Compliance Officer Jobs in New York - Page 3

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1000+ New York Compliance Officer jobs found on Monster.

Jobs 41 to 60 of 2941
The McGraw-Hill Companies Financial New York, NY
Job Description The Role: This position will be responsible for planning, executing and reporting compliance examinations of S&P operating units (S&P Ratings Services, S&P Cap IQ, S&P Dow Jones Indices) and affiliates primarily in the EMEA region, as well as globally, to assess compliance with regulations, industry practice codes, Codes of Conduct and compliance policies and procedures. The Impa...
Job Requisition Number:43766 Bloomberg is seeking a Swaps Regulatory Compliance Officer who will be responsible for supporting the implementation and management of the overall compliance program for a CFTC/SEC-regulated Swap Execution Facility. The person in this role will be report into the SEF CCO and will be responsible for developing and maintaining a robust Swap Execution Facility Complianc...
We are looking for a New Accounts Compliance Officer within the Legal and Compliance group. This full-time position in the Legal and Compliance department will be primarily responsible for performing the legal and onboarding work related to the new account opening process for Bernstein Private Clients. Job Qualifications: College degree and Series 7 registration required Candidate should be deta...
We are a US Registered, self-clearing Broker-Dealer located in downtown NYC. We are seeking a highly motivated, organized and detail oriented individual who will assist the Compliance Staff and other members of the Firm to enhance the day-to-day administration and growth of the Firm’s compliance program. The applicant will be responsible for multiple areas including surveillance and monitoring ac...
A Global bank seeks a Compliance Officer who will be responsible for managing compliance efforts for the Company as they relate to regulatory and policy requirements. S/he will analyze existing and proposed legislation, regulatory announcements, and industry practices for compliance requirements, and helps businesses develop and implement procedures to meet these requirements. Validates controls...
A Top Tier, 50+ year old Investment Management Firm, has an excellent opportunity for a Senior Compliance Officer. The firm offers investment advisory services to separately managed, sub-advised and wrap accounts, as well as retail mutual funds and institutional funds for defined benefit and defined contribution plans. The individual with work directly with the Chief Compliance Officer (CCO) and o...
The SEC-registered investment adviser of a major financial services firm seeks a Chief Compliance Officer and will support the adviser compliance division for the firm This position will work closely with the division’s Broker/Dealer and Distribution to ensure that products that involve both the adviser and the broker/dealer have adequate compliance coverage. Responsibilities include: - Respons...
Our client, a leading international private equity investing firm, seeks a part-time Senior Compliance Officer to work out of their New York office. They would like for the individual with over eight years of compliance broker dealer experience who has experience registering a broker dealer. They would like for the person to have an active Series 7 license, working on some light AML issues as wel...
Summary Reporting to the Chief Compliance Officer, the Deputy Chief Compliance Officer is the independent compliance partner to multiple Business Divisions and is responsible for ensuring that the Compliance Program appropriately addresses the regulatory risks relative to the Divisions business activities. Client Details Our client is a midsized foreign bank, located in midtown Manhattan. Desc...
Summary An opportunity has arisen for a experienced compliance officer to take on a 'temp to perm' engagement in our European Financial Services client's Manhattan Offices. Client Details Leading European Financial Services Institution. Description The Broker/Dealer Senior Compliance Officer is responsible for implementing controls and systems to ensure adherence to regulatory requirements an...
Summary An exciting opportunity has arisen for an experienced compliance officer to step into a regulatory role within our client's quickly growing compliance function. Client Details Our client is a mid sized Consumer and Business Bank who are experiencing considerable growth, due to the acquisition of a rival financial institution in the latter half of 2015. Our clients compliance business i...
Summary Compliance Officer at a large hedge fund, headquartered in New York City Client Details Established hedge fund with an AUM in excess of $20billion Description Broad range of duties reflecting a flat structure within the compliance group, to include: Trading compliance - ensuring adherance to regulation and liaison with relevant regulatory bodies, such as SEC Providing trainding and ...
New York-New York City - COMPLIANCE OFFICER, MORTGAGE PRESTIGE MORTGAGE BANK IS SEEKING AN EXPERIENCED COMPLIANCE OFFICER. RESPONSIBLE FOR ALL INTERNAL POLICIES AND EXTERNAL PROCEDURES. FULL UNDERSTANDING OF ALL GOVERNMENT REGULATIONS AND REPORTING. COMPLIANCE, MORTGAGE. *****...
Highly motivated Compliance Officer who will assist the Chief Compliance Officer and other members of staff to enhance the day-to-day administration of the firm’s compliance program. The applicant will mainly be focused on the firm’s New York city branch and report the Chief Compliance Officer in Los Angeles, CA. The applicant will be responsible for multiple areas including surveillance and moni...
Summary Our client, a leading global Financial Services company, are looking to recruit a Manhattan based Central Compliance Officer - VP Client Details A leading global Financial Services company Description Sitting within the Manhattan based Central Compliance team the Central Compliance Officer - VP will report to the head of Central Compliance, and be responsible for: Lead initiatives an...
Our client, a top-tier prominent international private equity firm, is seeking a Senior Compliance Officer for their New York office. This role will be reporting into the Global Chief Compliance Officer. They are looking for a candidate with strong interpersonal skills to speak to the business as well. The Compliance Officer has responsibility for managing the firm’s compliance monitoring program...
Summary Leading global broker dealer with extensive U.S. operation is seeking a head of compliance for the global operation. The role sits in the NYC office and requires a senior level of broker dealer compliance expertise. Client Details The organization is a very stable and holds a very strong footprint in the broker dealer space. Description The Head of Compliance * Point of contact for a...
Summary Our client are a growing US registered growing Broker Dealer who are looking to recruit and Senior Compliance Officer. Client Details A growing US registered growing Broker Dealer with an international presence. Description Reporting directly to the CCO it is the responsibility of the Senior Compliance Officer to assure that the firm complies with all applicable laws, regulations and ...
A global bank seeks a Compliance Testing (CT) Officer who will be responsible for the execution of reviews of the Institutional Client Group (ICG). The Compliance Testing (CT) Officer will provide business management with an independent assessment of the control environment through appropriate risk-based testing of regulatory and internal policy controls and requirements related to the firm’s fin...
A global investment bank seeks a Senior Compliance Officer who will be responsible for administrating and overseeing all compliance aspects for registered investment adviser, commodity pool operator and commodity trading adviser. Provide compliance advisory coverage for registered and private funds, ERISA and other institutional separate accounts focusing on the following investment strategies: m...

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