Compliance officer jobs in West Babylon, New York (NY) State

The Financial Crimes Compliance Testing Officer is responsible for performing monitoring and testing to ensure that business units are complying with applicable laws, rules, regulations and firm policies and procedures related to Financial Crimes Compliance. This position is responsible for compl...

This position is responsible for completing compliance testing and monitoring of first line activities to ensure appropriate controls are in place for achieving and maintaining compliance with banking laws and regulations Serve an important role in the Regulatory Compliance Department ensuring an...

The Compliance Monitoring and Reporting Officer assists the Compliance Monitoring and Reporting Team in implementing and maintaining the enterprise second line of defense monitoring program. This individual should be knowledgeable in compliance monitoring and testing activities as well as underst...

Leading Trading Firm is looking to hire a Compliance Officer in New York City. This key hire will play a strategic role in running the day-to-day compliance program as the firm continues to build an industry leading team. Cross-Border / International Compliance. ...

Our client, a well-established Alternative Investments firm is seeking to add a Compliance professional to support the growth of the business with an opportunity to join a high performing team. Developing ongoing policies & procedures & monitoring the Compliance program in accordance with FINRA r...

The Compliance Monitoring and Reporting Officer assists the Compliance Monitoring and Reporting Team in implementing and maintaining the enterprise second line of defense monitoring program. This individual should be knowledgeable in compliance monitoring and testing activities as well as underst...

This position is responsible for completing compliance testing and monitoring of first line activities to ensure appropriate controls are in place for achieving and maintaining compliance with banking laws and regulations Serve an important role in the Regulatory Compliance Department ensuring an...

The Financial Crimes Compliance Testing Officer is responsible for performing monitoring and testing to ensure that business units are complying with applicable laws, rules, regulations and firm policies and procedures related to Financial Crimes Compliance. This position is responsible for compl...

This position is responsible for completing compliance testing and monitoring of first line activities to ensure appropriate controls are in place for achieving and maintaining compliance with banking laws and regulations Serve an important role in the Regulatory Compliance Department ensuring an...

The Global Compliance Department manages a Firmwide Compliance Risk Management program, including Compliance risks that transcend business lines, legal entities and jurisdictions of operation. Volcker Compliance Officer (Vice President). Recommending and implementing enhancements to the Volcker c...

Summary: The Compliance Department at Credit Agricole's Combined US Operations (CUSO) seeks an individual to join the department and report to the CUSO Head of Compliance Risk Assessment, being responsible for coordinating the Compliance Risk Assessments (CRA) across all business lines on behalf ...

Key Responsibilities:Review and validation of High Risk KYC files to ensure completeness and compliance with Bank policies and Regulatory Requirements. Key Internal Contacts:The employee will most likely interact on a regular basis with the Client On Boarding group, Front Office personnel, Head O...

Support the Compliance Division in formulating and performing a periodic review of key Compliance policies and controls to ensure that they remain robust and in line with regulatory standards and industry/peer best practices. These policies are in GIC’s Compliance Manual and Code of Ethics, inclu...

The Financial Crimes Compliance Testing Officer is responsible for performing monitoring and testing to ensure that business units are complying with applicable laws, rules, regulations and firm policies and procedures related to Financial Crimes Compliance. Compliance Testing Officer - Financial...

This position is responsible for completing compliance testing and monitoring of first line activities to ensure appropriate controls are in place for achieving and maintaining compliance with banking laws and regulations Serve an important role in the Regulatory Compliance Department ensuring an...

Key Responsibilities:·         Review and issuance of opinions for High Risk KYC files, high risk transactions to ensure completeness and compliance with Bank policies and Regulatory Requirements. Prepare daily reports and reconciliations of all daily transaction and customer uploads within compl...

The Financial Crimes Compliance Testing Officer is responsible for performing monitoring and testing to ensure that business units are complying with applicable laws, rules, regulations and firm policies and procedures related to Financial Crimes Compliance. This position is responsible for compl...

The Compliance Monitoring and Reporting Officer assists the Compliance Monitoring and Reporting Team in implementing and maintaining the enterprise second line of defense monitoring program. Compliance Testing Officer - Monitoring & Reporting. This individual should be knowledgeable in compliance...

This position is responsible for completing compliance testing and monitoring of first line activities to ensure appropriate controls are in place for achieving and maintaining compliance with banking laws and regulations Serve an important role in the Regulatory Compliance Department ensuring an...

As our Senior Information Security Compliance Officer, you will be part of our Information Security team, overseeing our InfoSec compliance requirements. This role partners with several areas of Digital Science and adds value through delivering a robust compliance framework to meet our ever evolv...

The WM Consumer Compliance Group within the Legal and Compliance Division (LCD) is seeking a senior Compliance Officer responsible for providing advice and guidance to business segments within Wealth Management responsible for opening, maintaining, and servicing of self-directed brokerage account...

The President and Chief Compliance Officer, for BDO Capital Advisors, LLC will serve dual roles in leading the organization’s investment banking subsidiary and managing its operational and compliance functions. The President and Chief Compliance Officer will work on building, implementing, and ov...

This is a generalist position that will report to the Chief Compliance Officer and will work directly with a team of three Compliance Officers. Compliance Officer - Vice President/Director. We are seeking an experienced legal and compliance professional to join our team and assist with all aspect...

This position is responsible for completing compliance testing and monitoring of first line activities to ensure appropriate controls are in place for achieving and maintaining compliance with banking laws and regulations Serve an important role in the Regulatory Compliance Department ensuring an...