New York
Compliance Officer Jobs in New York
135 New York Compliance Officer jobs found on Monster.
Trading & Liquidity Compliance Officer - Vice President Description: One of the world’s preeminent asset management firms and a premier provider of global investment management, risk management and advisory services to institutional, intermediary and individual investors around the world. They offer a range of solutions — from rigorous fundamental and quantitative active management approaches aime...
Job Function: To assist the Chief Compliance Officer in executing the Compliance program of an investment advisor registered with the Securities and Exchange Commission (" SEC") and a Commodity Trading Advisor and Commodity Pool Operator registered with the Commodity Futures Trading Commission ("CFTC") and a member of the National Futures Association ("NFA"). Duties: Devising and conducting period...
The Merchant Banking/Real Estate division of this leading financial institution (MB/RE) is seeking a Temporary Jr. Compliance Officer to support and report to the MB/RE’s Chief Compliance Officer. The office is located in midtown Manhattan. MB&REI’s various SEC-registered investment advisers manage private equity and real estate investment funds which make investments globally across different str...
Bank Compliance Officer VP $100-140K + 30-35% Bonus Billion dollar global investment banking conglomerate seeks degree with 5-8 years diversified bank compliance experience. Must have knowledge of US banking laws and regulations as well as commercial/wholesale banking products and businesses. Responsible for management and execution of risk based regulatory compliance testing and monitoring progra...
VP Compliance Officer – Broker Dealer $100-140K + 30-35% Bonus Billion dollar global broker dealer conglomerate seeks degree with 5+ years diversified broker dealer compliance. (Series 7, 79 and 24 preferred) Must have strong knowledge of US Securities laws and regulations including FINRA, SEC and the Securities Act of 1933 and 1934. Must have knowledge of broker dealer products and services; equi...
The Role We are looking for a Compliance Officer that has working knowledge of FINRA rules and regulations relating to electronic trading. Qualifications: - Bachelor's Degree and 3+ years of relevant experience - Series 7 and 24 licenses - Familiarity with Rules relating to Clearing/Settlements, OATs and Trade reporting is preferred. - Strong communication skills and an attention to detail is requ...
The Compliance Change Management Team is a newly established function within Compliance which will perform key project management roles for all Compliance initiatives, including the Compliance Control Framework program, integration of Central Compliance functions in new hubs and delivery of strategic regulatory projects. The Compliance Officer - Change Management will be involved in a broad range...
Our client, a major investment banking firm seeks a Central Compliance Officer to lead the implementation of the target operating model in establishing new Business As Usual (BAU) procedures for the various groups within Central Compliance. The functions of the Central Compliance team includes: Licenses and Registrations, Personal Account Dealings, Private Investments, Outside Affiliations, Gifts...
Lead compliance coverage officer for U.S. Finance Division. Report to global compliance coverage head for Operations, Finance and Technology Divisions. Primary coverage areas include: • Customer protection-related processes for the firm’s U.S. institutional and retail broker-dealers, including regulatory reporting (e.g. FOCUS), net capital requirements under Securities Exchange Act (SEA) Rule 15c3...
The RIA division of a financial institution seeks a Chief Compliance Officer. The CCO will oversee the managed accounts, wrap products, investments and asset allocations. The ideal candidate will support the following: advising on monitoring of Investment Advisor Representatives (IRA), new products, and due diligence of third party providers, financial planning, trading and preparing compliance re...
The primary focus of the role will be on managing the compliance program. He/She will also be responsible for various legal matters as needed. Hedge Fund/ Private Equity firm with $2 billion in AUM is seeking a Chief Compliance Officer. The CCO will report directly to the General Counsel, and manage all aspects of compliance, including regulatory, marketing, and HR. The hedge fund is responsible f...
The person performing this advisory position will be responsible for supporting the implementation and management of the overall compliance program for the CFTC-regulated swap trading and clearing activities of the Global investment bank, and for the foreign-regulated swap activities conducted by the Bank in the US. The Swap Dealer Compliance Officer will generally support the designated Chief Com...
Senior Intergroup Relations Officer (Office of Contract Compliance) The New York City Housing Authority’s (NYCHA) Department of Equal Opportunity is seeking a Senior Intergroup Relations Officer for the Office of Contract Compliance. Reporting to the Director, the successful candidate will work independently and conduct extensive review and comparative analysis of relevant federal regulations whic...
Company Confidential
New York City, NY, 10006
Chief Compliance Officer - FINRA MSRB Member Firm, New York City A New York based full service boutique investment banking and retail brokerage firm is seeking an experienced Compliance Officer with extensive compliance experience for a FINRA member firm. The position requires ensuring the firm's compliance with all FINRA, MSRB, SEC and NYSE rules and regulations by providing necessary advice, tra...
Company Confidential
New York City, NY, 10006
JOB DESCRIPTION 1. JOB TITLE : COMPLIANCE OFFICER 2. NAME : 3. GRADE : 4. DEPARTMENT : COMPLIANCE 5. REPORT TO : SENIOR MANAGEMENT 6. DATE OF COMMENCEMENT: 7. DATE OF PROMOTION : N/A 8. SUBORDINATE : 3 9. STATUS : EXEMPT 10. AUTHORITY : CLASS A 11. DATE PREPARED : JOB SUMMARY: Compliance Department Headwith day-to-day compliance responsibilitiesasdefined intheNYB Compliance Department responsibili...
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, and private equity. J.P. Morgan Asset Management is a leading asset manager for insti...
SR. COMPLIANCE OFFICER, AML COMPLIANCE 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, and private equity. The Compliance Department...
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, and private equity. J.P. Morgan Asset Management is a leading asset manager for insti...
Company Confidential
New York City, NY, 10036
Head of Compliance, Bank Secrecy Act & OFAC Chief Compliance Officer Responsible for developing and implementing, as well as administrating all aspects of the Bank Secrecy Act Compliance Program. The candidate will ensure that the New York Branch is compliant with all applicable local, state and federal laws and regulations. Reporting into this position are four (4) compliance officers. Oversee Br...
Our client is a Major Global Bank who is looking to immediately hire an Experienced Monitoring and Testing Compliance Officer with a minimum of 5 years of bank regulatory compliance experience to assist in managing their risk based regulatory compliance testing and monitoring program. Responsibilities: Conduct compliance monitoring and testing. Perform annual risk assessment of laws and regula...
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Business Career Tools
Compliance Coordinator
Salaries
$31,200.00 - $100,000.00
Typical Salary for Compliance Coordinator in New York
(104 Respondents)
Source: Monster.com Careerbenchmarking Tool
Education / Training
Bachelor's
47.1%
Master's
20%
Some College Coursework Completed
14.3%
High School
7.1%
Associates
5.7%
Professional
2.9%
(70 Respondents)
Source: Monster.com Careerbenchmarking Tool
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©2013 Monster - All Rights Reserved U.S. Patents No. 5,832,497; 7,599,930 B1; 7,827,125 and 7,836,060 MWW - Looking for Monster Cable? - V: 2013.1.5.22-324 
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©2013 Monster - All Rights Reserved U.S. Patents No. 5,832,497; 7,599,930 B1; 7,827,125 and 7,836,060 MWW - Looking for Monster Cable? - V: 2013.1.5.22-324