Compliance officer jobs in New York, NY - Page 4Create job alerts

Conduct branch office audits for Capital Markets locations and assist the CEO in Annual Market Access Testing for Capital Markets activities. Draft and update Capital Markets Policies and Written Supervisory Procedure and work with the CCO in obtaining information and documentation for Capital Ma...

As the broker-dealer CCO, the successful candidate will maintain and establish standards and implement procedures to ensure that the broker-dealer compliance program remains effective and efficient in identifying, preventing, detecting and remediating regulatory issues. A minimum of ten years of ...

SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. Sumitomo Mitsui Financial Group, Inc.

Joining Piermont Bank as a Compliance Manager, you will be a member of Compliance/Risk team lead by the Chief Risk Officer. This effort includes, but is not limited to, conducting risk reviews of our customers and Fintech partners as well as conducting compliance quality assurance via validation ...

The CRO will partner with our Chief Compliance Officer (CCO) and our operating Business Leaders to provide consultation and oversight to manage and anticipate enterprise-level and business segment risk. We are seeking a Chief Risk Officer (CRO) to join Arena. Evaluate risk management policies, ri...

The attorney will report to DailyPay’s Deputy General Counsel & Chief Compliance Officer, will supervise the work of a Product Counsel and will work closely with various DailyPay departments, including compliance, policy, product, marketing, procurement, and information security. Engage outsid

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

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...

Reporting directly to the Chief Executive Officer of the Housing Authority, the Chief Compliance Officer (“CCO”) will be responsible for overseeing NYCHA’s compliance with federal, state, and local regulatory obligations; regularly assessing the Authority’s compliance risks; developing and m

The General Counsel is a vital role within the High Line, serving as the primary legal and compliance officer, responsible for overseeing a diverse portfolio that spans real estate and construction, art installations, community engagement, education, and programming. This is a one-person departme...

Implement and/or maintain a comprehensive investment advisory compliance program for SEC Registered Investment Advisor ("RIA") affiliates of Socit Gnrale in the Americas to ensure compliance and practices with Investment Company Act of 1940, as well as Securities Act of 1933, Securities Exchange ...

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. The position reports directly to the Head of Advisory – Financial Security. ...

The primary focus will be to assist the Compliance Department with reviewing and approving Expert Network Requests and providing compliance oversight to investment and non-investment staff in our US offices. Review and approve expert network requests from investment team members . Chaperone exper...

Assist the Head of North America Compliance in overseeing and managing the firm's investment adviser compliance program and ensuring compliance with all applicable laws, regulations, and guidelines. We are seeking a collaborative and inquisitive professional to join our North America Compliance t...

Implement and/or maintain a comprehensive investment advisory compliance program for SEC Registered Investment Advisor (“RIA”) affiliates of Société Générale in the Americas to ensure compliance and practices with Investment Company Act of 1940, as well as Securities Act of 1933, Securities Excha...

Collaborate with divisional functions to implement relevantpliance policies and procedures, fostering a culture of adherence to laws and regulations.Provide oversight for the Division's IOSCO assurance program.Offer advisory services onpliance matters and actively participate in relevantmittees.D...

Siebert Williams Shank & Co. Siebert Williams Shank & Co. ...

This individual will also be responsible for: identifying and communicating laws and regulations and best practices to Emigrant’s Trust business lines, coordinating training programs for employees, reviewing and implementing the compliance program, updating and revising policies and procedures to...

Seniorpliance Officer - Bloomberg Tradebook - Legal &plianceThe energy of a newsroom, the pace of a trading floor, the buzz of a recent tech breakthrough; we work hard, and we work fast - while keeping up the quality and accuracy we're known for. Bloomberg's Legal &pliance Department plays a crit...

Manage contract change requests, amendments and extensions ● Maintain accurate contract records and documentation ● Research regulations to ensure contracts are updated and in compliance with laws Engagement: ● Coordinate with the Office of the Chief Financial Officer to ensure financial aspects ...

AXA Investment Managers | Home | AXA IM Corporate (axa-im). ...

Investment bank located in Midtown Manhattan looking to bring on board an “Compliance Officer – Investment Bank Compliance – – Vice President” to join their team. Support the global compliance monitoring program by providing input on the framework documents and completing verification checks as o...

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...

SEFpliance Surveillance Lead and Advisorypliance Officer - Legal &plianceThe energy of a newsroom, the pace of a trading floor, the buzz of a recent tech breakthrough; we work hard, and we work fast - while keeping up the quality and accuracy we're known for. Bloomberg's Legal &pliance Department...