Compliance Officer Jobs in Manhattan

AML Compliance Officer, Park Avenue Securities... Park Avenue Securities AML Compliance Officer will oversee and... In addition to ensuring compliance with all applicable BSA/AML... a broader, centralized AML compliance function supporting the broader... AML and OFAC broker-dealer compliance function. Review, interpret... Compliance... read more

Business Title: Chief Compliance Officer Civil Service... Unit: EVP for Compliance ... the Chair, the Chief Compliance Officer (CCO) will be... leadership of an Executive Compliance Department in charge of... overseeing NYCHA's regulatory compliance, which will administer compliance...... read more

Counsel/Chief Compliance Officer The candidate will... is responsible for all compliance matters within Metropolitan, serving... as Metropolitan’s Chief Compliance Officer, and must work... with the legal and compliance team at company. Additional... Solutions segment. Administer Metropolitan’s compliance program pursuant to the... compliance... read more

Senior Compliance Officer The candidate will... responsible for supporting the compliance agenda of two dual... business by providing specialized compliance advice related to securities... to colleagues on day-to-day compliance and ethics issues; leading... routine processes regarding registration, compliance monitoring and training and... compliance... read more

Equity Derivative Compliance & Operational Risk Officer... and functional leaders in compliance, legal, risk, and IT... Framework. To draft and review compliance policies and procedures related... to equity and equity derivative sales and trading. To Develop and deliver compliance training.... read more

Counsel/Chief Compliance Officer The candidate will... responsibilities, responsible for all compliance matters within Metropolitan, serving... as Metropolitan’s Chief Compliance Officer, and must work... with the legal and compliance team at Carlyle. Additional... Advisers Act interpretation and compliance is preferred. Administer Metropolitan’s... compliance... read more

Chief Compliance Officer The candidate will... conducts its business in compliance with applicable laws and... all times. Successfully monitor compliance and requirements regarding KYC,... regulatory issues, risks and compliance. Prepare and maintain records... to demonstrate data protection compliance. Perform ongoing risk assessment... compliance... read more

Senior Compliance Officer- Marketing Review Key... firm public communications for compliance with applicable laws, regulations,... including coordination with global compliance officers and legal (if... necessary); Provide comments and expertise to Partners/Senior Management; Keep abreast of public communications-related regulatory developments and... read more

Electronic Trading Compliance & Operational Risk Officer... and functional leaders in compliance, legal, risk, and IT... design and implementation of the Operational Risk Framework. Draft and review compliance policies and procedures related... to electronic trading. Develop and deliver compliance training.... read more

Compliance Product Officer - ICG... an Equity Derivatives product compliance risk officer for Independent... Compliance Risk Management (ICRM) responsible... Primary responsibilities include monitoring compliance risk behaviors and providing... day-to-day Compliance advice relating to the... and maintenance of best-in-class Compliance, programs, policies and practices... compliance... read more