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

About the job HR / Human Resources. Experience: Trainee / entry level to Chief HR officer (CHRO). Assist in developing and implementing HR policies and procedures to align with organizational goals and ensure compliance with labor laws and regulations.

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...

Proficient with technical applications such as Microsoft Excel and compliance software. Assist the Chief Compliance Officer with the following:. Monitoring compliance applications for employee personal account dealings, employee trading, outside business activities, private securities transaction...

Proactively engages with Compliance, Legal and control function colleagues to enhance the overall Compliance program. Interfaces with regulators and Internal Audit during compliance related examinations / audits related to coverage area. Create and deliver compliance training by drafting appropri...

We are seeking a highly skilled and experienced Investment Banking Compliance and Supervision Officer to join our team. Develop and enforce compliance policies and procedures, ensuring they are updated in line with regulatory changes and industry developments. Strong understanding of compliance a...

Collaborate with sales & marketing across pitchbooks, digital marketing , social media. Maintain policies & proceedures regtarding marketing material content & review. Marketing Compliance for Investment Advisor or Broker Dealer.

Manage regulatory exams, including preparing responses and closure for regulatory requests. Attention to detail, sound judgment, and the ability to balance regulatory requirements with business objectives. Reporting directly to the Chief Compliance Officer, you’ll be responsible for development a...

Review and validation of High Risk KYC files to ensure completeness and compliance with Bank policies and Regulatory Requirements. The position's main responsibilities are centered on the following: reviewing and validating high risk KYC files, and providing AML and/or sanctions related guidance ...

Support the Global Head of Privacy and Data Protection in implementing the Global Privacy and Data Protection Policy and framework. Assist with elements of the privacy compliance framework including undertaking privacy review of high-risk businesses, assisting in the completion of the record of p...

Research Compliance, a line of business advisory team within Compliance, is seeking a highly motivated individual for a VP role in our New York office. In this role you will provide compliance guidance and support to the US Research team, working closely with Investment Banking, Capital Markets, ...

Research and maintain up-to-date knowledge of events relating to security issues and potential impact on security policy, compliance, evaluation and oversight issues. PROFESSIONALISM: Knowledge and understanding of field security operations and in evaluation, compliance, oversight matters, and of...

The ideal candidate will have a strong background in investment compliance and direct experience working with senior stakeholders such as traders and portfolio managers. Perform ongoing testing in all compliance areas which consist of (insider trading surveillance, compliance with firm policies, ...

The Compliance Regulatory and Assurance (CPL RA) team is a recently established “Center of Excellence” within the CACIB Compliance Function reporting directly to the Chief Compliance Officer (CCO). This Project Manager position will primarily support two compliance functions, more specifically,.

The Company is seeking a Compliance Manager, VP to join its Multi-Asset Investments team. Vice President, Compliance Manager. The successful candidate will work closely with the Chief Compliance Officer to address a range of legal and compliance issues associated with various investment funds.

The Company is in search of a Chief Compliance Officer (CCO) to spearhead its global compliance program.

The Chief Risk Officer will also be tasked with facilitating risk-informed decision-making, providing effective challenges to maintain the integrity of the business's risk posture, and ensuring compliance with regulatory requirements and industry best practices. The Chief Risk Officer will be exp...

The Chief Risk Officer will also be tasked with facilitating risk-informed decision-making, providing effective challenges to maintain the integrity of the business's risk posture, and ensuring compliance with regulatory requirements and industry best practices. Essential duties include establish...

Vice President, Tax Compliance Officer. The Company is seeking a VP - Tax Compliance Officer to join their team. The successful candidate will be responsible for tax planning and compliance, ensuring a deep understanding of income tax accounting standards for US and IFRS GAAP, and will have exten...

The Company is seeking a Chief Compliance Officer (CCO) to join their team and play a pivotal role in fostering a culture of compliance. Chief Compliance Officer (CCO). This includes conducting regular compliance risk assessments, monitoring regulatory changes, and providing guidance to business ...

The Company is seeking a Chief Risk Officer (CRO) to lead its Office of Risk Management, including compliance and legal functions. The CRO will be expected to set and maintain standards for risk policies and procedures, conduct risk assessments, and ensure that the company's risk profile is in li...

The Legal and Compliance Department consists of the General Counsel, the Chief Compliance Officer, Associate General Counsels, and several paralegals, legal assistants and compliance professionals.The Legal and Compliance Department coordinates, oversees, and handles all legal, regulatory and com...

Tradeweb Compliance is looking for a junior to mid-level compliance officer to support our core compliance functions across our regulated entities globally. Improving and routinely prepare compliance management information for use by the Head of Compliance in governance fora. Executing frequent c...

Tradeweb Compliance is looking for a junior to mid-level compliance officer to support our core compliance functions across our regulated entities globally. Improving and routinely prepare compliance management information for use by the Head of Compliance in governance fora. You will have a high...

Work with traders to ensure that all trades are executed in compliance with regulatory requirements and internal policies. In this role, the Trade Compliance Officer will be responsible for ensuring compliance with all relevant regulatory requirements related to public equities trading, including...