Compliance Search jobs in New York, NY

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Financial Operations Examiner – Market Regulation, Trading &...
Finra - 37 reviews - New York, NY
Search Firm Representatives. Analyze and evaluate new products to determine compliance with established rules and regulations....
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Compliance Specialist, Institutional Distribution
The candidate will provide compliance support for Marketing, Sales and Investment Adviser affiliate businesses to ensure compliance with the applicable laws,...
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AML Analyst
Our client, a global financial institution based in New York, is in search of candidates for an ongoing compliance /AML review starting in the new year....
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VP Inquiries & Surveillance

Barclays - 2,163 reviews - New York, NY
Compliance with policies, procedures and. Regulatory compliance (including privacy and large shareholdings);...

Consultant, Global Investigations & Compliance

Navigant Consulting - 47 reviews - New York, NY
Navigant’s Global Investigations & Compliance team has unparalleled Anti-Money Laundering Investigations, Compliance and Advisory expertise;...

Associate - Investment Management Services

Aspiriant - New York, NY
Aspiriant is an Equal Opportunity Employer, and is in compliance with San Francisco’s “Fair Chance Ordinance” (FCO). What we are looking for -....

Consultant - Financial Services Advisory & Compliance

Navigant Consulting - 47 reviews - New York, NY
Meet regulatory compliance expectations, and respond to regulator actions. Risk Management and Regulatory Compliance – We help our client’s risk, compliance,...

Consultant - Anti-Money Laundering - NYC / Washington DC

Navigant Consulting - 47 reviews - New York, NY
Navigant’s Global Investigations & Compliance team has unparalleled Anti-Money Laundering Investigations, Compliance and Advisory expertise;...

Department Administrator

Columbia University - 320 reviews - New York, NY
HIPAA Compliance training required. Extensive experience with grants highly preferred, including a thorough knowledge of internal policies and external...

Global Compliance Director

MLA Global - New York, NY
The Global Compliance Directors primary role will be to identify, evaluate and manage compliance issues within the organization and to develop and roll out a...

Compliance Specialist, Institutional Distribution

OppenheimerFunds - 14 reviews - New York, NY
The candidate will provide compliance support for Marketing, Sales and Investment Adviser affiliate businesses to ensure compliance with the applicable laws,...

Associate, Risk Reporting

Morgan Stanley - 1,511 reviews - New York, NY 10032 (Washington Heights area)
Produce materials for standing regulatory and risk committee meetings, respond to questions from compliance, audit, and regulators. Morgan Stanley & Co....

Compliance Specialist

Seaview Imports - Port Washington, NY 11050
Search state and federal licensing and excise tax reporting.*. Reviewing sales and marketing programs for compliance with controlling state and federal laws....
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Vocational Counselor
Praxis Housing Initiatives - New York, NY
$21.97 an hour
Outreach residents as needed to maintain compliance and participate in services. Enhance job readiness by creating resumes and cover letters, teaching basic...
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Associate Principal Examiner/Principal Examiner - Member Reg...
Finra - 37 reviews - New York, NY
Minimum of five years of securities, compliance or financial regulatory experience. Please be advised that FINRA is not seeking assistance or accepting...
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