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Compliance Officer Jobs in New York City

- 14 jobs
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SPONSORED JOB
Company
Experience
10-15 yrs required
Location
New York City, NY
Posted Date
Sep 20, 2021
Total Views
84
Chief compliance officer The candidate will supervise... the compliance staff and manage the compliance programs of Mercer Investments... maintain and implement effective compliance policies and procedures with... test the performance of compliance policies and procedures. Develop compliance read more
Company
Public Interest
Experience
Min 7 yrs required
Location
New York City, NY
Posted Date
Oct 05, 2021
Info Source
Employer
Total Views
22
General Counsel and Chief Compliance Officer DUTIES: Provide advice... on matters of corporate governance, finance, contracts, real estate transactions and projects, and employment. Design, implement and manage agency-wide risk management systems to support the company's legal, financial, programmatic, strategic, and... read more
Company
In-House
Location
New York City, NY
Posted Date
Nov 03, 2021
Info Source
Employer
Total Views
7
Fixed Income Compliance Officer - Vice President... Responsibilities: Develop and enhance compliance policies and procedures and... coordinate with global colleagues in developing global frameworks. Develop and deliver compliance training on appropriate topics.... Develop and enhance compliance policies and procedures and...... read more
Company
In-House
Experience
Min 5 yrs required
Location
New York City, NY
Posted Date
Nov 15, 2021
Info Source
Employer
Total Views
1
Manager, Compliance Duties: Manages the brokerage... compliance team including the day... to day compliance functions of the team.... with management of various compliance program components, including identification... the effectiveness of the compliance program; and extending program... entities. Support management of compliance concerns and assist with... compliance... read more
Company
In-House
Experience
Min 1 yrs required
Location
New York City, NY
Posted Date
Nov 15, 2021
Info Source
Employer
Total Views
5
Compliance Product Officer (VP) -... and maintenance of best-in-class Compliance, programs, policies and practices... and interpretation of internal compliance policies. Assisting with regulatory... In-Business Risk to address compliance issues that may impact... Broker-Dealer in performing timely compliance reviews of new products.... Compliance... read more
Company
Law Firm
Experience
Min 1 yrs required
Location
New York City, NY
Posted Date
Oct 18, 2021
Info Source
Employer
Total Views
9
Manager, Employee Relations and Compliance The candidate will be... policies and procedures, and compliance with global employment laws... on benefits and compensation compliance and other aspects of... strategy as needed. Other duties may be assigned by the Global People Officer.... read more
Company
In-House
Location
New York City, NY
Posted Date
Oct 15, 2021
Info Source
Employer
Total Views
7
Compliance Officer Responsibilities: Support the... to OFAC/ Sanctions regulatory compliance (e.g., sanctions questionnaire escalations,... business counterparts and global compliance partners. Develop and deliver... and supporting functions. Participate in special projects in support of the US Sanctions Compliance program, as requested.... read more
Company
In-House
Experience
Min 6 yrs required
Location
New York City, NY
Posted Date
Nov 15, 2021
Info Source
Employer
Manager, Product Compliance The candidate will manage... manage the day-to-day Product Compliance workload by assessing, prioritizing,... the Director of Product/Blockchain Compliance in projects and responsibilities,... implementation of a product compliance risk assessment framework. Evaluate... including partnering closely with compliance operations, risk management, legal,... compliance... read more
Company
In-House
Experience
Min 5 yrs required
Location
New York City, NY
Posted Date
Oct 25, 2021
Info Source
Employer
Total Views
13
Compliance Officer The candidate will... Review, draft and implement compliance policies and procedures. Plan,... coordinate and conduct training plans for businesses under coverage. Respond to regulatory inquiries. Assist with surveillance initiatives. Assist on ad-hoc projects and other special assignments as... read more
Company
In-House
Experience
Min 5 yrs required
Location
New York City, NY
Posted Date
Nov 25, 2021
Info Source
Employer
Total Views
8
Manager, Forensics- Investigations Disputes Compliance - HCLS Responsibilities: Plan,... for gap assessments of compliance programs, compliance-related reviews, investigations... and policy and process development. Coordinate and facilitate development of interview guides, conduct interviews, lead the review of documents and other information... read more
Company
In-House
Experience
Min 5 yrs required
Location
New York City, NY
Posted Date
Nov 18, 2021
Info Source
Employer
Total Views
2
Senior Manager, Derivatives Operations Compliance The candidate contributes to... overall success of the Compliance Department by ensuring specific... activities conducted are in compliance with governing regulations, internal... BNS Swap Dealer Chief Compliance Officer in compliance and... BNS Swap Dealer Chief Compliance Officer in the advisory... compliance... read more
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