Compliance Officer Jobs in New York
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...
Chief Compliance Officer This is an executive level position with a financially strong regional bank that has nearly doubled in size in the last 5 years and management is continuing this growth pattern through acquisition. The Chief Compliance Officer will oversee the bank's overall compliance program including the bank's strategic 3 tier approach comprised of the legal department, business line c...
We are seeking a Chief Compliance Officer for a mid-sized bank in Upstate, NY. This is a newly created position due to growth. The Chief 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. Thi...
This position is in the Equities Compliance group. The compliance officer will provide advice to traders and sales persons regarding regulatory requirements for the trading and sales of equities, including the requirements for short sales, buy-ins, trade reporting, market making, controls for market access, etc. Responsibilities of the position include: • Drafting and reviewing compliance policies...
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. Treasury Services Compliance, part of the Corporate and Investmen...
Company Confidential New York City, NY, 10013
We are an International Global Bank with thirteen U.S. offices, seeking a qualified individual for our Compliance Department located in New York City. Consumer Compliance Officer Summary Consumer Compliance Officer shall oversee adherence of establishment's policies and procedures to federal and statelaws and regulations byperforming the following duties. Essential Duties and Responsibilities incl...
$80k - $100k Premier NYC Financial Services Boutique seeks an exceptional individual to join their Compliance team. In the role of Compliance Officer, you will work closely with the CCO in the implementation of the firm's compliance programs You will also be responsible for the testing of policies and procedures under Rules 38(a)-1 and 206(4)-7 along with the review of personal trading and marketi...
Position Description COMPLIANCE OFFICER, Monitoring and Testing This position will collaboratively work with AIG Property Casualty US compliance field team to execute on compliance monitoring and testing plans across a broad spectrum of risks, such as OFAC/sanctions, privacy, product development, and others. This is great opportunity to utilize your excellent audit related skills and also assist i...
SINCE 1991, YOUR TRUSTED SEARCH PARTNER Dedicated to the placement of high caliber financial professionals throughout the entire New York/Tri-State Region. We are a market leader in permanent, long term consulting and temporary staffing. We remain true to the ideal that each client is our best client. Our roster of long standing business relationships is quite extensive and remains the very founda...
A leading International Investment Bank is seeking a VP level Compliance Officer. Due to the ongoing pace of significant new cross border rulemaking as a result of EMIR / Dodd Frank, MaRisk other self regulatory / exchange rulemaking, a mid level Compliance Officer is needed to primarily assist Compliance with: Tracking, assessing and conducting impact analysis on all relevant rulemaking in a time...
Job Description Our client is a cutting edge financial group looking for a sharp compliance professional to report to the Chief Compliance Officer Job Responsibilities The Compliance Group is responsible for the management of regulatory compliance matters, including management of compliance risk and interaction with the SEC and other regulators. This position will assist in the development, implem...
Our client seeks a Compliance Officer with Monitoring and testing experience to work in collaboration with their US compliance field team, on detailed full-time compliance monitoring and testing plan across a broad spectrum of risks, such as OFAC/sanctions, privacy, product development, and others. The proper candidate will be responsible for: • Documents monitoring and testing work performed and...
The company focuses on the retail investor and has branch offices in various states. This will be a great opportunity to become an important and integral member of a small compliance team. You will be able to learn, grow, intellectually challenged, and have great visibility within the company. Our client seeks to hire a highly motivated Compliance Officer who will assist the Chief Compliance Offic...
We are currently actively recruiting for a Chief Compliance Officer on behalf of a long-standing, well known brokerage firm. This is a terrific opportunity to become an Executive level professional, have a high profile, and enact real changes and make a difference. You will be part of the senior management team and have the opportunity to become an important part of the company. The position would...
Position Description Senior Compliance Officer – Records Management Picture yourself building a successful career at AIG working alongside other talented, highly motivated individuals committed to reaching our goal of becoming our industry’s employer of choice. We believe that our success depends on a world class team. If you would like to be part of this exciting organization, where you will prov...
Our client, a top-tier financial services firm, seeks a Fair Lending and Bank Advisory Compliance Officer Responsibilities: • Provide compliance coverage for the Private Banking including: Loans and Deposits, Custody, and PB Fiduciary Businesses. • Develop and Implement Fair Lending Program • Serves as a resource for regulatory matters and compliance related initiatives to Consumer Lending and Dep...
Newly developed position for a growing credit union. Candidate will report to the CEO and Senior Management Team. The development of functional policies and procedures and the auditing to provide assurance of compliance is the main focus of this role. Areas will cover all facets of the credit unions's operations and are specifically focused on Consumer and Mortgage lending, Accounting/ Finance act...
As the world's leading insurance broker and risk advisor, Marsh is devoted to finding the opportunity in risk. Companies look to us to help them navigate the daunting global risk landscape, seeing risks others don't and unlocking opportunities others can't. With 25,000 employees and annual revenues approaching billion Marsh serves more clients in more industries worldwide than any firm in our indu...
Purpose of Role This position is responsible for conducting regulatory research; maintaining and developing regulatory policies and procedures; and assisting the business in its growth and development by advising on new products, jurisdictions, and acquisitions. The Specialist will ensure that the firm has proper supervisory procedures and at all times remains aware of its regulatory obligations,...
Premium Mortgage is a regional mortgage banker headquartered in Rochester NY. We are seeking a person with at least 10 years’ experience in the mortgage compliance field who will head our compliance department. This person will be responsible for compliance, training, licensing, quality control and vendor management functions. Candidates should have knowledge of both existing and prospective rules...
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I will specifically be a Tax Compliance Officer. I would like to know because I am also considering starting my own tax planning office.
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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
Prepares compliance audit data by compiling and analyzing internal and external information.
Supports departments by collecting and coordinating internal compliance data with auditors and various departments.
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