Job Market Guide: Compliance Officer jobs in NY

Competition
Desired Skills
Years of Experience
Years of Experience distribution graph for Compliance Officers in NY. Compliance Officers in NY have between ${} and ${} years of experience, averaging $${} years of experience.

73 Compliance Officer jobs in NY

Compliance Associate

$70K - $90K - New York, NY
In this role, you will assist in regulatory examinations, mock examinations and other legal and regulatory matters, as they arise; review daily trade compliance reports; maintain restricted and watch lists.
industry
Staffing & Recruiting
experience
Less than 5 years

$75K - $125K - New York, NY
In this role, the selected candidate will help develop, draft and execute policies and procedures that are designed to detect and prevent violations of the federal securities laws and mitigate various types of risk, including compliance and operational risk.
industry
Staffing & Recruiting
experience
5 - 7 years

CLO Compliance Analyst

New York, NY
In this role, the successful candidate will be reviewing fund documents (indenture/IMAs), model and maintaining fund specific portfolio compliance tests within SS&C proprietary compliance analytics model.
industry
Financial Services
experience
Less than 5 years

IT Compliance Analyst

Bethpage, NY
In this role, the successful candidate will assist in the planning, execution and testing of management's internal general computing controls in accordance with Governance and Compliance guidelines.
industry
Business Services
experience
5 - 7 years

Compliance Recruiter

New York, NY
In this role, you will proactively share innovative solutions to add value, anticipate needs, and streamline process for the client .
industry
Financial Services
experience
Less than 5 years

Rome, NY
In this role, the selected candidate will perform AFRL/RIOS duties of defending the networks, understanding the threat environment, and supporting computer network operations programs and capabilities through analysis of threats to the cyber domains.
industry
Business Services
experience
Not Specified

Eng., Env'l Compliance

East Aurora, NY
In this role, you will monitor process owners to assure the compliance procedures associated with afore mentioned reports are being implemented and maintained.
industry
Aerospace / Defense
experience
5 - 7 years

New York, NY
In this role, you will be responsible to actively monitor regulatory developments and trends, and take appropriate action to ensure the business unit complies with new or amended regulations.
industry
Financial Services
experience
5 - 7 years

$80K - New York, NY
In this role, the selected candidate will identify regulatory trends and developments, advise the business on how such trends and developments may impact their current activities, and work with the business to implement any required changes to current policy or practices.
industry
Financial Services
experience
Less than 5 years

New York, NY
In this role, the selected candidate will review marketing materials, offering documents, investor communications, and other materials across all of Real Estates investment strategies to ensure compliance with applicable law, regulations and company policies.
industry
Business Services
experience
5 - 7 years

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$50K to $83K - New York, NY
In this role, the selected candidate will work closely with the CNR Chief Compliance Officer to oversee the CNR Rule 206(4)-7 investment adviser compliance program and to assist with overseeing the City National Rochdale Funds' Rule 38a-1 compliance program.
industry
Financial Services
experience
Less than 5 years

New York, NY
The successful candidate will need to be an effective communicator, possess strong influencing skills and be responsible for enhancing the compliance framework and program by introducing approaches to make the role as efficient and effective as possible.
industry
Information Services
experience
Not Specified

New York, NY
In this role, you will be responsible to design and deliver applicable training for business unit personnel, and infrastructure personnel and supervisors.
industry
Financial Services
experience
5 - 7 years

Hicksville, NY
In this role, you will monitor, review, evaluate, make recommendations to optimize the performance of the protection systems and test programs associated with the LIPA T&D system and the associated regulatory compliance requirements.
industry
Energy / Utilities
experience
5 - 7 years

$75K - $125K - New York, NY
In this role, you will be responsible for working with banks and financial services in the areas of consumer lending compliance, policies, processes and the like.
industry
Consulting
experience
Less than 5 years

$80K - New York, NY
The Compliance Associate will be responsible for daily Compliance matters including surveillance, examinations, developing policies and procedures, interacting with regulators, interfacing with brokers, traders, bankers and corporate executives.
industry
Financial Services
experience
Not Specified

Compliance Analyst

$75K-$100K - New York, NY
In this role, the Compliance Analyst will work closely with a team of attorneys and compliance professionals to help ensure that the firms business activities are conducted in strict accordance with regulatory requirements.
industry
Staffing & Recruiting
experience
Less than 5 years

Compliance Advisor

$100K - New York, NY
In this role, the selected candidate will assist in guiding content creation for the firms products and product development; support the sales staff in product marketing collateral.
industry
Financial Services
experience
Not Specified

$90K - $110K - New York, NY
The Legal / Compliance Associate will assist other departments with tasks that require compliance / legal oversight (invoice processing, expense allocation oversight, IT approvals, HR policies).
industry
Staffing & Recruiting
experience
Not Specified

New York, NY
In this role, the successful candidate will maximize sales and services revenue from each client engagement through a deep understanding of the broader needs our solutions address in the financial services sector.
industry
Software
experience
5 - 7 years

$120K - New York, NY
In this role, the selected candidate will assist BSA/AML Compliance Officer with coordination of regulatory responses for FRBNY and NYDFS during examinations.
industry
Financial Services
experience
5 - 7 years

Buffalo, NY
The candidate will be responsible for identifying potential conflicts of interest or other franchise risks to Citi that might result from the outside business interests and brokerage accounts of Citi employees as it relates to firm policies and regulatory mandates. This includes reviewing requests from Citi employees to engage in business affiliations, private investments and to maintain brokerage accounts.
industry
Financial Services
experience
Less than 5 years

BSA Compliance Spec II

Buffalo, NY
The position is responsible for the strategic direction of the Enhanced Due Diligence team.
industry
Financial Services
experience
5 - 7 years

CLO Compliance Analyst

New York, NY
In this role, you will be reviewing fund documents (indenture/IMAs), model and maintaining fund specific portfolio compliance tests within SS&C proprietary compliance analytics model.
industry
Financial Services
experience
Less than 5 years