Compliance officer jobs in New York, NY - Page 5Create job alerts

The Marketing Compliance Officer will review and approve all communications to the public including, but not limited to, marketing materials, monthly reports, factsheets, request for proposals, due diligence questionnaires, website content and electronic communications. Work closely with the Comp...

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...

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...

Compliance Officer, Research Vendor Vetting. Balyasny Asset Management is seeking an experienced Compliance Officer for its New York office. The employee will report to a Senior Compliance Counsel and will work closely with both the Compliance and Legal Departments. In the role of Compliance Offi...

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 ...

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

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...

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

The successful candidate will report directly to the Chief Compliance Officer (CCO) and will be responsible for assisting in the development, implementation, and maintenance of our compliance program. The Deputy Compliance Officer will also play a key role in ensuring that our company operates in...

Working with Compliance Officers and the Risk & Internal Controls team globally, the Data & Technology Covering Compliance Officer will be a direct liaison and a point of escalation contact for S&P Global Ratings data and technology activities from a Compliance, Risk & Internal Controls perspecti...

At least five years’ experience in role of senior lawyer with compliance responsibilities, or senior compliance officer (or CCO) for registered funds. Chief Compliance Officer for over $55 billion complex of funds registered under the Investment Company Act of 1940, covering multiple asset classe...

Compliance Officer – Investment Bank Compliance – Origination & Advisory – Capital Markets. 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 th...

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...

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...

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...

Reporting to CACIB US Compliances Head of Governance and Ethics, the Compliance Officer will be in charge of implementing & maintaining CACIB US Compliance Governance Framework; acting as Secretary of the committees managed by CACIB US Compliance department and performing 2nd line of defense cont...

Self Clearing Broker Dealer seeks experienced Chief Compliance Officer with a minimum of 5 years of experience working for a Self Clearing Broker Dealer. Oversee the broker-dealer compliance program functions including implementation of written supervisory procedures, transaction monitoring, AML ...

The Fair Banking Compliance Officer provides second line oversight and support to TD Bank's compliance and business units related to fair lending and UDAAP for all consumer and commercial products. The Compliance Business Oversight Manager provides advice, support and objective guidance to assign...

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 assigned list of clients;. Monitor/review business activities across various product areas, while fulf...

The Executive Compliance Officer – Solutions Advisory position will provide compliance advisory services across multiple business lines and asset classes, including OTC derivatives, structured notes/products, equities, fixed income, listed options, equity derivatives, and hedging activities. Comp...

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...

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...

CIB Americas Compliance seeks a VP-level Compliance Officer to contribute at the CIB Americas Control Room and support a dynamic CIB Americas Compliance Department. The Compliance Officer will have direct coverage responsibility to oversee and review deal-related conflicts issues. The Compliance ...

Leading compliance initiatives and collaborating on strategic projects, including implementation of compliance programs. Providing ongoing compliance advice to Tower’s trading teams and reviewing new product requests. Assisting in the maintenance of the existing Broker Dealer compliance programs....