1,277 Compliance Officer Jobs in New York, NY

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US Capital Markets Compliance Officer

$216K - $270K

New York, NY 10017

The Compliance Officer 1) administers key policies; 2) monitors activities to ensure compliance with...

Posted 8 days ago

  •   8 - 10 years exp.  •  Accounting, Finance & Insurance

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Chief Compliance Officer

$259K - $288K

New York, NY 10019

perform compliance and audit functions to ensure compliance with various regulatory agencies, exchan...

Posted 15 days ago

  •   8 - 10 years exp.  •  Accounting, Finance & Insurance

ECM Compliance Officer

Searching and responding to updates from investment banking teams...

Posted Yesterday

  •   Less than 5 years exp.  •  Accounting, Finance & Insurance

Chief Compliance Officer
The Execu|Search GroupNew York, NY

Developing, implementing, and periodically updating the firm's compliance policies and taking steps...

Posted 2 days ago

  •   8 - 10 years exp.  •  Professional, Scientific & Technical Services

Chief Compliance Officer

Collaborate cross-functionally with other business stakeholders, both internal and external, to ensu...

Posted 8 days ago

  •   11 - 15 years exp.  •  Professional, Scientific & Technical Services

Chief Compliance Officer

Develop and deliver training and communications on compliance policies and procedures to ensure prop...

Posted 5 days ago

  •   5 - 7 years exp.  •  Accounting, Finance & Insurance

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Consumer Bank Regulatory Compliance Officer

$144K - $180K

New York, NY 10004

The CO will support the development, implementation, and maintenance of a consumer regulatory compli...

Posted 9 days ago

  •   5 - 7 years exp.  •  Accounting, Finance & Insurance

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Control Room and Investment Bank Compliance Officer

$240K - $300K

New York, NY 10019

Implement research, trading and sales/solicitation restrictions...

Posted 3 days ago

  •   8 - 10 years exp.  •  Accounting, Finance & Insurance

Compliance Officer, Securities and Investment Advice
SoFiNew York City, NY and 1 other locations

Assisting with the development, maintenance, and documentation of WSP's, compliance manual, process...

Posted 9 days ago

  •   8 - 10 years exp.  •  Accounting, Finance & Insurance

VP, Chief Compliance Officer PCG

Implement new policies and procedures in partnership with prudential corporate and pgim compliance...

Posted 12 days ago

  •   11 - 15 years exp.  •  Accounting, Finance & Insurance

Vice President & Chief Compliance Officer International

Partner with local compliance and business operations to assess, develop and implement enhanced cont...

Posted 12 days ago

  •   11 - 15 years exp.  •  Accounting, Finance & Insurance

Senior Compliance Officer

Design and deliver targeted training to business personnel; assist in the design and implementation...

Posted 22 days ago

  •   5 - 7 years exp.  •  Accounting, Finance & Insurance

Alternatives Compliance Officer - Vice President

Provide advisory Compliance support to the Alternatives businesses which offer investment solutions...

Posted 19 days ago

  •   Accounting, Finance & Insurance

Regulatory Compliance Officer- Associate - Corporate

research, analyze and respond to regulatory inquiries - with emphasis on equity inquiries.assist wit...

Posted 19 days ago

  •   Less than 5 years exp.  •  Accounting, Finance & Insurance

Compliance Privacy Officer

Manage and oversee the Bank's Privacy policy and procedures, and ensure bank-wide compliance and tra...

Posted 26 days ago

  •   5 - 7 years exp.  •  Accounting, Finance & Insurance

Vice President, Regulatory Inquiries & Regulatory Change Compliance Officer

Provides advisory services and direction to all business and support areas regarding assigned regula...

Posted 14 days ago

  •   11 - 15 years exp.  •  Accounting, Finance & Insurance

AVP Senior Regulatory Compliance Officer, Fixed Income Surveillance

By looking across the alerts (ie holistically) identify improvements the way in which alerts are gen...

Posted 14 days ago

  •   Less than 5 years exp.  •  Accounting, Finance & Insurance

Regulatory Inquiry Compliance Officer

Work with Compliance, Business and IT personnel regarding "real time" trading situations presented b...

Posted 24 days ago

  •   Accounting, Finance & Insurance

VP, Fixed Income Compliance Officer

Review customer investment policies for authorized investments and institutional communications fo...

Posted 24 days ago

  •   Less than 5 years exp.  •  Accounting, Finance & Insurance

Compliance Officer III TDS
TD BankNew York, NY

The Compliance Officer III supports consumer regulatory compliance functions for the Company and sup...

Posted 32 days ago

  •   5 - 7 years exp.  •  Accounting, Finance & Insurance

Compliance Officer - Regulatory

Contribute to the execution of Popular's programs, ensuring alignment with Corporate compliance and...

Posted 37 days ago

  •   5 - 7 years exp.  •  Accounting, Finance & Insurance

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Chief Compliance Officer - FinTech Lending

$180K - $300K

Jersey City, NJ 07302

Develop, maintain, and execute assessments to address legal and regulatory policies and procedures t...

Posted 37 days ago

  •   8 - 10 years exp.  •  Accounting, Finance & Insurance

Counsel / Chief Compliance Officer

Maintain and update policies and procedures to address changes at Metropolitan and new regulations w...

Posted 38 days ago

  •   5 - 7 years exp.  •  Accounting, Finance & Insurance

Wealth Management Private Banking Group Compliance Officer

The Broker-Dealer is seeking a senior Compliance Officer to provide advice and guidance on securitie...

Posted 38 days ago

  •   5 - 7 years exp.  •  Accounting, Finance & Insurance

Compliance Officer

Assist the business implement compliance policies and procedures and other controls, and drive imple...

Posted 45 days ago

  •   8 - 10 years exp.  •  Accounting, Finance & Insurance

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