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Compliance Officer Jobs in New York

594 jobs

Job Description: Our client, a global banking and financial services company, is looking for a Regulatory Change and Implementation Compliance Officer. The Regulatory Change and Implementation Compliance Officer will report to the Head of Markets Regulatory Implementation in Global Markets and Securities Services Compliance, which provides coordination and oversight of regulatory change managemen...
$80,000 to $100,000 + bonus + excellent benefits Billion $, international bank, located in mid-town Manhattan, seeks growth-oriented candidates to join their expanding Compliance Department. Responsibilities will include: · Assist during initial implementation stage for BSA/AML transaction monitoring software (FIS’s Prime BSA Reporter and EDD Reporter). · Customer/account risk modeling, scoring a...
Chief Compliance Officer Paradigm Capital Management, Inc.is an Albany, NY-based investment adviser registered with the SEC, with an opening for a Chief Compliance Officer (CCO). Paradigm serves as investment adviser to (i) private funds, (ii) separately managed accounts and (iii) registered investment companies. Paradigm invests client assets primarily in US domestic small-cap equities. The CCO...
RESPONSIBILITIES: Kforce's client, a leading asset management company is seeking a Compliance Officer to sit in their New York, New York (NY) office and support their mutual fund business. Responsibilities: Help develop, draft and execute policies and procedures that are designed to detect and prevent violations of the federal securities laws and mitigate various types of risk, including complian...
THE ROLE The primary responsibility of the Compliance Officer is to oversee the division's compliance with market and trade supervision requirements of various exchanges (CME, ICE, NYMEX) as well as government bodies such as Commodity Futures Trading Commission (CFTC). The Compliance Officer will also work with the surveillance provider to manage the surveillance system, review trade surveillance...
Job Description OFAC Compliance Officer SUMMARY Mainly responsible for overseeing all day to day OFAC and Sanctions Compliance activities for the New York Branch. Ensure and enforce Compliance with regulatory requirements and Bank policies and procedures. Manage and maintain the Branch’s OFAC Compliance program. The OFAC Compliance Officer shall have access to all departments and documentation th...
Job Description Employee will mainly responsible for overseeing all day to day OFAC and Sanctions Compliance activities for the Branch. Prepare annual OFAC Risk Assessment for management review. Perform periodic review of business OFAC procedures for compliance with OFAC regulation; ensure policies and procedures are current and followed. Manage staff in day-to-day operation of OFAC responsibilit...
Tower Research Capital LLC, a proprietary trading firm founded in 1998, seeks a Compliance Officer to join the Compliance team in New York. The ideal candidate will be self-motivated, responsive, enthusiastic, and have a strong attention to detail. This is an opportunity to join a growing department at a leading and growing trading firm. Responsibilities The individual will perform an important ro...
Description Position Summary The Chief Compliance Officer, Marsh US, is responsible for leading the Compliance team that supports the various compliance needs of Marsh USA’s core broking operations, including licensing, professional standards, surplus lines, gifts & entertainment, third party providers, M&A due diligence and transparency & disclosure. The position will also have a strong regulator...
Compliance Officer - FIU AML Investigations-16078175 Description 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 inve...
Assurant's investment portfolio is managed by its in-house asset management division, Assurant Asset Management (AAM). A new entity, Assurant Investment Management (AIM), was recently formed to leverage internal credit and real estate expertise to begin a third party asset management business. Initially, this will include establishing a real estate platform (serving as an investment manager for re...
Chief Compliance Officer, Assurant Investment Management-48657 Description Assurant’s investment portfolio is managed by its in-house asset management division, Assurant Asset Management (AAM). A new entity, Assurant Investment Management (AIM), was recently formed to leverage internal credit and real estate expertise to begin a third party asset management business. Initially, this will include...
Posted Date: 12/1/2016 Job Category: Financial Position Title: Senior Compliance Officer – Equity & Fixed Income Trading Salary Range: $120,000.00 - $140,000.00 Location: New York, New York Desired Skills: Description: The Company: Our client is an independent investment bank and asset management firm that focuses on delivering high-quality investment ideas and investment banking services to inst...
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...
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: As a Compliance Officer in the Control Room you will be part of a global team tasked with overseeing controls in relation to credit rating analyst conflicts of interest and protection of confidential and/or material, non-public information. As part of this role you will be involved in monitoring electronic communications between restricted groups of employees. You will act as the gateke...
Description Financial & Risk (F&R) provides solutions to the global financial community - delivering critical news, information and analytics, enabling transactions and connecting communities of trading, investing, financial and corporate professionals. We help our customers generate superior returns, improve risk and compliance management, increase access to liquidity and create efficient, relia...
Description: Citi,the leading global bank, has approximately 200 million customer accounts anddoes business in more than 160 countries and jurisdictions. Citi providesconsumers, corporations, governments and institutions with a broad range offinancial products and services, including consumer banking and credit,corporate and investment banking, securities brokerage, transaction services,and wealth...
Senior Compliance Officer-Prime Finance- Equities-16079547 Description Description :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...
VP Senior Manager Local Compliance Officer - Swap Dealer - Advisory : 000088R7 Description As a member of the CCO’s Swap Dealer Compliance team, this individual will have primary responsibility for advising business and support functions (i.e., Risk, Operations) on swap dealer regulations. Responsibilities will also include the following: Enhancing the swap dealer compliance program; Revising pol...