Compliance officer jobs in Plainview, New York - Page 2Create job alerts

Responsibilities: * Lead a team to further build and operate compliance programs for Antibribery and Anti-Corruption (ABAC), Insider Trading, Conflicts of Interest, and Antitrust (conduct compliance topics) * In collaboration with the Office of General Counsel (OGC), oversee risk assessments; monit

Chief Compliance Officer (CCO) & General Counsel (GC). Act as the primary liaison with regulators, auditors, and legal counsel for all compliance matters. Perform and oversee compliance testing, risk assessments, and internal audits tailored to a small firm’s operational structure.