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Compliance Officer Jobs in New Jersey

545 jobs

Performs periodic testing reviews of the compliance control framework as directed by Compliance Monitoring and Testing (CMAT) management. Assures compliance with internal and external policies and procedures and with laws and regulations applicable to HNAH’s banking activities in the U.S. Focuses on control activities (e.g., first line of defense compliance monitoring functions) within and across ...

Qualifications Minimum of five to seven years proven and progressive financial services audit, operations, and/or compliance experience or equivalent. Bachelor’s degree in business, finance, related field or equivalent experience. Strong communications, analytical, organizational, and planning skills. Knowledge of assigned businesses, products, operations, systems and organization and understa...

Senior Compliance Officer-Consumer & Community Banking Compliance Controls & Practices-150061664 Job Description JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $2.6 trillion and operations worldwide. The firm is a leader in investment banking, financial services for consumers and small business, commercial banking, financial transaction processing, an...

Senior Compliance Officer - ICG Compliance Program Management Office-15025472 Description Identify stakeholders and key organizations, building and managing relationships with each Direct the creation of multiple projects of work and manage their alignment to business goals Lead the facilitation, coordination, and arbitration of cross-functional macro level topics within/across projects and wi...

Performs periodic testing reviews of the compliance control framework as directed by Compliance Testing & Control (CTAC) management. Assures compliance with internal and external policies and procedures and with laws and regulations applicable to HNAH’s banking activities in the U.S. Focuses on control activities (e.g., first line of defense compliance monitoring functions) within and across the f...

Senior Compliance Officer- ICG Compliance Program Management Office-15054839 Description The Institutional Client Group (ICG) Compliance Program Management Office (PMO) manages and/or coordinates ICG Compliance projects at the region, country or global level. These projects generally, but not exclusively, have a significant technology component and involve implementing or enhancing proprietary o...

The successful candidate will have experience interacting with knowledgeable and demanding audiences at all levels of management. The incumbent is expected to demonstrate flexibility, versatility and an ability to shepherd multiple concurrent priorities to completion without significant guidance. Demonstrable success in coordinating large-scale projects involving geographically and functionally di...

Compliance Officer III ( Job Number: 1506956) For over 230 years, the people of BNY Mellon have been at the forefront of finance, expanding the financial markets while supporting investors throughout the investment lifecycle. BNY Mellon can act as a single point of contact for clients looking to create, trade, hold, manage, service, distribute or restructure investments & safeguards nearly one-...

Compliance Officer-Information Barrier Surveillance Analyst-15048735 Description ICG Compliance's Information Barrier Surveillance Group (IBSG) partners with the firm's Control Group to maintain and enforce information barriers separating private-side and public-side businesses. It monitors daily trading activity to ensure the integrity of the firm's information barriers. IBSG fulfills its manda...

· Conduct comprehensive health compliance reviews, including reviews of existing processes, and propose and implement necessary changes · Effectively implement and lead key strategic compliance projects, processes and initiatives · Evaluate risks, provide guidance and respond to complex compliance issues and inquiries in all operational settings · Advise leadership on compliance issues includin...

The ideal candidate must have an undergraduate degree with 5 years of experience in capital markets or securities compliance. The candidate should have a general understanding of securities trading and corresponding regulations with proven ability to prioritize and manage multiple projects. Information Barrier/Control Group experience is a plus. Strong interpersonal, verbal and written communicati...

Compliance Officer III ( Job Number: 1506956) For over 230 years, the people of BNY Mellon have been at the forefront of finance, expanding the financial markets while supporting investors throughout the investment lifecycle. BNY Mellon can act as a single point of contact for clients looking to create, trade, hold, manage, service, distribute or restructure investments & safeguards nearly one-...

Serves as a Local Compliance Officer (LCO) for an assigned business line, global function or HSBC Technical Services (HTS), provides regulatory compliance expertise and guidance in an advisory capacity to senior management in support of strategic initiatives and management of compliance risk. This role typically reports to either a SVP LCO or VP Director LCO. May be responsible for the management ...

The Compliance Officeris responsible for overseeing the organization and its vendors’ compliance with applicable laws and regulations with regard to debt collection. Starting Salary Competitive and commensurate with experience. JOB DUTIES AND RESPONSIBILITIES (include but are not limited to). Plays a key role in ensuring that the organization complies with all federal, state, and local laws and ...

Overview Compliance Officer AML in Jersey City, NJRandstad Professionals Branch Jersey CityNJUS Position:Compliance Officer AMLLocation:Jersey City, NJ Analysis and reporting. Periodic management reporting on the status of the review and the enhancements. Knowledge of AML requirements as applicable to the… Compliance Officer AML Large Investment Bank New York NY Job Description Risk Assess...

Senior Compliance Officer- Private Bank-15073848 Description CPB, Senior Compliance Officer responsible for the regulatory review of all public-facing investment-related communications within Citi Private Bank including but not limited to Alternative Investments, Structured Products, Investment Advisory, Capital Markets, Equities and Fixed Income. He/She will report to the Director of the Commun...

--PURPOSEThe Equity Compliance team provides advisory compliance services to the Global Equity (including Global Equity Linked Products Group) and Central Funding compliance business lines. In addition, members of the advisory team are expected to assist in identifying and mitigating key risk areas by assisting in various regulatory, trade and transaction reporting, and business-driven initiatives...

7 years of relevant experience in financial/compliance industry Bachelor’s degree Series 7 and 24 suggested Knowledge of FINRA and SEC Rules and Regulations and investment products (including but not limited to Alternative Investments, Structured Products, Investment Advisory, Capital Markets, Options, Commodities, Equities and Fixed Income). Ability to build strong relationships with business...

Qualifications Strong background in compliance within a financial services environment and be able to understand, interpret, and apply complex regulatory requirements to business practices. Minimum of seven years proven audit, compliance, financial services operations and/or regulatory experience, or equivalent. Well-developed communications, negotiation, analytical, organizational, project man...

Compliance Officer- Surveillance (Electronic Communications)-15070857 Description Citi's Electronic Communications Group, a department within Compliance, performs employee oversight for email, IM and voice communications for the North America region. The department's primary responsibilities include: a comprehensive review and resolution of voice surveillance alerts that are prescreened by a lev...