Compliance Examiner jobs in New York, NY

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Compliance Officer
World Business Lenders - New York, NY - New York, NY
The Compliance Officer is responsible for developing, implementing, administering, and maintaining all aspects of the Company’s compliance program, with a...
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Sponsored by World Business Lenders - New York, NY - 30+ days ago
Financial Operations Examiner - Member Regulation, ROOR - Ne...
Finra 25 reviews - New York, NY
Financial Operations Examiner. FINRA examiners work in a team environment, frequently offsite. Supervise and provide guidance, training and technical support to...
Sponsored by Finra - 5 days ago
Financial Operations Examiner – Market Regulation, Trading &...
Finra 25 reviews - New York, NY
Financial Operations Examiner. FINRA examiners work in a team environment. The Compliance Examiner conducts routine review and investigations of unusual market...
Sponsored by Finra - 3 days ago

Wealth Management Compliance Branch Examiner

Morgan Stanley 846 reviews - New York, NY
Professionals within Legal and Compliance provide a wide range of services to our business units. Work with colleagues and branch examination management to...

DSRIP Audit & Compliance Manager, HC Performance Management

Public Consulting Group 38 reviews - New York, NY
Audit & Compliance Manager Job Description. Certified Public Accountant (CPA) or Certified Fraud Examiner (CFE) preferred, but not required....

Senior Associate, Regulatory Risk

KPMG 1,041 reviews - New York, NY
Speak at outside seminars on current safety, soundness, and compliance issues. Help ensure the development and implementation of new regulatory compliance...

Corporate Compliance - Branch Inspections - Vice President

JPMorgan Chase 6,584 reviews - New York, NY
5+ years experience as an auditor/branch office examiner in a regulatory agency or broker dealer compliance department a plus....

Senior Associate, Compliance & Monitoring

KPMG 1,041 reviews - New York, NY
Two years of AML compliance or corporate intelligence, due diligence, and/or compliance and legal experience in the financial or professional services...

Compliance/Sales Supervisor – Broker Dealer

ACG Resources - New York, NY
Report directly to the Chief Compliance Officer. Assist CCO with regulatory examiners during on site examinations and routine inquiries....

IHC - Director – AML Risk

BNP Paribas 395 reviews - New York, NY
Interacts with external examiners and coordinates with internal audit and Corporate Compliance Testing within the position’s area of focus....

Compliance Examiner - Member Regulation, Sales Practice -Jer...

Finra 25 reviews - Jericho, NY - +2 locations
And supervisory and compliance policies, procedures, internal controls and systems to determine compliance with established standards and rule requirements....

Examiner, GS-0501-12/13

Small Business Administration 36 reviews - New York, NY
Overseeing the soundness of companies' examining operations and their ability to ensure compliance with laws and regulations;...

Associate/Senior Associate, Regulatory Risk

KPMG 1,041 reviews - New York, NY
One year of experience in regulatory compliance as a bank compliance manager and/or officer, compliance auditor, regulatory counsel, or at a federal banking...
Internal Audit Senior Staff - TRUST-Wealth Management Risk C...
Crowe Horwath LLP 52 reviews - New York, NY
Regulation 9 Compliance. Bank examiner experience is a plus. Senior Staff would be responsible for working on Internal Audit projects with a primary focus on...
Sponsored by Crowe Horwath LLP - 30+ days ago
Compliance Examiner - Member Regulation, Sales Practice - Wo...
Finra 25 reviews - Woodbridge, NJ
And supervisory and compliance policies, procedures, internal controls and systems to determine compliance with established standards and rule requirements....
Sponsored by Finra - 9 days ago

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Company with Compliance Examiner jobs
25 reviews
FINRA is the largest independent regulator of securities firms doing business with the public in the United States.