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Compliance Officer Jobs in New York

508 jobs

FXCM is currently looking for an experienced Compliance professional to join our Compliance team in our New York City headquarters. The Compliance Officer is responsible for supervision of the Compliance Department and communicating with regulators and auditors throughout the year. The individual will be responsible for keeping up to date with regulatory changes and ensuring team members are knowl...
Casey Securities is looking for a driven individual in the role of Junior Compliance Officer. The Junior Compliance Officer will report directly to the Chief Compliance Officer as well as other members of senior management. They will be responsible with assisting in all regulatory matters. Attention to detail is vital when dealing with any regulatory body and this person should be highly organized...
Overview: Individual will ensure client portfolios are invested in accordance with client guidelines, internal policies and procedures and regulatory law. Responsibilities: Daily oversight of assigned portfolios for compliance with guidelines, internal policies and regulatory issues Review of trading activity for compliance issues Work with portfolio management group to conduct pre-trade anal...
JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $2.6 trillion and operations worldwide. The firm is a leader in investment banking, financial services for consumers and small business, commercial banking, financial transaction processing, and asset management. A component of the Dow Jones Industrial Average, JPMorgan Chase & Co. serves millions of consum...
Description Serves as a Local Compliance Officer (LCO) for an assigned business line, global function or HSBC Technical Services (HTS), provides regulatory compliance expertise and guidance in an advisory capacity to senior management in support of strategic initiatives and management of compliance risk. This role typically reports to either a SVP LCO or VP Director LCO. May be responsible for th...
Description Serves as a key subject matter expert for assigned area(s). Provides compliance support, advice, and guidance to the first and second lines of defense across HNAH relative to assigned regulation(s), regulatory requirements and/or compliance risks. Provides regulatory compliance expertise to support strategic initiatives and advises the first and second lines of defense in managing the...
Job Description: FXCM is currently looking for an experienced Compliance professional to join our Compliance team in our New York City headquarters. The Compliance Officer is responsible for supervision of the Compliance Department and communicating with regulators and auditors throughout the year. The individual will be responsible for keeping up to date with regulatory changes and ensuring team...
Job Description: Perform Global Ongoing Periodic Reviews to ensure reasonable AML risk mitigation strategies are being applied for all in business AML Monitoring. • Assist in maintaining the Global AML Monitoring Inventory tool to ensure in business monitoring is current • Keep current Global Ongoing Periodic Review (OPR) Standard for AML Monitoring and related review and assessment processes/pro...
Description Serves as a Local Compliance Officer (LCO) for an assigned business line, global function or HSBC Technical Services (HTS), provides regulatory compliance expertise and guidance in an advisory capacity to senior management in support of strategic initiatives and management of compliance risk. This role typically reports to either a SVP LCO or VP Director LCO. May be responsible for th...
We are seeking a talented and detail-oriented professional to join our growing Compliance team to help build, automate, and administer a wide range of Compliance initiatives for the Firm. Responsibilities include: Monitoring industry-wide compliance initiatives as well as important federal, state, and non-U.S. regulatory developments and conduct analyses as to how such developments impact Two Sig...
Company Profile Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm’s employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries. As a market leader, the talent and passion of our people is critical...
We are looking to hire a talented Compliance professional to help build a leading Compliance Program in the non-bank business-lending arena. We are seeking a highly motivated, self-starter who enjoys working in a dynamic, fast-paced and collaborative environment. In this challenging position, you will report to the Head of Compliance and work closely with members of the legal team and key business...
JPMorgan Chase & Co . (NYSE: JPM) is a leading global financial services firm with assets of $2.6 trillion and operations worldwide. The firm is a leader in investment banking, financial services for consumers and small business, commercial banking, financial transaction processing, and asset management. A component of the Dow Jones Industrial Average, JPMorgan Chase & Co. serves millions of consu...
Build and manage Global Ongoing Periodic Review Program to ensure reasonable AML risk mitigation strategies are being applied for all in business AML Monitoring. • Responsible for maintaining the Global AML Monitoring Inventory tool to ensure in business monitoring is current and develop reporting of overall monitoring coverage for all Assessment Units • Maintain Global Ongoing Periodic Review (...
JOB POSTING Requisition: 2248 Job Title: Export Compliance Officer Location: PLAINVIEW, NEW YORK Position Reports to: Manager, Global Trade Compliance or Director, Global Trade Compliance JOB RESPONSIBILITIES 1. Ensuring that the activities of Cobham comply with export control laws and regulations, as well as the requirements set forth in this policy; 2. Completing or delegating responsibil...
Serves as a key subject matter expert for assigned area(s). Provides compliance support, advice, and guidance to the first and second lines of defense across HNAH relative to assigned regulation(s), regulatory requirements and/or compliance risks. Provides regulatory compliance expertise to support strategic initiatives and advises the first and second lines of defense in managing their compliance...
About Citi Citi, the leading global bank, has approximately 200 million customer accounts and does business in more than 160 countries and jurisdictions. Citi provides consumers, corporations, governments and institutions with a broad range of financial products and services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and w...
Research Compliance Officer Job Number: 3063427 Posting Date : May 4, 2016 Primary Location : Americas-United States of America-New York-New York Education Level: Bachelor's Degree Job : Legal and Compliance Employment Type: Full Time Job Level: Executive Director Description Company Profile Morgan Stanley is a leading global financial services firm providing a wide range of investme...
Regulatory Compliance Officer – Regulatory Reform Strategy Group Job Number: 3069240 Posting Date : May 4, 2016 Primary Location : Americas-United States of America-New York-New York Education Level: Refer to Position Description Job : Legal and Compliance Employment Type: Full Time Job Level: Vice President Description Company Profile Morgan Stanley is a leading global financial ser...
Equity Sales and Trading Compliance Officer Job Number: 3070526 Posting Date : May 19, 2016 Primary Location : Americas-United States of America-New York-New York Education Level: Bachelor's Degree Job : Legal and Compliance Employment Type: Full Time Job Level: Vice President Description Company Profile Morgan Stanley is a leading global financial services firm providing a wide rang...