Trade Compliance Officer jobs in New York

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Chief Compliance Officer
The New York Racing Association, Inc. - Ozone Park, NY
The Chief Compliance Officer reports to the SVP, General Counsel, and Chief Administrative Officer. The Chief Compliance Officer oversees The New York Racing...
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Data Services App Support - Officer
State Street 715 reviews - New York, NY
Ensure compliance for all IT Audit controls for area of responsibility. This role will primarily focus on the Trade & Data Services functions (Exports) within...
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Vice President Personal Account Dealing Officer
The Compliance Search Group - New York, NY
$130,000 a year
Generate monthly reports for Compliance & business line management regarding all personal trades reviewed for possible policy violations....
Sponsored by TheLadders.com

Quality Assurance Compliance Officer (Vice President)

Deutsche Bank 696 reviews - New York, NY
The goal is to ensure that Compliance controls are effective, efficient, and promote compliance with key rules, regulations, guidelines and best practices....

Compliance Officer II

BNY Mellon 1,334 reviews - New York, NY
Validates control processes to ensure compliance with laws, rules and regulations. Description Manages compliance efforts for the Company as they relate to...

Compliance Officer (Swaps Regulatory Compliance) - Associate...

Deutsche Bank 696 reviews - New York, NY
Compliance Officer (Swaps Regulatory Compliance). This person will be part of the team supporting the designated Chief Compliance Officer (or equivalent officer...

Senior Compliance Officer - Asset Management

Credit Suisse 406 reviews - New York, NY 10022 (Midtown area)
Provide back-up to compliance advisory coverage officer overseeing various credit businesses; Perform certain trade surveillance activities and supervise trade...

Chief Compliance Officer

Peak Organization 6 reviews - New York, NY 10001 (Chelsea area)
Chief Compliance Officer. A boutique firm in Manhattan is looking to add a Chief Compliance Officer ( CCO). Any objections to the annual compliance report by...
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Compliance Officer – Corporate Banking & Securities (Vice Pr...

Deutsche Bank 696 reviews - New York, NY
Compliance Officer – Corporate Banking & Securities. Our Legal, Compliance and Government & Regulatory Affairs department manages the legal services, reviews...

Compliance Officer

KraneShares - New York, NY
Securities & Compliance Industry:. The Compliance Officer will audit and identify processes and/or activities to ensure they are in compliance with applicable...
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Manager, Laboratory Compliance

Gemological Institute of America 42 reviews - New York, NY 10065 (Upper East Side area)
Reports on compliance and ethics issues and concerns to the VP, Chief Compliance & Ethics Officer. Coordinates with the VP, Chief Compliance and Ethics Officer,...

Investments Compliance Officer / Counsel

XL Catlin 12 reviews - New York, NY
Investments Compliance Officer / Counsel. Establishing and maintaining compliance policies and procedures and monitoring investment advisory, insurance...

Senior Compliance Officer

Voya Financial 32 reviews - New York, NY
The Federal Trade Commission. 2+ years’ experience in compliance or related position. Assist in implementation and testing of compliance and portfolio...
OFAC Officer
Salem Executive Search - New York, NY
$80,000 - $100,000 a year
Work with the Head of Compliance and Senior Compliance Officer to support the compliance program of the Branch....
Sponsored by TheLadders.com

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