Manager. Support the Bank's CRA Program, including monitoring of the Bank's CRA performance in accordance with the Bank's CRA strategy;. Monitor the Bank's CRA performance (HMDA and CRA Small Business / Smal...

Our team is growing its Fixed Income Compliance team in New York with a focus on FINRA and SEC broker-dealer requirements and corresponding oversight. We are looking for someone to work closely with the Fixed Income, Currencies, and Commodities ("FICC") LOBs and other internal business partners t...

Compliance and Compliance Officers play a crucial role in ensuring that all activities are conducted in accordance with the law. Compliance Officers monitor transactions, conduct regular audits, train employees on regulatory requirements, and implement policies and procedures to minimize non-comp...

Chief Financial Officer to lead strategic financial planning and capital management as we scale our operations globally. Ability to collaborate with technical teams to align financial strategy with innovation goals. Familiarity with financial compliance in highly regulated industries like medical...

Will be responsible for maintaining compliance with policies and procedures related to equities trading according to FINRA and SEC regulations.

Our client, a leading asset management firm based in New York City, is seeking a highly skilled and detail-oriented Compliance Officer to join their team. This hybrid on-site position offers the opportunity to play a key role in overseeing regulatory filings and ensuring compliance with industry ...

This position is placed within the Advisory group of the Financial Security team. The position reports directly to the Head of Advisory Financial Security.

Director - US Regulatory Compliance Officer - Global Banking & Markets - Tampa, FL. Design, develop, deliver, and maintain best-in-class Compliance programs and policies consistent with legislative and regulatory requirements/expectations, emerging trends, and industry best practices. Analyze and...

MSF USA seeks a visionary and collaborative Chief Executive Officer (CEO) to lead this storied organization in a time of unprecedented change domestically and internationally. Chief People, Culture, and Inclusion Officer. Chief Counsel and Compliance Officer.

Reporting to the Chief Compliance Officer, the Deputy Chief Compliance Officer is the independent compliance partner to multiple Business Divisions and is responsible for ensuring that the Compliance Programs appropriately addresses the regulatory risks relative to the Division/Unit's business ac...

Compliance Associate/Compliance Manager to implement our compliance framework and support the Chief Compliance Officer. Compliance Associate/Compliance Manager will also work with the Business Development team and Research team to drive initiatives related to implementing and executing upon world...

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. We are seeking a highly skilled and experienced public equities trading Compliance Officer to join our te...

Anti-Money Laundering Compliance Officer (AMLCO).The company is committed to maintaining the highest standards of regulatory compliance while delivering exceptional execution services to our clients.Company is seeking a highly skilled and experienced Anti-Money Laundering Compliance Officer (AMLC...

Fixed Income Compliance Officer. Conduct compliance training for new and existing regulations and firm policies.

We are seeking a crypto-passionate KYC Analyst who will provide advice and support on legal and compliance matters in the NAM region, working alongside the global team. The KYC Analyst will report directly to the Lead Compliance Officer in New York. Conduct KYC/KYB due diligence for new onboardin...

Having previously served in the role(s) of Chief Compliance Officer (CCO), Director of Compliance or Compliance Officer, you have specific, hands-on experience developing, implementing, and managing a full compliance program for a leading hedge fund or family office. Arootah is searching for Hedg...

The Anti-Money Laundering Compliance Officer position will advise on transactions and products, consider potential reputational risk, and oversee the KYC process for High-Risk clients, with a specific focus on Regular (aka Periodic) KYC Reviews, Event Driven Reviews, and remediation of KYC files ...

The primary focus will be to assist the Compliance Department with leading the expert network review process and providing compliance oversight to investment and non-investment staff in our US offices. In the role of Compliance Officer, Lead Expert Networks the employee will be responsible for th...

The Senior Compliance Officer will collaborate closely with the portfolio management team, the global compliance team, and other departments to uphold the highest standards of compliance and integrity. We are seeking a highly skilled and experienced Senior Compliance Officer to join our dynamic c...

The Compliance team also handles the investment due diligence process, assists with operational support for investing activities, and maintains compliance with the firm's Code of Ethics. The role dual reports to the Deputy Chief Compliance Officers for KKR Private Markets and KKR Public Markets. ...

Recommend and implement changes to the Societe Generale ("SG") Swap Dealer ("SD") and Security-based Swap Dealer ("SBSD") Compliance Programs, including relevant policies, procedures and controls, on an ongoing basis;.Provide robust, independent advice to SG Business Units/Service Units on DFA re...

Work closely with other support functions and business areas to foster a culture of compliance across the firm. Contribute to annual compliance training requirements and regulatory change impact assessments as needed. Assist with developing and executing the annual Compliance Testing plan.

The Bank Regulatory Compliance Officer ("Compliance Officer") will provide advisory and monitoring support to assigned business areas in implementing Compliance policies and procedures regarding State and Federal banking regulations. The Compliance Officer will provide advice and support on matte...

This role will be on the US Compliance team, supporting OKX in the US, and will assist the BSA Officer with ensuring that local regulatory requirements are met and the Compliance program is designed and executed effectively. The Compliance function at OKX is responsible for the overall compliance...

At American Express, you'll be recognized for your contributions, leadership, and impact-every colleague has the opportunity to share in the company's success. The Global Risk & Compliance Organization (GRC) is an independent risk management function, led by the Chief Risk Officer, with the objec...

AML / OFAC Compliance Officer / Advisory (Financial Security). Types of Jobs - Compliance / Financial Security. This position is placed within the Advisory group of the Financial Security team.

Head of Monitoring & Surveillance Compliance Officer - Director. Types of Jobs - Compliance / Financial Security. The Head of Monitoring and Surveillance will also be responsible for managing controls on specified activities as well as overseeing the Firm's data loss prevention compliance framewo...

This role involves developing, implementing, and maintaining policies and procedures to mitigate export and trade compliance risks and ensure compliance in the University's academic, research, and operational activities, and day-to-day management of the Export and Trade Compliance Program, an ele...

Chief Legal counsel or General Counsel with a leading Hedge Fund or Family Office. Arootah is searching for experienced Chief Legal Counsel or General Counsel to consult to our highly prestigious client base. Work directly with the Founder/Principal, Chief Compliance Officer, and outside legal co...

Identifies and communicates issues regarding loan fund bank accounts and check requests, in a timely manner, to the Executive Director, Chief Lending Officer and Director of Portfolio Management and Compliance. Works with Senior Manager of Development and Grants Administration and the Executive D...

The Investment and Corporate Banking Advisory ("ICBA") Compliance Officer - Americas is responsible for the regulatory advisory function of the investment banking and financing activities. Partner with other Compliance teams, including CMG, Transversal, Financial Security and Capital Markets Comp...

The Global Compliance Department manages a Firmwide Compliance Risk Management program, including Compliance risks that transcend business lines, legal entities and jurisdictions of operation. The Sales and Trading Compliance Group in Institutional Securities Compliance advises and assists the Fi...

Oversee third-party Information Security risk management, ensuring vendor compliance with MLS's security and privacy requirements. Major League Soccer (MLS) is seeking an experienced Chief Information Security Officer (CISO) to lead data privacy, compliance, and cybersecurity initiatives. Secure ...

High school diploma or equivalent; additional certifications in code enforcement preferred. Proven experience in code enforcement or related field. As a Code Enforcement Officer, you will ensure compliance with municipal codes and ordinances, including zoning, land use, and property maintenance r...

The Compliance Officer will primarily assist in the day-to-day management of Capstone's Trade Compliance program and provide advisory support to Capstone's trading staff. Support the compliance testing and monitoring plan by executing various compliance monitoring routines, developing testing pro...

The Bank Regulatory Compliance Officer ("Compliance Officer") will provide advisory and monitoring support to assigned business areas in implementing Compliance policies and procedures regarding State and Federal banking regulations. The Compliance Officer will provide advice and support on matte...

Registered Funds Compliance team within the global Legal and Compliance Department, primarily focusing on the 38a-1 compliance program. 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 PIMCO's broader c...

Interact with deal team to collect customer identification and beneficial ownership information.Conduct Know Your Customer due diligence on customers, counterparties, and third-party Intermediaries to identify and understand:.Source of funds, or use of proceeds as appropriate.Direct and indirect ...

Contribute to assessing the effectiveness of the program and establish feedback loop for future policy enhancements, and Training content and delivery improvements. Policy Development, Training, and Risk Management, preferably at a banking, technology or a financial services organization. The abi...

Bachelor's degree in Information Security, Cybersecurity, Computer Science, or a related field (or equivalent experience). Associate Information Security Officer. Strong understanding of security principles, risk management practices, and compliance frameworks.

This 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. Works independently and is accountable for managing a specialized compliance ar...

Escalates identified risk issues to the Corporate Compliance Director or Risk Assessment Officer. Identifies, develops, and maps initial risk factors and themes to the appropriate Lines of Business for the Corporate Compliance Risk Assessment. Reviews initial responses from Business Units for the...

As the US Regional Compliance Officer (RCO) and Designated Compliance Officer (DCO) of Morningstar DBRS (MDBRS), you will play a pivotal role in establishing and maintaining a robust compliance program for MDBRS credit ratings. Lead and manage a team of compliance professionals, fostering a cultu...

You have at least 5 years' experience as a compliance officer, preferably with an SEC-registered investment advisory firm. Looking to advance your career as a Compliance Officer and join a growing investment management business? This is a fantastic opportunity to join a great company and gain exp...

Top Tier Healthcare Provider is looking for a Chief Technology Officer to join their growing team. This individual must understand the Health Information Exchange (HIE) landscape, New York healthcare compliance regulations, and the intersection of public health and commercial revenue opportunitie...

MongoDB seeks a senior individual to act as the VP focused on compliance and trust, representing the office of the CISO and Product organizations in the field. Manage a team of compliance professionals, providing mentorship and professional development. A minimum of 10 years of experience in comp...

Compliance Officer - FCM and Clearing Member Compliance. Assist the FCM's Chief Compliance Officer by delivering Compliance Advisory services to FCM and Clearing Member business. The Compliance Department at Millennium serves to adopt, implement, and carry out a compliance program, including poli...