Compliance Officer jobs in Ozone Park, 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 - 10 days ago
US Regulatory and Legal Affairs Officer
Barclay Simpson - New York, NY
$225,000 a year
Our client, a global financial group, is seeking to recruit a US Regulatory and Legal Affairs Compliance Officer who will lead all US compliance related matters...
Sponsored by Barclay Simpson - 19 days ago

Compliance, Securities Division Compliance Officer, Associat...

Goldman Sachs 306 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...
1 day ago - save job - email - more...

VP Senior Manager Regulatory Compliance

HSBC 2,324 reviews - New York, NY
Helps implements the Group compliance policy locally by managing compliance risk in liaison with the Global Head of Compliance, Global Compliance Officer, Area...
1 day ago - save job - email - more...

Compliance Officer III Job

BNY Mellon 930 reviews - New York, NY
Compliance Officer III (Job Number:. May manage small team of Compliance Analysts. Solid understanding of Compliance Risk Management and best practices....
7 days ago - save job - email - more...

Compliance Officer ? Vice President

Jefferies & Company, Inc. - New York, NY
5 – 7 years’ financial markets experience Candidate will preferably have experience from a legal, regulatory, compliance, audit or consultancy background....
10 days ago - save job - email - more...

Regulatory Compliance Manager, Dodd Frank

HSBC 2,324 reviews - New York, NY
To implement the Group compliance policy locally by containing compliance risk in liaison with the Head of Group Compliance, Global Business Compliance Officer,...
1 day ago - save job - email - more...

New Accounts Compliance Officer

AllianceBernstein 32 reviews - New York, NY
We are looking for a New Accounts Compliance Officer within the Legal and Compliance group. The process includes reviewing all pertinent client documentation...
1 day ago - save job - email - more...

Compliance Advisory, Global Wealth Management

JPMorgan Chase 5,851 reviews - New York, NY
Compliance Advisory, Global Wealth Management. Global Financial Crimes Compliance (GFCC) team is part of The Global Compliance and Regulatory Management...
3 days ago - save job - email - more...

Compliance Operational Risk Officer

JPMorgan Chase 5,851 reviews - New York, NY
Compliance Operational Risk Officer. Corporate Operational Risk Officer for Compliance. The Compliance ORO will interact directly with executive leadership, key...
10 days ago - save job - email - more...

Associate/Senior Associate, Regulatory Risk

KPMG 931 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...
KPMG LLP - 8 days ago - save job - email - more...

Compliance Examiner

National Futures Association 6 reviews - New York, NY
A Compliance Examiner interacts with the investing public, as well as, senior staff and officers at NFA Member firms....
5 days ago - save job - email - more...
SEF Compliance Officer Job
Bloomberg 159 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
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 - 29 days ago
FINOP / Chief Compliance Officer
Anonymous group of affiliates - New York, NY
$100,000 - $175,000 a year
Regulation S-P compliance.  Maintain and manage tax compliance reporting.  Track and enforce annual compliance meeting requirements....
Easily apply
Sponsored by Anonymous group of affiliates - 2 days ago

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