Compliance Officer Jobs in New York - Page 3

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879 New York Compliance Officer jobs found on Monster.

Jobs 41 to 60 of 879
Description 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 applicab...
Morgan Stanley London, NY
Job Number:: 3034463Posting Date: Sep 26, 2014Primary Location: Europe, Middle East, Africa-United Kingdom-United Kingdom-London...
Morgan Stanley Moscow, NY
Job Number:: 3034477Posting Date: Sep 11, 2014Primary Location: Europe, Middle East, Africa-Russian Federation-Russian Federation-Moscow...
Deutsche Bank New York, NY, 10007
A Passion to Perform. It’s what drives us. More than a claim, this describes the way we do business. We’re committed to being the best financial services provider in the world, balancing passion with precision to deliver superior solutions for our clients. This is made possible by our people: agile minds, able to see beyond the obvious and act effectively in an ever-changing global business landsc...
Morgan Stanley New York, NY
Job Number:: 3033408 Posting Date: Sep 5, 2014 Primary Location: Americas-United States of America-New York-New York...
Morgan Stanley New York, NY
Job Number:: 3030577Posting Date: Oct 8, 2014Primary Location: Americas-United States of America-New York-New York...
The Bank of New York Mellon Corporation Hong Kong, NY
Regional AML/KYC Compliance Officer ( Job Number: 1317940 ) BNY Mellon is a global investments company dedicated to helping its clients manage and service their financial assets throughout the investment lifecycle. Whether providing financial services for institutions, corporations or individual investors, BNY Mellon delivers informed investment management and investment services in 35 countries ...
TIAA-CREF New York, NY
Job Description For more information about TIAA-CREF, visit our website. Director, Broker/Dealer Compliance Teachers Personal Investors Services, Inc. (TPIS)/ Mutual Fund Distribution As a manager, the Director/Chief Compliance Officer will be responsible for managing the compliance program of the Teachers Personal Investors Services, Inc., an institutional broker/dealer. This role will also ...
TIAA-CREF New York, NY
Job Description For more information about TIAA-CREF, visit our website. Compliance Officer Responsibilities: This position will serve as the Chief Compliance Officer for TIAA-CREF Tuition Financing, Inc. (TFI) which provides registered investment advisory and plan management services to 11 state-sponsored 529 plans. The candidate for the position will also provide compliance coverage to the I...
This position will assist in development and oversee execution of regulatory tracking, analysis and follow-up function (via Regulatory Control Matrix), to partner with global governance representatives of extraterritorial requirements to manage consistent global processes, to liaise with regional RCM committees. To develop, and to partner with other authors to develop, draft and review AML global ...
This position will oversee and execute implementation procedures and business impact analysis processes for significant global AML Policies and coordinating with Risk Assessment on policy-related analyses. Specific responsibilities include: Develop and launch implementation gap analysis surveys for significant AML Policies Facilitate completion and upload of surveys to survey tool Acting as a ...
Training professional with AML or related expertise/experience to support AML, Sanctions and AB&C training on an ongoing basis by managing program requirements and developing, and assisting in the development of, training strategy content, tracking, follow-up, metrics. Specific responsibilities include: Work with regional and business training representatives to help develop needs assessments an...
Deutsche Bank New York, NY, 10007
A Passion to Perform. It’s what drives us. More than a claim, this describes the way we do business. We’re committed to being the best financial services provider in the world, balancing passion with precision to deliver superior solutions for our clients. This is made possible by our people: agile minds, able to see beyond the obvious and act effectively in an ever-changing global business landsc...
Description This new position is needed to strengthen the Customer Risk Scoring model within the Firm’s Global KYC (Know Your Customer) (AML Core) department. OneKYC Program entails new Global KYC Standards, new Client Risk Scoring Model, standardized workflows and reporting of KYC metrics as it relates to BSU and its equivalents in other business lines and CitiKYC Platform implementation cross-...
Description This position will oversee and execute implementation procedures and business impact analysis processes for significant global AML Policies and coordinating with Risk Assessment on policy-related analyses. Specific responsibilities include: Develop and launch implementation gap analysis surveys for significant AML Policies Facilitate completion and upload of surveys to survey tool ...
Description Training professional with AML or related expertise/experience to support AML, Sanctions and AB&C training on an ongoing basis by managing program requirements and developing, and assisting in the development of, training strategy content, tracking, follow-up, metrics. Specific responsibilities include: Work with regional and business training representatives to help develop needs a...
Description This role will manage and maintain global, regional and business-sector AML policy document inventory, tracking, revision and reporting processes, including exception and deviation tracking. Specific responsibilities include: Manage regional, sector and business line policy and procedure status and inventory Track document status against required review schedule Manage policy exce...
Description Oversee services provided by Financial & Risk Operations ("FRO") Support, Production Support and Development teams in support of the Regulation W Systems/Processes. Establish Service Level Agreements and manage technology services as arms-length agreements. Review Key Performance Indicators (KPIs) and escalate risk and issues for the Regulation W platform to senior management within...
Description The Compliance Analytics team acts within Global Compliance Architecture & Strategy to analyze and model Compliance Risk. The team utilizes both quantitative (statistical) techniques and qualitative analysis in support of risk assessments and other compliance initiatives. The compliance analyst will contribute significant subject matter expertise in AML, Sanctions, or other complianc...
Description This position is a AML Country Officer (AMLCO) / AML professional training program manager to support AMLCO program and Global AML training, including AML professional training requirements, webpage and communications, capacity and skills program requirements. Specific responsibilities include: AML professional skills, capacity tracking and analysis AMLCO Continuing Education devel...

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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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