Compliance Officer Jobs in New York

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879 New York Compliance Officer jobs found on Monster.

Jobs 1 to 20 of 879
The primary areas of responsibility will be performing core compliance "control room" functions in a timely professional and consistent manner, which includes general investment banking, capital markets and research compliance related advisory matters, maintenance of the Global Grey and Restricted Lists, management of information barriers (e.g. statuses and barrier crossings, access controls), res...
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 ...
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...
Regulatory Compliance Officer Generalist with strong compliance background in retail Brokerage. Comprehensive understanding of SEC/FINRA Rules and Regulations. Self Starter able to work independently. Strong analytical skills, communication skills, attention to detail. Skilled in Microsoft office applications, Enthusiastic, level headed and hard working. Proper FINRA registrations and licen...
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...
Summary The Regulatory Compliance Officer position is within a Manhattan based community bank. It offers a rare opportunity to become immersed in the growing field of consumer compliance, but also a chance to rise along with the bank as it grows. Client Details The firm is a large North American Community Bank with over fifty branches on the East Coast . The bank provides full service financial...
The Compliance Officer assists the Deputy CCO and the CCO with overseeing all regulatory compliance for the traditional business of UBS Global Asset Management ("UBSAM") business in the Americas. The Compliance Officer coordinates with the CCO regarding the planning, risk assessment and reviews needed for the annual compliance report in order to comply with SEC Rules 38a-1 and 206(4)-7. The Comp...
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 ...
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 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...

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Business Career Tools

Compliance Coordinator

Salaries

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

Education / Training

Bachelor's
45.9%
Master's
21.6%
Some College Coursework Completed
14.9%
High School
6.8%
Associates
5.4%
Professional
2.7%
(74 Respondents)
Source: Monster.com Careerbenchmarking Tool

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