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Compliance Officer Jobs in New York - Page 3

541 jobs

The role of the Divisional Compliance Officer is to articulate and maintain the standards of conduct required of the Firm’s businesses as well as the laws, regulations and policies governing these businesses in order to assist the Firm in avoiding economic, regulatory and legal liability and risk to reputation. Divisional Compliance provides coverage support to the Division’s functional (including...
GS Bank USA Lending Compliance Officer, Bank Holding Company Compliance, Vice President Job id42564LocationNew YorkFull/Part TimeFull-time Job Summary Responsibilities The Goldman Sachs Group, Inc. is a leading global financial services firm providing investment banking, securities and investment management services to a substantial and diversified client base that includes corporations, financ...
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...
**Job Reference #:** 137749BR **City:** New York **Job Type:** Full Time **Your Role:** Are you risk averse but risk aware? Do you specialize in Trade Surveillance We are looking for someone like that to Assist the CCO with enhancing and implementing trade monitoring/surveillance program within Asset Management. Maintain and enhance conflicts of interest policy and procedures with regards to ...
The Goldman Sachs Group, Inc. is a leading global financial services firm providing investment banking, securities and investment management services to a substantial and diversified client base that includes corporations, financial institutions, governments and high-net-worth individuals. Founded in 1869, the firm is headquartered in New York and maintains offices in London, Frankfurt, Tokyo, Hon...
Global Compliance / Central Policy Office Policy Manager - Associate JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $2 trillion and operations in more than 60 countries. The firm is a leader in investment banking, financial services for consumers, small business and commercial banking, financial transaction processing, asset management, and private equ...
JPMorgan Chase & Co. (NYSE:JPM) is a leading global financial services firm with assets of $2 trillion and operations in more than 60 countries. The firm is a leader in investment banking, financial services for consumers, small business and commercial banking, financial transaction processing, asset management, and private equity. This position will be part of JPMorgan's Global Anti-Corruption C...
Are you risk averse? Do you know how to maintain independence and objectivity? We are looking for someone like that who can: – act as a compliance and operational risk control subject-matter expert for UBS Asset Management Americas - Traditional Investment, Fixed Income, Equities, Currency and Allocation and Money Market, supporting them in managing risk – perform second-line-of-defense activiti...
**Job Reference #:** 137641BR **City:** New York **Job Type:** Full Time **Your Role:** Are you risk averse? Do you know how to maintain independence and objectivity? We are looking for someone like that who can: – act as a compliance and operational risk control subject-matter expert for UBS Asset Management Americas - Traditional Investment, Fixed Income, Equities, Currency and Allocation an...
Company Description Open Systems Technologies is a national provider of smart staffing solutions, providing contract staffing, permanent placements and executive searches in the following skill areas: - Technology - Finance, Accounting, and Operations - Government Services - Legal - Global Services Established in New York in 1990, Open Systems Technologies is one of the largest, privately h...
A leading broker dealer is looking for a compliance officer to oversee all aspects of employee activities. Responsibilities Perform surveillance of employees in the following areas; employee trade surveillance, outside business activities, private investments and political contributions Testing and monitoring procedures associated with policies Administrative tasks as needed Requirements Bac...
Investment Bank is looking for a Compliance Officer - Trade Compliance Finance to join their team in New York, NY. Responsibilities: Upon receipt of KYC opinion from OPER/KYC, analysis of High and Med-High risk files during on-boarding and review including the issuance of a Compliance opinion. Escalation to SEGL/CFT/SFG of High Risk files (except for punctual or one shot deals) Management of F...
Investment Bank is looking for a Compliance Officer - AML Advisory to join their team in New York, NY. Responsibilities: Provide guidance to key stakeholders including the business, operations, technology, management, and Compliance on AML-related requirements across business lines. Work with the all applicable stakeholders, including business lines on initiatives relating to Policy/Procedures,...
Investment Bank is looking for a Compliance Officer - Regulatory Compliance to join their team in New York, NY. Responsibilities: Development and maintain of comprehensive policies, procedures and other compliance risk controls (i.e., monitoring/testing) to ensure ongoing compliance with applicable laws, regulations, rules, standards and guidelines (i.e., best practices). Develop and manage com...
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...
The Role: The Compliance Officer – Regulatory Exam Management will assist in overseeing the firm’s regulatory exam management program. This position is an advocate for S&P and maintains S&P’s reputation and good will with regulators through inspections and inquiries in process. Responsibilities: • Represents Standard & Poor’s in managing regulatory requests and on-site inspections. • Assisting...
Description The U.S Bank Home Mortgage Compliance Representative position supports Mortgage Servicing, to ensure compliance with banking laws and regulations. This position is responsible for complex functional segments of the Corporate Compliance Consumer Banking program, evaluating and reporting information from a specific business line and for a specific product specialty within a business lin...
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...
For over 230 years, the people of BNY Mellon have been at the forefront of finance, expanding the financial markets while supporting investors throughout the investment lifecycle. BNY Mellon can act as a single point of contact for clients looking to create, trade, hold, manage, service, distribute or restructure investments & safeguards nearly one-fifth of the world's financial assets. BNY Mellon...
At U.S. Bank, we're passionate about helping customers and the communities where we live and work. The fifth-largest bank in the United States, we’re one of the country's most respected, innovative and successful financial institutions. U.S. Bank is an equal opportunity employer committed to creating a diverse workforce. We consider all qualified applicants without regard to race, religion, color,...