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Entry Level Compliance Officer Jobs in New York City

- 13 jobs
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SPONSORED JOB
Experience
Min 3 yrs required
Location
New York City, NY
Posted Date
Jul 22, 2020
Total Views
158
Health Plan compliance officer The candidate will... the health plan regarding compliance issues, Regulatory Audits and... Develop and manage site compliance Oversight Committee meetings and... and maintain an effective compliance Program, including compliance related policies compliance read more
SPONSORED JOB
Company
UBS  
Experience
5-10 yrs required
Location
Jersey City, NJ
Posted Date
Sep 18, 2020
Total Views
53
Regulation W compliance officer The candidate duties will... the CUSO Banking Regulatory compliance Regulation W framework, including... monitoring, and training; Conduct compliance oversight reviews of applicable... requirements to ensure that compliance programs and testing programs compliance read more
SPONSORED JOB
Experience
2-4 yrs required
Location
New York City, NY
Posted Date
Jul 08, 2021
Total Views
20
Legal & compliance Compliance officer Associate DUTIES:... the complex and growing compliance needs of the company... Private Wealth Solutions (PWS) compliance program. Assisting existing team... members in compliance functions including (i) policy compliance read more
Company
In-House
Experience
Min 1 yrs required
Location
New York City, NY
Posted Date
Jul 28, 2021
Info Source
Employer
Total Views
2
Compliance Officer - Swap Execution... disciplinary actions. Provide advisory compliance services to the business.... Review, update and draft Compliance policies. Develop and streamline... new and existing Compliance processes. Review and approve... part of the broader Compliance team, provide Compliance support... compliance... read more
Company
In-House
Experience
Min 1 yrs required
Location
New York City, NY
Posted Date
Sep 10, 2021
Info Source
Employer
Total Views
5
Compliance Officer – Origination &... internal and external audits and inspections. Interact with federal and state regulators and perform testing and monitoring of compliance with firm policies and... conduct risk assessments of the business to ensure effective business control framework.... read more
Company
In-House
Location
New York City, NY
Posted Date
Sep 10, 2021
Info Source
Employer
Total Views
1
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
Sep 13, 2021
Info Source
Employer
Total Views
10
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
Location
New York City, NY
Posted Date
Aug 19, 2021
Info Source
Employer
Total Views
6
and Fixed Income Senior Compliance Advisor The candidate will... reporting to the Chief Compliance Officer for Guggenheim Securities,... the Sales and Trading Compliance Advisor guides on and... Equity and Fixed Income compliance experience and be comfortable... documentation. Updates to relevant compliance manuals and training materials.... Compliance... read more
Company
In-House
Experience
Min 1 yrs required
Location
Teaneck, NJ
Posted Date
Sep 18, 2021
Info Source
Employer
Total Views
16
of securities regulation and compliance, corporate governance, and Delaware... relating to securities law compliance and disclosure, including without... limitation: the preparation and filing of Annual Reports on Form 10-K, Quarterly Reports including relevant securities law compliance and disclosure, and to...... read more
Company
Law Firm
Experience
Min 1 yrs required
Location
New York City, NY
Posted Date
Sep 19, 2021
Info Source
Employer
Total Views
4
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
SPONSORED JOB
Company
Experience
Min 8 yrs required
Location
Florham Park, NJ
Posted Date
Aug 15, 2021
Total Views
7
Senior Counsel and compliance officer The candidate will report... General Counsel and Chief compliance officer Will serve as... serve as the Company’s compliance officer to partner with... implementation of an effective compliance program. Draft and negotiate compliance read more
SPONSORED JOB
Experience
Min 7 yrs required
Location
New York City, NY
Posted Date
Sep 05, 2021
Total Views
12
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... read more
SPONSORED JOB
Company
Experience
10-15 yrs required
Location
New York City, NY
Posted Date
Sep 20, 2021
Total Views
33
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
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