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Compliance Officer Jobs in New York City

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Job info
Company
In-House
Experience
Min 5 yrs required
Location
New York City, NY
Posted Date
Jun 07, 19
Info Source
Employer
Total Views
6
Management GCB Retail Senior Compliance Officer (SVP)- The... leverage aspects of overall compliance programs for efficient and... expertise relevant to AML compliance and the Global Retail... (GBRC) and participate in Business and Compliance committees or working groups... as appropriate.... read more
Company
In-House, Jefferies LLC
Experience
5-10 yrs required
Location
New York City, NY
Posted Date
Sep 16, 19
Info Source
Employer
Total Views
69
Compliance Officer, Asset Management -... finance and risk, providing compliance advice. Creation and maintenance... of policies and procedures. Review of all marketing and sales materials. Creation of brochure disclosure documents and questionnaires. Administration of a compliance training program. Maintenance and...... read more
Company
In-House
Experience
Location
New York City, NY
Posted Date
Jun 01, 19
Info Source
Employer
Total Views
22
Compliance Regulatory and Exam Management... Officer The candidate serves as... a compliance risk officer for Independent... Compliance Risk... Management (ICRM)’s Exam... Management Bachelor’s degree; experience in compliance, legal or other control-related... a plus. Knowledge of Compliance rules, regulations, risks and...... read more
Company
In-House
Experience
Min 1 yrs required
Location
New York City, NY
Posted Date
Sep 02, 19
Info Source
Employer
Total Views
2
Compliance Product Officer - Markets... and maintenance of best-in-class Compliance, programs, policies and practices... and interpretation of internal compliance policies. Assisting with regulatory... InBusiness Risk to address compliance issues which may impact... function/business/product in performing timely compliance reviews of new products.... Compliance... read more
Company
In-House
Experience
Min 7 yrs required
Location
New York City, NY
Posted Date
Sep 16, 19
Info Source
Employer
Total Views
2
Asset Wealth Management - Compliance - Compliance Manager (Wealth... on opportunities for enhancements. Advise the business and provide compliance support for new fund... and product launches. Keep abreast of industry trends and anticipate areas of focus and attention of regulators.... read more
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