Trade Compliance Officer jobs in New York, NY

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Compliance Officer
Rand Thompson Consultants - New York, NY 10017
Five years of Compliance experience in an Investment Advisor. Will be the point person on the trade desk for portfolio managers and traders....
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Chief Corporate Compliance Officer
The New York Racing Association, Inc. - Ozone Park, NY
The Chief Corporate Compliance Officer oversees The New York Racing Association, Inc’s. The Chief Corporate Compliance Officer is a member of the law department...
Senior Business Development Officer - Asset Based Lending
HSBC - 7,124 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,...

Compliance, Securities Division Compliance, Associate/ Vice...

Goldman Sachs - 789 reviews - New York, NY 10282 (Tribeca area)
Develop and deliver compliance training programs for business unit professionals. Should be detail oriented and enjoy fact-gathering, whether through...

Jun. Compliance Officer

Credit Suisse - 798 reviews - New York, NY 10022 (Midtown area)
At least 2+ years relevant experience within Financial Services, ideally within a Compliance Control Room / Trade Surveillance function within a global...

Compliance Officer – Corporate Banking & Securities (AVP)

Deutsche Bank - 1,460 reviews - New York, NY
Compliance Officer – Corporate Banking & Securities. Legal, Compliance and Government & Regulatory Affairs. Our Legal, Compliance and Government & Regulatory...

Compliance Officer

AIG - 1,764 reviews - New York, NY
(AIG) has an opportunity for a Compliance Officer, Global Financial Crimes Group in Americas (New York). Ad hoc Compliance projects across Financial Crime Risks...

VP- Compliance Officer III

BNY Mellon - 2,229 reviews - Florham Park, NJ 07932  +1 location
Compliance experience preferred. Serve as Information Risk Officer. Compliance with laws, rules and regulations....

Sr. Compliance Analyst for a registered investment advisor

ADP - 2,389 reviews - Florham Park, NJ
Responsibilities Assist the Chief Compliance Officer with all aspects of the Firm's compliance program including but not limited to:....

Assistant Compliance Officer

S&P Global - 25 reviews - New York, NY
The Compliance function seeks to facilitate compliance with internal policies, guidelines and controls as well as regulatory requirements where applicable....

OFAC Compliance Officer

Société Générale - 938 reviews - New York, NY
Serve as the technical Sanctions Compliance resource for special projects in support of the US Sanctions Compliance program....

Senior Compliance Executive

Right Executive Search LLC on behalf of our Client - New York, NY
This role joins the firm’s compliance team in the assessment, development, implementation, and testing of compliance programs for clients in the alternative and...
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PWM Compliance Officer

Michael Page US - 132 reviews - New York, NY
Key responsibilities of the PWM Compliance Officer are:. Conducting annual compliance risk assessments and compliance targeted reviews....
Compliance Director - AML Advisory - Global Head of Foreign...
Citi - 9,343 reviews - New York, NY 10261
Compliance and Control. Work closely with central compliance functions, AML, Sanctions and Core Compliance for FCB related guidance and issue resolution....
Senior Compliance Analyst, Suitability Testing, Brokerage Co...
E*TRADE FINANCIAL - 210 reviews - Jersey City, NJ
Enhance metrics reporting of control testing and observation results for the Enterprise Chief Compliance Officer and senior Compliance and Risk Management teams...

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