Compliance Officer Jobs in New York


233 New York Compliance Officer jobs found on Monster.

Jobs 1 to 20 of 233
Compliance Officer Consultant- Large Financial Firm Our client is a premier financial services institution that provides a wide range of services worldwide to a substantial and diversified client base that includes corporations, financial institutions, governments and high-net-worth individuals. Duties: Seeking a candidate who will help conduct reviews of marketing materials to ensure conformance...
American Business Institute (DBA ABI Health Care Agency) provides a range of services, including skilled nursing, home health care, physical therapy, nutrition, and medical social worker services. ABI is seeking an Administrator / Compliance Officer. Responsibilities: Execute contracts and agreements for such services as the Board of Directors shall direct, including but not limited to professiona...
Company Confidential Melville, NY, 11747
Growing Software Company headquartered in Melville, N.Y. with offices throughout Europe and the Asia Pacific region is launching a confidential search for a Head of Internal Audit / Compliance Office. Job Description: The Compliance Officer/Head of Internal Audit shall audit the Corporate Compliance Function and all other operations of the company functioning as an independent and objective body t...
SENIOR COMPLIANCE OFFICER Overview · Develops, administer and monitors programs for compliance with laws, regulations and rules governing operations and product offerings. Informs and educates appropriate personnel, Senior Management Team and the Board of Directors of all compliance responsibilities. · Ensure that Senior Management and Board of Directors are continuously informed of all aspects of...
Chief compliance officer role for a small buy side firm based in New York City. You will take responsibility for broker dealer, advisory and mutual fund units, reporting into the Company Secretary. Who we're looking for You will have a proven track record either as a CCO or deputy, and have detailed practical exposure to the 1940 company and 1940 advisory acts. You should also have a JD, and ideal...
The Chief Compliance Officer ("CCO") oversees all regulatory compliance for the UBS Global Asset Management ("UBSAM") business in the Americas. The CCO reports to the UBS Head of Americas Compliance & Operational Risk Control (C&ORC), the Global Head of Global Asset Management Compliance and the Independent Board Members of the Funds ("Independent Directors"). The CCO will represent UBSAM in vario...
Sitting within a professional team which provides support across the business responsibilities will include: • Provide Futures compliance coverage with primary focus on Fixed Income Division • Conduct regulatory training • Interact and manage relationships with regulatory agencies • Create, implement and maintain policies and procedures • Ensure compliance program for sales & trading businesses ar...
Our client, a global pharmaceutical company, is seeking to hire a Sr. Corporate Compliance Officer for a 4 month Contract engagement (in the NYC area). This position will support Company Compliance in the development, implementation, and continuous improvement of an effective compliance program for all business activities. To support the risk assessment and analysis process to continuously evaluat...
Chief Compliance Officer We have a new opportunity for a Chief Compliance Officer in the Syracuse, NY area. The Corporate Compliance Officer is responsible for developing, implementing, and administering all aspects of the Compliance Management Program and functions as an independent and objective body that reviews and evaluates compliance issues/concerns within the organization. This person must...
Company Confidential New York City, NY, 10005
JUNIOR COMPLIANCE ANALYST/ COMPLIANCE OFFICER Job Summary: Supports compliance with U.S. regulatory laws and regulations on BSA/ AML/ OFAC, conduct screening and investigations, prepare risk assessments, perform CIP, CDD and EDD. Job Responsibilities*: Conduct OFAC/ Watch List screening of in-process transactions. Communicate with OFAC as necessary for potential matches to the OFAC Sanctions Progr...
A Global bank seeks a trading desk advisory Compliance Officer who will be responsible for implementing and managing the overall compliance program for the Securitized Products-Related Businesses. The Candidate will cover array of the firm’s business lines including the following: Credit Solutions Group; Commercial Real Estate; Residential Mortgage-Backed Securities, Asset-Backed Securities and As...
Successful alternative investment firm offering hedge funds, hedge funds-of-funds and other investment products seeks an experienced Compliance professional. The Compliance Officer will report the firm’s Chief Compliance Officer and will be responsible for array of responsibilities which are the following, but not limited to: • Working with internal Legal & Compliance team, business staff and thir...
Roosevelt Island Operating Corporation POSITION TITLE: COMPLIANCE AND INTERNAL CONTROL OFFICER Department: Administration Basic Function: Create, implement, maintain and monitor, for an active public authority, a comprehensive program of compliance and internal controls with statutes, regulations, case law, policies and best practices concerning annual reporting, board governance, procurement, eth...
The Compliance Officer is responsible for ensuring that the Bank and its employees are in compliance with regulatory policies. The Officer will inform, educate and advise with all matters related to Compliance and is accountable for identifying situations that may relate to securities fraud and other violations. This individual will serve as a valuable resource for internal clients and respond to...
An international bank located midtown seeks a Deputy Compliance Officer. Required: BA/BS in business, 10+ years experience in related bank compliance and management. Know US banking business including commercial lending, private banking, correspondent banking. Proficient in BSA, AML, OFAC plus consumer regulations required (Reg. B, D, E, F, O, P, U, Z, AA, CC, DD). Able to use various internal sof...
A mid-sized asset management company with a focus on ETF’s and closed-end funds seeks a Chief Compliance Officer who will be responsible for the firm’s exchange-traded funds complex and their closed-end fund complex. She/he will responsible for a wide array of responsibilities including, but not limited to, the following: § Implementing and overseeing the 38a-1compliance program of the Funds, incl...
The Private Banking Division of a Global bank is seeking a Senior Compliance Officer who will help build and maintain a strong compliance culture/environment. The ideal candidate will also possess a solid understanding of ERISA, SEC, FINRA and CFTC regulations applicable to a hybrid wealth management business servicing high net worth individuals, trusts, foundations, small institutions, etc. His/h...
Position: Compliance Officer Reports to (Position): Compliance Supervisor Department: Compliance Location: NY POSITION SUMMARY The Compliance Officer works with the Compliance Management Team to support and maintain the Quality Systems in place at the Production Unit from a local, regional and global perspective. This function serves to help identify and correct any cGMP inadequacies in order to s...
A global bank seeks an Anti-Money Laundering Compliance Officer who will conduct enhanced due diligence, review and approve high risk KYC cases for the Private Bank and the Private Client Services business lines. Responsibilities Include: • Detect and investigate issues that present possible money laundering and/or terrorist finance risk during the KYC on-boarding and event driven review processes...
A top-tier management consulting firm seeks an Advisory Compliance Officer who will focus on their Assessment Management Division. Responsibilities: • Lead and support business development activities for individual opportunities, such as identification and proposal development, while working with the appropriate resources from other service lines and asset management industry • Help execute the da...
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Compliance Coordinator


$31,200.00 - $97,200.00
Typical Salary for Compliance Coordinator in New York
(106 Respondents)
Source: Careerbenchmarking Tool

Education / Training

Some College Coursework Completed
High School
(72 Respondents)
Source: Careerbenchmarking Tool

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