Compliance Officer Jobs in New York - Page 3
TIAA-CREF New York, NY, 10007
For more information about TIAA-CREF, visit our website . The Director, Compliance Officer, Privacy Officer will report to the Sr. Compliance Officer Corporate Compliance, Chief Privacy Officer. Position Objective: To verify that company practices, policies, processes, and procedures are performed in accordance with applicable privacy, data protection and compliance laws. This position will prov...
Overall Purpose of Job: The incumbent shall provide effective support of the Supervisor/BLCO to ensure that key compliance issues and processes of the subject outer offices are evaluated and controlled in a timely manner, including: risk assessment, planning, monitoring controls, training and reporting. This position is responsible for the applicable compliance-related matters as outlined in the ...
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...
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...
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 ...
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...
Support and assist in the supervision and general compliance functions of FRSC to ensure compliance with securities laws and regulations as well as internal policies. Work with Compliance and Compliance Risk Managers to monitor and supervise registered representatives securities activities, manage regulatory risk, and ensure appropriate action is taken Assist Compliance and Compliance Risk Manag...
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...
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...
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...
Jr. Compliance Officer Seeking experienced Jr. Compliance Officer to support Chief Compliance Officer for Broker Dealer Firm in the Wall Street area. Duties and Responsibilities: - Oats and Trade reporting - AML administration - Review and process new reports for Chief Compliance Officer - Research new regulations - Assist in documentation and monitoring of internal controls - Work with Op...
Our client, an international bank with offices in New York City, is seeking a VP – Corporate Finance Compliance Officer in their Ethics & Compliance Regulatory Reporting Department. This role will be responsible for advising investment banking areas on firm policies and procedures and applicable securities laws and FINRA regulations, as well as, drafting, updating and implementing policies and pr...
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...
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...
JPMorgan Chase & Co. New York, NY, 10007
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. J.P. Morgan Asset Management is a leading asset manager for inst...
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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
Complies with federal, state, and local legal requirements by studying existing and new legislation; enforcing adherence to requirements; advising management on needed actions.
Provides administrative support by implementing systems, procedures, and policies; completing projects in support of compliance auditors.
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