Compliance Officer Jobs in New York, NY

Lead the charge in enhancing compliance processes and policies, managing marketing material approvals, and driving initiatives that uphold regulatory standards across business units in a dynamic compl...

Lead the charge in compliance for systematic trading strategies, advising investment teams, and managing relationships with business partners. Engage with innovative market mechanics and support regul...

Join a team that's shaping compliance strategy in healthcare. Lead U.S. Compliance & Ethics initiatives, embedding integrity in business practices while collaborating with global stakeholders to enhan...

Execute compliance initiatives to ensure adherence to securities laws and regulations across regulated entities. Support the testing and development of policies while collaborating with teams to facil...

Lead compliance initiatives by implementing robust programs that uphold industry regulations. Oversee due diligence, regulatory filings, and training while ensuring adherence to the Investment Adviser...

Oversee compliance and AML program efforts by monitoring regulatory adherence and evaluating policies, ensuring effective internal controls, and supporting compliance initiatives to drive organization...

Elevate security standards and compliance practices while leading risk assessments and audits. Engage with customer security needs and manage cross-functional initiatives, driving relentless improveme...

Champion compliance excellence by executing testing strategies, collaborating cross-functionally, and overseeing governance in a dynamic fintech environment. Help drive innovation and ensure operation...

Transform compliance processes in affordable housing by leading a dedicated team, ensuring adherence to LIHTC regulations, and managing file reviews for timely resident move-ins. Play a crucial role i...

Champion accountability and compliance by conducting legal research, drafting policy guidance, and preparing reports to support decision-making in a regulatory environment. Engage with stakeholders to...

Elevate compliance standards by architecting scalable programs that enhance operational efficiency and integrity. Partner with leadership to ensure robust surveillance, investigation processes, and te...

Optimize compliance programs across North America, ensuring regulatory adherence in financial services and debt collections, while driving performance improvements and fostering an ethical culture acr...

Champion compliance excellence by conducting trade surveillance, monitoring for violations, and supporting projects that safeguard regulatory integrity while fostering a culture of accountability...

Champion compliance excellence in investment management by overseeing regulatory adherence, executing compliance programs, and collaborating with stakeholders to ensure all investment restrictions and...

Shape the future of compliance in investment management by overseeing regulatory adherence, monitoring guidelines, and implementing solutions. Collaborate with key stakeholders to enhance compliance f...

Partner with us to build and scale a robust compliance program for either our broker-dealer or RIA. Collaborate closely with cross-functional teams while ensuring adherence to regulatory standards and...

Champion the evolution of marketing compliance processes to enhance regulatory adherence and operational efficiency. Drive improvements, manage critical reviews, and ensure marketing content meets glo...

Transform marketing compliance by owning the content review process, driving improvements, and ensuring adherence to regulatory standards while fostering collaboration across teams to enhance efficien...

Shape compliance strategies within trading by providing actionable guidance, enhancing surveillance processes, and leading projects. Collaborate with cross-functional teams to ensure adherence to regu...

Lead the charge in ensuring compliance and quality improvement initiatives across departments. Collaborate to enhance incident management, conduct audits, and support regulatory standards while foster...

Champion compliance initiatives by managing regulatory adherence, enhancing performance, and providing training across departments to minimize risks while ensuring all operations align with federal an...

Elevate compliance standards by overseeing legal matters and regulatory practices within a dynamic investment banking firm. Collaborate with executives to drive compliance initiatives and enhance busi...

Architect comprehensive compliance and risk management programs, ensuring adherence to regulatory standards and effective risk mitigation strategies, while fostering a culture of compliance across var...

Drive compliance innovation by designing and implementing a dynamic program that aligns regulatory adherence with business strategy. Partner across teams to ensure seamless compliance integration and...

Engage as an Employee Conduct Lead to craft and execute a global compliance strategy. Collaborate with various teams to uphold ethical standards, manage conflicts, and enhance operational efficiency a...