Compliance Officer Jobs in Manhattan

- Hispanic Latin America Compliance Officer The candidate will... business leaders on all compliance-related matters emanating from US-originated... Will coordinate Hispanic LatAm compliance activities with a range... of country-based compliance officers located in Argentina,... Mexico and the LatAm Compliance Chief Operating Officer (based... compliance... read more

Compliance and Ethics Officer The... implementation of the US Compliance and Ethics program. Will... manage the US Compliance and Ethics team that... Conflicts Officer and a Compliance and Ethics Associate. Update... and maintain corporate compliance and ethics policies to... processes and procedures of compliance and ethics. This includes... compliance... read more

Compliance Officer The candidate should... adaptation of the Firm’s compliance program for consumer banking... for monitoring effectiveness of compliance; Deploy technology to facilitate... monitoring and reporting of compliance risk; Provide training on... applicable compliance requirements; Coordinate activities of... BSA/AML, etc.); Present on compliance program to senior management,...... read more

Compliance Officer, Privacy and Records... developing, implementing, and ensuring compliance with global privacy and... the implementation of Privacy Compliance Program, including working with... privacy and data security compliance risks. Assist with the... implementing such projects in compliance with applicable privacy, data... compliance... read more

Director, Compliance Officer Retail Financial Services... Duties: Responsible for providing Compliance expertise and partner support... Services (RFS) business. Providing compliance advice on technology projects... identification and mitigation of compliance risks and delivering strategic,... practical and business-focused compliance solutions. Act as the... compliance... read more

Compliance Officer - ICG Swap... real-time basis to manage compliance risk in a sales... personnel on regulatory and compliance issues and provide credible... controls and monitoring; Perform compliance and control reviews; Monitor... non-compliance issues and promote a culture of compliance.... read more

Grant Compliance Officer / Project Manager... and Agency Services for compliance tasks and will coordinate... and regulations, and ensure compliance with them in order... position. Duties include: confirming compliance with eligibility requirements for... project plans and ensuring compliance with agency, state and...... read more

Chief Compliance Officer The candidate will... operation of the company's compliance program globally. Will partner... identify potential areas of compliance vulnerability for each business... procedures for avoidance of compliance risk and action plans... and optimize an effective compliance communication strategy for the... compliance... read more

Equity and Equity Derivative Compliance Officer The candidate will... participate in Compliance and Operational Risk coverage... Framework. Draft and review compliance policies and procedures related... trading. Develop and deliver compliance training. Should have a... years of experience in Compliance or Regulatory Role or...... read more

Line Coverage Compliance Officer - Asset Management... therewith. Will administer the compliance program for a FINRA-registered... 206(4)-7. Prepare and present compliance-related materials at quarterly meetings... closed-end funds. Prepare periodic compliance certifications, respond to ad... for sub-advisory relationships. Provide compliance advisory coverage for quantitative... compliance... read more