Compliance Officer jobs in New York, NY

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Fixed Income Compliance Officer
Smith Arnold Partners - New York, NY
$160,000 - $180,000 a year
Additionally, the Fixed Income Compliance Officer will be responsible for identifying and mitigating risk areas by through various regulatory and business...
Sponsored by Smith Arnold Partners - 17 days ago
US Regulatory and Legal Affairs Officer
Barclay Simpson - New York, NY
$225,000 a year
Reporting to the Head of Compliance, you will be in charge of developing and enforcing compliance regulatory frameworks as well as administering the compliance...
Sponsored by Barclay Simpson - 26 days ago

Compliance Officer

RBC 247 reviews - New York, NY
Compliance officer will provide compliance support for investigations and special projects. Compliance officer would be expected to assist in Market-Access...
3 days ago - save job - email - more...

Regulatory Exams Compliance Officer

Credit Suisse 305 reviews - New York, NY
Manage regulatory exams initiated by the SEC, FINRA and other SROs. Obtain, review and organize documents to be produced in connection with regulatory exams;
1 day ago - save job - email - more...

GBAM Sr Compliance Mgr

Bank of America 9,414 reviews - New York, NY
Assisting LOB Compliance officers in building business-level compliance programs, including procedures, documentation, recordkeeping, and training....
1 day ago - save job - email - more...

Officer, Monitoring & Evaluation

International Rescue Committee 69 reviews - New York, NY
Ensure M&E systems are in compliance with best practice as well as with industry / donor standards for data security;...
4 days ago - save job - email - more...

Compliance Officer

DRA Advisors LLC - New York, NY 10017 (Midtown area)
We are currently seeking an experienced Compliance Officer to join our team. Interface with Legal counsel on various compliance areas....
SelectLeaders - 1 day ago - save job - email - more...

Compliance Officer I-Broker Dealer Job

BNY Mellon 935 reviews - New York, NY
Compliance Officer I-Broker Dealer (Job Number:. 3-5 years relevant product/financial services and/or auditing or compliance experience preferred....
4 days ago - save job - email - more...

Compliance Officer II Job

BNY Mellon 935 reviews - New York, NY - +1 location
Compliance Officer II (Job Number:. Compliance & Ethics-HR06015. Risk and Compliance provide risk and compliance services across all BNY Mellon businesses....
1 day ago - save job - email - more...

Compliance Department Control Room Officer

Cantor Fitzgerald 28 reviews - New York, NY
Specific tasks of the IB and Research Compliance Officer also include the following:. The individual will serve as the compliance liaison with other Compliance...
Easily apply
8 days ago - save job - email - more...

Compliance Officer Risk Assessment Analytics

Citi 2,240 reviews - Long Island City, NY
Compliance and Control. Effectively and proactively communicate important compliance risk information to senior level colleagues in the business, risk, and...
18 hours ago - save job - email - more...

Compliance, Securities Division Compliance Officer, Associat...

Goldman Sachs 310 reviews - New York, NY
In particular, this Divisional Compliance Officer provides coverage support to Equity Sales, Derivative Sales, Cross Asset Sales, Convertible Sales, and Macro...
8 days ago - save job - email - more...
SEF Compliance Officer Job
Bloomberg 161 reviews - New York, NY
Bloomberg is seeking a Swaps Regulatory Compliance Officer who will be responsible for supporting the implementation and management of the overall compliance...
Sponsored by Bloomberg - 30+ days ago
Compliance Officer - Tradebook Job
Bloomberg 161 reviews - New York, NY
Bloomberg Tradebook's Compliance team is looking for an experienced Compliance Officer with solid hands on surveillance experience to join the team....
Sponsored by Bloomberg - 12 days ago
Investment Advisor Compliance Consultant
Regulatory Compliance - New York, NY
Our team of experienced securities principals, financial and operations principals, chief compliance officers, investment advisers and securities attorneys...
Easily apply
Sponsored by Regulatory Compliance - 30+ days ago

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