Compliance Officer jobs in New York, New York (NY)
Showing jobs 1–25
- Responsible for the investigational use of drugs, devices and biologics and monitors all applicable regulations to ensure institutional adherence; directs the daily operations and regulatory compliance of the Center's Investigational New Drug Office.
- Quick Apply$216K - $240K •Confidential Company • New York City, NY and 1 other locationDevelop and implement comprehensive framework for regulatory compliance and risk ? including integration into the digital trading platforms; manage small but growing team of compliance analysts; work directly with regulators and their representatives. Forge strong relationships.
- Proactively monitor compliance developments within the industry to ensure the firm's policies and procedures are meeting regulatory requirements and the firm is running a best-in-class compliance program.
- Act as the compliance focal point for all IRC Subawards managing a team that ensures robust Subaward management, organization wide, by advising on internal policies and donor compliance as it relates to subawards.
- Work across all regions, to build and maintain key relationships across the Compliance department, in order to promote a culture of engagement and connectivity and to implement a consistent set of practices and related standards.
- Compliance solutions that are pragmatic, effective and forward-looking, spot risks and troubleshoot; working knowledge of Life Insurance and Annuity products and Life Insurance regulations.
- This position serves as the Compliance Officer-Business Oversight for the Wholesale Banking Division and its businesses, as well as other organizational areas as may be assigned, to ensure that an effective compliance program is developed and maintained to address compliance with applicable regulatory requirements, key compliance issues and processes are evaluated and controlled, and appropriate actions are taken to mitigate compliance risk.
- Responsible for developing and implementing the strategy for IT applications, platforms and processes in support of the company's General Counsel and Corporate Secretary.
- • New York, NY and 2 other locationsDocument work executed, observations and remedial actions in written assessment while maintaining well-organized records which meet internal standards and regulatory requirements.
- This role will involve oversight of various aspects of compliance programs globally, including distribution activities; information barriers; development and implementation of compliance policies and procedures, investment-related issues; conflicts of interest oversight; training and education of Company personnel; and project management of key compliance initiatives.
- Respond to alleged violations of rules, regulations, policies, procedures, and standards of conduct by evaluating or recommending the initiation of investigative procedures. Develop and oversee a system for uniform handling of such violations
- The candidate will also serve as a strong steward for the company who will interface with senior management on compliance matters.
- Quick Apply$144K - $192K •The Regulatory Officer will serve as the central point of contact for all regulatory inquiries, manage any regulatory examinations, and ensure consistency of message on cross-functional issues.
- Prepare and/or supervise preparation of all major compliance-related projects and filings, including but not limited to updates of Form ADV, Form PF, compliance manual and code of ethics, as well as the annual compliance review, annual employee certifications, and filings with other government agencies and regulators.
- Plan, facilitate and execute all necessary policies and procedures, testing and certification, including training, monitoring and testing and any associated remediation to maintain compliance with applicable securities laws and regulations.
- Reviewing and assessing products, features and business activities against privacy requirements and standards. Creating, updating and maintaining data processing records and compliance assessments.