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Compliance Analyst Jobs in New York

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The role of the Divisional Compliance Officer is to articulate and maintain the standards of conduct required of the Firm?s businesses as well as the laws, regulations and policies governing these businesses in order to avoid economic, regulatory and legal liability and risk to reputation. In particular, this Divisional Compliance Officer provides coverage support to Equity Sales, Derivative Sales...

Compliance, Securities Division Compliance Officer, Analyst/Associate, New York Job id38144LocationNew YorkFull/Part TimeFull-time Job Summary Responsibilities The role of the Divisional Compliance Officer is to articulate and maintain the standards of conduct required of the Firm?s businesses as well as the laws, regulations and policies governing these businesses in order to avoid economic, r...

(adsbygoogle = window.adsbygoogle []).push({}); * Department Overview * Barclays moves, lends, invests and protects money for customers and clients worldwide. With over 300 years of history and expertise in banking, we operate in over 50 countries and employ over 140,000 people. We provide large corporate, govement and institutional clients with a full spectrum of solutions to their strategi...

Compliance, PWM Compliance, Analyst, New York Goldman Sachs New York, NY, United States Job Summary & ResponsibilitiesPWM Compliance is a unit within Global Compliance that services the Private Wealth Management area within the Investment Management Division. PWM Compliance is generally responsible for surveillance and oversight of the PWM business. Responsibilities include assisting in adherin...

The role of the Divisional Compliance Officer is to articulate, develop and maintain the standards of conduct required of the Firm?s businesses as well as the laws, regulations and policies governing the Division in order to assist the Firm in avoiding economic, regulatory and legal liability and risk to reputation. The role requires close coordination with various Compliance functions, as well as...

Compliance, Merchant Banking Division, Divisional Compliance Officer, Analyst/Associate, New York Job id37663LocationNew YorkFull/Part TimeFull-time Job Summary Responsibilities The role of the Divisional Compliance Officer is to articulate, develop and maintain the standards of conduct required of the Firm?s businesses as well as the laws, regulations and policies governing the Division in ord...

GSAM Compliance is seeking an associate to join the US Regulatory focused GSAM Compliance team in NY. This team is broadly responsible for ensuring GSAM adheres to the US regulations applicable to its advisory business. The individual will be assisting in the oversight of the external subadvisers and other service providers ( e.g. fund administrator, transfer agent) for US registered investment co...

Compliance, GSAM Compliance-US Regulatory, Sr. Analyst/Associate, New York Job id37274LocationNew YorkFull/Part TimeFull-time Job Summary Responsibilities GSAM Compliance is seeking an associate to join the US Regulatory focused GSAM Compliance team in NY. This team is broadly responsible for ensuring GSAM adheres to the US regulations applicable to its advisory business. The individual will be...

Compliance, BHC/GS Bank Compliance, Regulation W, Analyst, New York Job id36701LocationNew YorkFull/Part TimeFull-time Job Summary Responsibilities Candidate will work as part of the GS Bank Compliance team with the Regulation W compliance officer for the firm. Regulation W is designed to protect against a Bank suffering losses in transactions with affiliates. As such, the candidate will be req...

Candidate will work as part of the GS Bank Compliance team with the Regulation W compliance officer for the firm. Regulation W is designed to protect against a Bank suffering losses in transactions with affiliates. As such, the candidate will be required to work closely with multiple firm departments, including IBD, Securities Division, Operations, Technology, Internal Audit, Compliance and Legal....

PWM Compliance is a unit within Global Compliance that services the Private Wealth Management area within the Investment Management Division. PWM Compliance is generally responsible for surveillance and oversight of the PWM business. Responsibilities include assisting in adhering to regulatory obligations and helping to maintain the firm?s reputation. Principal Responsibilities ? Review marketin...

The principal function of the Office of the Chief Compliance Officer (?Office of the CCO?) is to assist the firm?s Chief Compliance Officers in satisfying their duties and responsibilities under various rules, including but not limited to Dodd-Frank rules. In this regard, the Office of the CCO: ? gathers and analyses information from various firm sources and produces reports based on that informa...

Compliance, Securities Division Compliance: Office of the CCO, Analyst/Associate, New York Job id36438LocationNew YorkFull/Part TimeFull-time Job Summary Responsibilities The principal function of the Office of the Chief Compliance Officer (?Office of the CCO?) is to assist the firm?s Chief Compliance Officers in satisfying their duties and responsibilities under various rules, including but no...

Compliance, PWM Compliance, Analyst, New York Job id36440LocationNew YorkFull/Part TimeFull-time Job Summary Responsibilities PWM Compliance is a unit within Global Compliance that services the Private Wealth Management area within the Investment Management Division. PWM Compliance is generally responsible for surveillance and oversight of the PWM business. Responsibilities include assisting in...

Department Overview Barclays moves, lends, invests and protects money for customers and clients worldwide. With over 300 years of history and expertise in banking, we operate in over 50 countries and employ over 140,000 people. We provide large corporate, government and institutional clients with a full spectrum of solutions to their strategic advisory, financing and risk management needs. Our c...

Compliance Business Analyst - Global Finance Crimes Compliance - Investigations-NY-150020568 Job Description Global Financial Crimes Compliance (GFCC) team is part of The Global Compliance & Regulatory Management department which is responsible for the provision of compliance services to the Firm. The Global Financial Crimes Compliance (GFCC) organization has over 1,000 staff members across the...

Quality Testing Analyst for Employee Compliance & Regulatory Reporting -- Global Compliance Operations-150034101 Job Description JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $2 trillion and operations in more than 60 countries. The firm is a leader in investment banking, financial services for consumers, small business and commercial banking, financ...

Global Compliance Training Content Specialist/Course Facilitator – Vice President JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $2 trillion and operations in more than 60 countries. The firm is a leader in investment banking, financial services for consumers, small business and commercial banking, financial transaction processing, asset management, an...

Compliance - Global Compliance Training Content Specialist/Course Facilitator - Associate - Brooklyn, NY-150043225 Job Description JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $2 trillion and operations in more than 60 countries. The firm is a leader in investment banking, financial services for consumers, small business and commercial banking, fina...

Business Overview: Americas Compliance is an independent governance function headed up by the Managing Director and Chief Compliance Officer for the Americas (Americas CCO) based in New York with responsibility for all Compliance activities in the United States (comprised of business lines rolling up to Retail Banking, Investment Solutions and CIB) and CIB activities in Canada and Latin America. ...