2,061 Results for

Compliance Officer Jobs in Trinity, NY

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Senior Compliance Officer - Digital Assets Franklin Resources Inc

New York, NY

$180,000–$210,000 / year

We also offer a comprehensive benefits package, which includes a range of competitive healthcare options, insurance, and disability benefits, employee stock investment program, learning resources, career development programs, reimbursement for certain education expenses, paid time off (vacation / holidays / sick / leave / parental & caregiving leave / bereavement / volunteering / floating holidays) and a motivational wellbeing program. Global Regulatory Compliance helps Franklin Templeton manage regulatory risk across digital asset products, services, marketing, tokenization initiatives, and blockchain activities.

3 days ago

Chief Compliance Officer, Ramp Advisory LLC Ramp Business Corporation

New York City, NY

We automate how over $200B in annualized spend flows in and out of 70,000+ companies: authorizing payments, flagging risk, categorizing spend, and closing books. Serve as Ramp Advisory LLC's designated CCO, with independent authority over the design, execution and effectiveness of the compliance program.

10 days ago

Multiple Series Trusts Chief Compliance Officer US Bank

New York, NY

$170,255–$200,300 / year

Compliance oversight of service providers to the MST, specifically numerous independent investment advisers, U.S. Bank Global Fund Services as Transfer Agent, Fund Administrator, and Fund Accountant, U.S. Bank as Custodian, and external parties such as Distributor(s) to the Funds. In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures.

7 days ago

Senior Analyst, Compliance Officer US Skandinaviska Enskilda Banken AB

New York, NY

$100,000–$120,000 / year

Perform and provide trained backup coverage for assigned AML/BSA and OFAC controls across the New York Branch and SEBSI, including customer due diligence and reviews, transaction monitoring and investigations, sanctions and name screening, escalations, regulatory reporting support, testing, recordkeeping and remediation, in accordance with each entity's procedures and the role's documented authority. Work with Front Office, Operations, Client Services, KYC, Finance, Technology, Information Security, Legal, Group Compliance and assurance functions to obtain information, complete assigned follow-up and support established audit, examination and remediation processes, escalating unresolved or material matters to senior Compliance colleagues.

7 days ago

Avp, Senior Compliance Officer Skandinaviska Enskilda Banken AB

New York, NY

$140,000–$170,000 / year

Within the scope expressly delegated under applicable Branch and SEBSI procedures and the role's documented authority, exercise Deputy AML Officer and trained backup responsibilities for assigned AML/BSA and OFAC matters, including alert and case dispositions, customer onboarding and due diligence decisions, escalation of potentially suspicious activity, sanctions and name-screening reviews, and preparation or quality review of required regulatory reports; escalate material matters to the VP, Head of Compliance. About the role: Reporting to the VP, Head of Compliance, you will operate with substantial independence across the New York Branch compliance framework and serve as Deputy AML Officer and designated trained backup to the VP, Head of Compliance for assigned AML/BSA and OFAC controls across both the New York Branch and SEB Securities, Inc. (SEBSI).

7 days ago

Head Of Broker Dealer Compliance, Americas And Chief Compliance Officer (Vn2908) Marex Group, Plc.

New York, NY

$290,000–$335,000 / year

The Head of Broker Dealer Compliance is an expert in Broker Dealer regulation that leads a team of compliance officers in providing compliance advisory services for Equities, Fixed Income, Listed Options trading activities as well as knowledge of various regulatory reporting requirements. The depth of knowledge amongst its teams and divisions provides its customers with clear advantage, and its technology-led service provides access to all major exchanges, order-flow management via screen, voice and DMA, plus award-winning data, insights, and analytics.

30+ days ago

Chief Compliance Officer, Ramp Advisory LLC Ramp Business Corp

New York, NY

8 days ago

Senior Digital Asset Advisory Compliance Officer Morgan Stanley

New York, New York

$165,000–$275,000 / year

This is an Executive Director level position within the U.S. Bank Non-Financial Risk Oversight team, which is responsible for advising and guiding bank management through product design, development and implementation in a manner that ensures regulatory alignment, mitigates risk through efficient controls, and maintains compliance through the execution of effective risk management and oversight programs that can respond to an evolving regulatory environment. We're seeking someone to join our team as a Senior Digital Asset Advisory Compliance Officer in U.S. Bank Compliance to shape the Morgan Stanley U.S. Banks digital assets business by navigating emerging regulations, collaborating across legal and risk teams, and driving the development of a compliance management system that supports innovation and regulatory integrity.

11 days ago

Chief Compliance Officer, Ramp Advisory LLC Ramp

New York City, New York

We automate how over $200B in annualized spend flows in and out of 70,000+ companies: authorizing payments, flagging risk, categorizing spend, and closing books. Serve as Ramp Advisory LLC’s designated CCO, with independent authority over the design, execution and effectiveness of the compliance program.

7 days ago

Digital Assets Compliance Officer Clear Street

New York, NY

$150,000–$175,000 / year

Hands-on, practitioner-level expertise with Chainalysis products (KYT and Reactor required; Business Data a strong plus); including implementation, configuration, alert rule-writing, and risk calibration. This is a senior individual-contributor role with program-ownership responsibility across KYC, KYB, and KYT onboarding and ongoing monitoring, as well as end-to-end management of transaction investigations and Suspicious Activity Report (SAR) filing determinations.

7 days ago

Senior Compliance Manager and Privacy Officer IDB Bank

New York, NY

$160,000–$180,000 / year

In addition to base salary, our total rewards package also includes eligibility for an annual bonus, medical, pharmacy, dental, and vision plans, life and disability insurance, employee wellness program, retirement and savings plans with employer contributions, generous holiday and paid time off schedules, parental leave, and tuition reimbursement. 5 plus years' experience of increasing responsibility working for either a regulatory agency examining banks or in a bank within the Compliance or Legal Departments providing advice and/or guidance on banking regulations and laws.

13 days ago

ED, Regional Compliance Officer (Northeast) Morgan Stanley

Purchase, New York

$165,000–$275,000 / year

gifts, non-cash compensation, outside business activities, trading, etc.);> Ability to challenge the Business where there is a potential for regulatory or reputational risk;> The ideal candidate will be proactive, have strong verbal and written communications skills, and the ability to prioritize and handle multiple tasks in a fast-paced environment;> Ability to analyze data and identify and escalate key trends, patterns, and root causes;> Evidence strong leadership capabilities or previous supervisory experience;> Ability to work within a team and act independently;> Relevant Wealth Management Business experience;> Proven ability to interact with Financial Advisors and Branch staff in a professional and productive manner;> Excellent judgment and the ability to be discreet in all matters;> Bachelor's Degree required;> Preference for FINRA SIE, Series 7, 9/10, 24, and/or 65/66. What you'll do in the role: > Provide Compliance guidance and advice to Regional Management and Market management on Firm and regulatory policies and procedures;> Participate in senior Compliance management meetings as well as meetings and coordination with senior business leaders in Wealth Management;> Collaborate with Regional Management on high-risk matters identified within the Region (e.g., sales practice issues, conduct matters, outside business activities, and recruits);> Engage with senior stakeholders in Field Management on various issues, including conduct-related matters, policy enhancements, and supervisory functions.>

8 days ago

Public Compliance Officer Turing

New York, New York

Remote

$100–$150
Quick Apply

Turing supports customers in two ways: first, by accelerating frontier research with high-quality data, advanced training pipelines, plus top AI researchers who specialize in coding, reasoning, STEM, multilinguality, multimodality, and agents; and second, by applying that expertise to help enterprises transform AI from proof of concept into proprietary intelligence with systems that perform reliably, deliver measurable impact, and drive lasting results on the P&L. Turing is looking for candidates with strong experience in government and regulatory compliance, particularly at the level expected for compliance officers, auditors, legal analysts, or public policy professionals working within or alongside public institutions.

1 day ago

Compliance Officer, Financial Services And Bank Partnerships | Housing Elise A.I. Technologies Corp

New York City, NY

$140,000–$190,000 / year

Lead KYC/KYB processes, oversee transaction-monitoring operations, review escalated alerts and investigations, and prepare Unusual Activity Reports (UARs) and other required reports for financial institution partners. You will work cross-functionally with Legal, Product, Engineering, Operations, and business stakeholders to operationalize compliance efforts, support audits and examinations, and improve KYC and transaction-monitoring workflows.

20 days ago

Compliance Officer Metropolitan Transportation Authority

New York, NY

$112,085–$140,022.84 / year

Qualified on MNR Operating Rules, Physical Characteristics, On Board Service Manual Metro-North Train Service Manual, Federal Rules regarding the operation of trains and equipment and Collective Bargaining Agreements covering Train & Engine employees (if from another railroad, the successful candidate must become qualified within six (6) months from date of hire). Pursuant to the New York State Public Officers Law & the MTA Code of Ethics, all employees who hold a policymaking position must file an Annual Statement of Financial Disclosure (FDS) with the NYS Commission on Ethics and Lobbying in Government (the "Commission").

11 days ago

US Chief Compliance Officer - Remote GoCardless Ltd

Remote

$180,000–$270,000 / year

We'd love to hear from you if: You have experience managing compliance for US card programs and embedded payment/finance products in a fintech or program manager capacity, including working with sponsor bank partners, card network rules (Visa/Mastercard), and regulatory frameworks such as BSA/AML, Reg E, and UDAAP. You will take a consultative approach and work closely with every business division and the global regulatory compliance team to implement and manage an innovative and practical, yet thorough, compliance regime that may include cross-border contractual setup with the regulated entities of the group.

13 days ago

Senior Compliance Officer Neuberger Berman

New York, NY

$190,000–$250,000 / year

An employee's pay position within the salary range will be based on several factors including, but limited to, relevant education, qualifications, certifications, experience, skills, seniority, geographic location, business sector, performance, shift, travel requirements, sales or revenue-based metrics, market benchmarking data, any collective bargaining agreements, and business or organizational needs. Experience with one or more of the following is strongly preferred: investment adviser compliance, broker-dealer compliance, trust-company or banking regulation, fiduciary activities, regulatory examinations or financial-services governance.

13 days ago

Senior Compliance Officer Neuberger Berman Group LLC

New York, NY

$190,000–$250,000 / year

14 days ago

Compliance Officer, Financial Services and Bank Partnerships | Housing EliseAI

New York, New York

$140,000–$190,000 / year

18 days ago

Head of Broker Dealer Compliance, Americas and Chief Compliance Officer (VN2908) Marex

New York, NY

$290,000–$335,000

30+ days ago

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Compliance Officer Jobs in Trinity, NY

Senior Compliance Officer - Digital Assets Franklin Resources Inc

Chief Compliance Officer, Ramp Advisory LLC Ramp Business Corporation

Multiple Series Trusts Chief Compliance Officer US Bank

Senior Analyst, Compliance Officer US Skandinaviska Enskilda Banken AB

Avp, Senior Compliance Officer Skandinaviska Enskilda Banken AB

Head Of Broker Dealer Compliance, Americas And Chief Compliance Officer (Vn2908) Marex Group, Plc.

Chief Compliance Officer, Ramp Advisory LLC Ramp Business Corp

Senior Digital Asset Advisory Compliance Officer Morgan Stanley

Chief Compliance Officer, Ramp Advisory LLC Ramp

Digital Assets Compliance Officer Clear Street

Senior Compliance Manager and Privacy Officer IDB Bank

ED, Regional Compliance Officer (Northeast) Morgan Stanley

Public Compliance Officer Turing

Compliance Officer, Financial Services And Bank Partnerships | Housing Elise A.I. Technologies Corp

Compliance Officer Metropolitan Transportation Authority

US Chief Compliance Officer - Remote GoCardless Ltd

Senior Compliance Officer Neuberger Berman

Senior Compliance Officer Neuberger Berman Group LLC

Compliance Officer, Financial Services and Bank Partnerships | Housing EliseAI

Head of Broker Dealer Compliance, Americas and Chief Compliance Officer (VN2908) Marex

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