Compliance Officer Jobs in New York
Company Confidential New York City, NY, 10110
Position at Wall Street Asset Management firm Must be wiling to learn new skills and concepts Must have written and oral presentation skills and work with the Board of Directors Report to the President Experience in: Compliance, Legal, Mutual Funds, Budgeting 40% - Compliance 40% - Legal 20% - Budgeting No travel/Minimal overtime/Minimal weekend work Full Benefits...
We need compliance and legal professionals immediately. Mission Critical is seeking professionals with regulatory and/or industry compliance backgrounds, particularly in the Investment Advisers Act of 1940, Investment Company Act of 1940, and FINRA rules, to join our Business Consulting Division in an effort to help our company continue to grow. The demand for our services is growing because of o...
Our client, an international bank with offices in New York City, is seeking a VP – Capital Markets Regulatory Reporting Compliance Officer in their Ethics & Compliance Regulatory Reporting Department. This role will be responsible for advising the Regulatory Reporting Group on all regulatory reporting matters arising from the firm’s US securities and futures trading activities. This individual mu...
UBS AG, a global financial services company, seeks a Compliance Officer to support the UBS IB Americas FRC (FX, Rates and Credit) trading and sales businesses. Responsibilities to include: Advisory - responsible for providing compliance coverage to the UBS Investment Bank's FRC (FX, Rates and Credit) division Rules and Regulations - responsible for interpreting and enforcing applicable rules and...
A global investment bank seeks an electronic compliance professional who will be responsible for working with the technology, business, and compliance divisions to build and enhance surveillance systems. The candidate will develop a plan for and test surveillance reports utilized by securities compliance on an on-going periodic basis to ensure they are functioning as expected. He/she will work w...
Our client, a top global financial services firm, seeks a Compliance professional with Anti-Money Laundering and US Sanctions regulatory background, ideally in an institutional banking capacity, to provide compliance support for Treasury and Trade Services Trade Solutions. This important product set includes traditional trade services products (letters of credit, documentary collections, bank to ...
The succesful candidate will be responsible for: Risk Assessments of the AML and Sanctions processes will be conduct in Q4'14. Support is required in order to manage and conduct the risk assessments. Risk Assessment Coordination Tracking of the progress of the AML and OFAC risk assessments against the schedule Preparing questionnaires for use by the business/middle office/operations/other ...
Summary The Regulatory Compliance Officer position is Manhattan based in a Community Bank. Client Details Large North American Community Bank heavily foccused on the East Coast. Description The Regulatory Compliance Officer responsible for reviewing banking and compliance policies, procedures and internal controls developed for compliance overa wide variety of regulatory compliance requiremen...
A top-tier global bank seeks a Compliance Officer who will be responsible for assisting with drafting, revising and advising on policies and procedures for the Americas institutional and retail businesses, including broker-dealer, banking, and asset and wealth management businesses. Responsibilities Include, but are not limited to: • Work with Compliance Advisory, the front office, and other inf...
Summary Broad compliance officer role covering both banking and broker dealer businesses at a large global bank Client Details Global investment bank based in New York City Description Duties will include: Conducting impact analysis of new rules on activities engaged in by the business areas within Corporate Banking & Securities division Advising the business on new regulatory developments ...
As a Financial & Operations Compliance Officer, you will be responsible for examining policies, procedures and controls across the Financial and Operations areas, conduct in-depth reviews, and investigate potential regulatory violations and control deficiencies. In the process, you will collaborate extensively with Finance and Operations management teams, product compliance officers and the legal ...
The Role: The Sr. Analyst S&P Dow Jones Indices (“SPDJI”) is responsible for assisting the Chief Compliance Officer of SPDJI in implementing and monitoring the regulatory and corporate compliance program for SPDJI. Of key importance is the ability and knowledge to utilize a best practice approach to various initiatives, including the implementation of controls in a principles based compliance envi...
COMPLIANCE OFFICER About the Company A rapidly growing, high-quality,financial services company located in Midtown Manhattan with an excellent career opportunity for a Compliance Officer. About the Opportunity The Compliance Officer is responsible for developing, implementing, administering, and maintaining all aspects of the Company’s compliance program, with a strong emphasis on Bank Secrecy...
A leading global asset management firm seeks a Chief Compliance Officer (CCO) to lead its US compliance efforts as part of the Global Compliance team. As one of the key professionals ensuring successful growth of the firm’s US business, it will be the individual’s responsibility to work with local management both on the investment and business sales side. This will include overseeing the firm’s ...
Opportunity to work for a strong, local community bank. Base salary up to $90K plus excellent benefits package. Provide compliance advice and guidance, while ensuring proper execution of the Bank's Compliance programs. Maintain in-depth understanding of all bank products, credit programs, as well as the related Federal and State regulations. Interpret new bank regulatory requirements for comple...
Job Description Department: Compliance Job Title: Compliance Officer Reports to: Chief Compliance Officer Supervises: None Position Description/Overview: Responsibility includes all areas of Anti-money Laundering The Compliance Officers role is responsible for the interpretation and adherence to the Anti-money Laundering guidelines。 Responsible for the Branch AML software (EDD) Maintain a...
Summary AML/BSA Compliance officer at an established New York City base banking organization. Client Details Retail and commercial banking business, based in New York City Description Working as part of a small team you will be responsible for regulatory compliance relating to AML and BSA requirements. The position offers broad exposure across all business lines. Specific duties include but...
Summary Compliance Officer role focussed on Volcker Rule compliance, sitting within the North American Regulatory Compliance group. Client Details Large global investment bank, based in New York City. Description *Participate in various workstreams and projects relating to the interpretation and implementation of the Volcker Rule *Interpret the applicability of the Volcker Rule to the organi...
A top-tier global bank seeks a Senior Fixed Income Compliance Officer within the firm’s Institutional Client Group (ICG), supporting G10 Rates and Securitized Markets Trading and Sales, and the Markets Quantitative Analysis product areas. The Candidate must have strong working knowledge of fixed income products, securities, and derivatives. Primary responsibilities include providing day-to-day C...
The position of Chief Compliance Officer is responsible for maintaining a compliance program designed to ensure that AR Schmeidler's (Subsidiary of Hudson Valley Bank) business is conducted in a manner consistent with all applicable federal and state laws, rules and regulations, industry best practices and the highest level of ethical standards. Principle Responsibilities: Preparation and updati...
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$31,200.00 - $97,200.00
Typical Salary for Compliance Coordinator in New York
Source: Monster.com Careerbenchmarking Tool
Education / Training
Some College Coursework Completed
Source: Monster.com Careerbenchmarking Tool
Provides audit information to management by researching and analyzing data; preparing reports.
Rate of Growth
Size of Industry in 2006:
Source: Bureau of Labor Statistics, May 2006
Administrative Writing Skills
Provides administrative support by implementing systems, procedures, and policies; completing projects in support of compliance auditors.
Helps others by answering questions and responding to requests.
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