Trabajos compliance officer en Woodside, New York (NY) State

Job Description:Job Title Compliance Officer – Investment Bank Compliance – Origination & Advisory – Capital MarketsCorporate Title Vice PresidentLocation New York, NYOverviewYou will provide real-time support to Equity Capital Markets (ECM) and Strategic Equity businesses. ...

Guide, recommend, and implement enhancements to the Volcker compliance program and related policies/procedures to ensure that they are reasonably designed to achieve compliance with applicable requirements. Overall, the candidate should have a strong functional knowledge of the Volcker rule, and ...

LHH Recruitment Solutions is working on an EXCITING Corporate Counsel/Compliance Officer opportunity with a company located in Suffolk County, New York. Demonstrated expertise in contracts, regulatory compliance matters, and corporate law. ...

Implement and/or maintain a comprehensive investment advisory compliance program for SEC Registered Investment Advisor (“RIA”) affiliates of Société Générale Americas Securities, LLC, a FINRA broker-dealer, to ensure compliance and practices with Investment Company Act of 1940, as well as Securit...

Compliance Officer – Head of Origination & Advisory – Director. As the Compliance Officer – Head of Origination & Advisory Director, you will lead a team and focus on providing real-time support to the Origination & Advisory (O&A) Coverage business. Provide regulatory/compliance training. Perform...

The Senior Compliance Officer-Licensed Attorney will play a critical role in ensuring that our company adheres to all relevant federal, state, and local regulations, as well as internal policies and procedures. Compliance Program Management: Develop, implement, and maintain a comprehensive compli...

We have partnered with this prestigious firm to find a Compliance Officer with 5+ years of experience working with vendor policies, expert network chaperoning, and regulatory requirements. Aid the Compliance Department in fulfilling ongoing regulatory obligations and upholding Compliance 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 FINRA and SEC rules and regulations. A financial services firm in New York City is currently seeking an experienced profes...

Develop and implement policies and procedures to maintain regulatory compliance. Conduct compliance risk assessments and internal policy audits. Investigate and resolve compliance issues, escalating when necessary. Over 4 years of experience in public equities trading compliance. ...

Compliance Officer & Accrediting Lead. Entirely owns the compliance and process of acrediting and maintaining the programs above. Ensures our consistent compliance to all of the above points. Business Development strategy and business plan as it relates to compliance . ...

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

The Chief Compliance Officer (CCO) will help oversee the company's ethics, compliance, and privacy initiatives. Compliance, Leadership, Multi-Entity Outpatient Healthcare. Develop and update compliance program policies. Review and approve annual compliance work plans at the entity level. ...

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...

Compliance Officer - Investment Bank Compliance - Fixed Income Sales & Trading - Rates. 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 the fr...

Director Quality Management/Compliance Officer. Serves as the Agency’s Compliance Officer. The Director of Quality and Compliance strives to ensure that all Agency personnel adhere to regulatory requirements, including but not limited to the Federal Conditions of Participation (COPs), New York St...

The PAS Chief Compliance Officer will report directly to the Vice President, Chief Compliance Officer for Individual Markets, who is a member of the Individual Markets leadership team. The Chief Compliance Officer of Park Avenue Securities (PAS) will be responsible for representing the firm to re...

Annually review the AML compliance officer's activity report and obtain interim reports for higher-risk activities. Annually assess the effectiveness of the compliance function, including through audits. ...

Utilize Regulatory Compliance Software, Risk Management Software, and Compliance Reporting Software to monitor and enforce compliance with consumer protection regulations. Ensure that the Consumer Compliance Program, BSA/AML &OFAC Program and Corporate Compliance Program appropriately address re....

Compliance officer that will be responsible for supporting the local compliance program and related regulatory obligation. Assist with the development of specific aspects of a compliance program related to the operation of an SEC Registered Investment Advisor, including integration work. Support ...

The successful candidate will serve as the Chief Compliance Officer (CCO) and be responsible for leading all components of the compliance program for an investment advisory firm in Manhattan, which is currently registered with New York State and will register with the U. The CCO will foster a cul...

Reporting into the Enterprise Chief Compliance Officer, this is a leadership role within SoFi’s Compliance organization. Broker dealer and RIA,  Aadvise the Compliance and Legal teams on emerging compliance issues, regulatory changes, and new rules, and consult and guide the company in the esta.....

Professional certification is highly preferred, such as Certified Bank Compliance Officer (CBCO), Certified Regulatory Compliance Manager (CRCM), or Certified Regulatory and Compliance - Professional (CRCP) would be an asset. The Compliance Officer will oversee Emigrant’s compliance function, as ...

Compliance Officer reports to head of Japan Rating Compliance locally. Compliance Officer, Ratings (long-term Contractor role). The Tokyo Compliance team that is part of the Asia Pacific Compliance team of S&P Global Ratings. Tokyo Compliance team is primarily in charge for providing compliance c...

Senior Compliance Officer, Investments Compliance. Join us as a Senior Compliance Officer, Investments Compliance to play your part in that transformation. Perform compliance due diligence of external managers compliance programs. Global Legal, Compliance and Regulatory (GLCR). ...