Compliance Officer Jobs in Wall Street, NY
Flagstar Bank
New York, NY
Collaborate with stakeholders in Banking/Lending/Mortgage, Technology, Information Security, Marketing, HR, etc. to support data privacy and protection practices within their business functions. Support the intake, documentation, and follow-up of internal ethics concerns, including potential conflicts of interest, gifts and entertainment, and code of conduct violations.
P2P
New York, NY
Operating at the intersection of traditional finance and cutting-edge technology, FalconX addresses the industry's foremost challenges: Navigating the digital asset market can be complex and fragmented, with limited products and services that support trading strategies, structures, and liquidity found in conventional financial markets. Responsibilities: Lead, develop and implement the global compliance programs, including Know Your Customer (KYC), Anti-Money Laundering (AML), trade surveillance, sanctions and derivatives compliance programs for FalconX in the US, APAC, and Europe.
New York University
New York, NY
With a Master's Degree in a related area, 10+ years experience as a statured executive with significant professional experience in financial, legal, compliance, regulatory and/or audit matters (experience in multiple areas preferred) in an organization of comparable scale and complexity. The Chief Global Compliance Officer (CGCO) is responsible to the Senior Vice President, General Counsel for developing, executing, and enforcing the Global Ethics and Compliance Program in order to ensure compliance with evolving laws and regulatory requirements in addition to University policies and procedures.
LGBT Great
New York, NY
Our flexible capital base and deep relationships with issuers have helped us become one of the world’s largest providers of traditional and nontraditional solutions for companies that need financing and investors who seek strong risk-adjusted returns. Comprehensive knowledge of regulatory frameworks applicable to U.S. investment managers and broker-dealers, including familiarity with the Investment Company Act of 1940, Investment Advisers Act, and FINRA rules.
TEKsystems
$75 - $85 HOUR
Jersey City, NJ
This role involves conducting compliance risk assessments of wholesale banking operations, including leading workshops with first line of defense (1LOD) and Compliance subject matter experts to assess risks and controls related to deposits and lending activities. The CRA team is responsible for managing a comprehensive compliance risk assessment framework to identify and assess regulatory compliance risks and internal controls, excluding financial crimes (AML, Sanctions, Fraud, and Bribery), which are covered under a separate program.
Keane & Beane, P.C.
Not Available, NY
Demonstrated ability to understand and analyze strategic, commercial and operational issues facing a complex, regulated business, and to work with key stakeholders to arrive at practical solutions within applicable legal and ethical bounds. As a Senior Compliance Specialist, you will report to one of Marsh McLennan Agency's (MMA) Senior Compliance Officers and be responsible for executing on compliance priorities across MMA's business insurance (including P&C), employee health & benefits insurance, and private lines practices.
Marathon Asset Management
Town of Hempstead, NY
Oversee all aspects of insider trading compliance, including the identification, handling, and safeguarding of material nonpublic information (MNPI); maintain and monitor the firm’s watch and restricted lists; implement and enforce policies and procedures related to insider trading prevention; conduct employee training on MNPI and insider trading risks; supervise the use of expert networks to ensure compliance; and investigate and escalate any potential breaches or misuse of confidential information. Marathon’s integrated global credit platform is driven by our specialized, highly experienced, and disciplined teams across Private Credit (Direct Lending, Asset Based Lending and Opportunistic Credit) and Public Credit (High Yield, Leveraged Loans & CLOs, Emerging Markets, and Structured Credit).
TalentBurst, Inc.
$18 - $19.31 HOUR
New York, NY
Roles and Responsibilities: Regulatory Compliance:Labeling: Identifying and implementing labeling compliance requirements for products, ensuring accuracy and adherence to regulations. They also work to identify and mitigate potential risks, ensuring the company's operations align with legal and regulatory requirements.
Rrcooc
New York, NY
Identify potential areas of compliance vulnerability and risk, develop/implement corrective action plans for resolution of problematic issues, and put practices in place to avoid such situations in the future. The Resource Recovery Center of Orange County is dedicated to providing the highest quality of care to those suffering from Alcohol and Substance Use Disorders.
New York City Housing Development Corporation (HDC
New York, NY
Position Summary: The Compliance Specialist reports to the Assistant Vice President of Compliance and is responsible for monitoring and evaluating compliance within HDC’s Low Income Housing Tax Credit (LIHTC), Tax Exempt Bond (TEB), and Taxable Bond (TB) properties. If reasonable accommodation is needed to participate in the job application or interview process, to perform essential job functions, and/or to receive other benefits and privileges of employment, please complete the reasonable accommodations section on the application or contact Human Resources by emailing jobs@NYCHDC.com.
Beta Search Inc
$180000 - $220000 YEAR
New York City, NY
As the regulatory landscape for financial services becomes increasingly complex, this role is critical in ensuring our global compliance, ethics, AML, sanctions, and fraud programs remain robust, transparent, and independently validated. Lead global audit coverage of Compliance and Financial Crimes programs (AML/BSA, OFAC, FCPA, ABC, conduct risk, regulatory compliance).
Citibank (Switzerland) AG
New York, NY
Apply remote type Hybrid locations New York New York United States time type Full time posted on Posted 2 Days Ago time left to apply End Date: July 13, 2025 (30+ days left to apply) job requisition id 25858859Serves as a function/business/product compliance risk officer as a Senior VP for Equities Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a risk management framework that maintains risk levels within the firm's risk appetite and protect the franchise. Bachelor’s degree; experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof; experience in area of focus; strong working knowledge of function/business/product and the related operations and financial requirements; previous experience managing a diverse staff; Advanced degree a plus.
TEKsystems
$75 - $85 HOUR
Jersey City, NJ
This role involves conducting compliance risk assessments of wholesale banking operations, including leading workshops with first line of defense (1LOD) and Compliance subject matter experts to assess risks and controls related to deposits and lending activities. The CRA team is responsible for managing a comprehensive compliance risk assessment framework to identify and assess regulatory compliance risks and internal controls, excluding financial crimes (AML, Sanctions, Fraud, and Bribery), which are covered under a separate program.
Scotiabank
New York, NY
Maintains familiarization and technical expertise with the assigned business unit(s) including organizational structure, personnel, activities and products, new product development, financial performance and risk and problem areas to understand how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisions. Guided by our purpose: "for every future", we help our customers, their families and their communities achieve success through a broad range of advice, products and services, including personal and commercial banking, wealth management and private banking, corporate and investment banking, and capital markets.
GeoPolist
New York, NY
Responsibilities of the Global Sanctions Advisory Vice President may vary based on need and skillset, but can include: Sanctions regulatory change management – Monitoring sanctions regulatory changes, including those administered by the U.S. Department of the Treasury’s Office of Foreign Assets Control (OFAC), interpreting these changes, drafting related Bulletins and Communications, briefing MUFG Bank’s three lines of defense on these changes, assessing MUFG Bank exposure and directing/overseeing augmentation of sanctions controls (as applicable) to comply. The GSCD Program is responsible for advising on regulatory/bank policy matters, driving implementation of global sanctions controls (including list management, technology, sanctions screening), managing global sanctions policy/procedure related matters, as well as overseeing risk management related activities (including sanctions-related risk assessments).
Dovel Technologies, Inc
New York, NY
Purpose-built to serve industries focused on communities, energy, infrastructure, healthcare, financial services, defense, and national security, Guidehouse positions clients for AI- and data-led innovation, efficiency, and resilience. 7-10+ years of Financial Crimes experience at regional and national financial institutions, crypto/digital assets exchanges, Securities / Capital Markets institutions, regulatory/government agencies, and/or consulting firms.
Fintechnews
Hoboken, NJ
NICE Actimize is seeking a talented KYC Product Manager to join our Cloud Product Management team working closely with cross-functional teams to define product requirements, drive product development, and ensure successful delivery to market. Consistently ranked as number one in the space, NICE Actimize experts apply innovative technology to protect institutions and safeguard consumers’ and investors’ assets by identifying financial crime, preventing fraud, and providing regulatory compliance.
Queens County Bar Association
New York, NY
Advanced presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging Significant knowledge and expertise of AML regulations, risks and appropriate controls Experience in the design and implementation of AML programs Demonstrated ability to assess complex issues through root cause analysis and other analytical techniques; structure potential solutions; drive to resolution with senior stakeholders. Demonstrated ability to effectively assessing and managing competing priorities Experience managing diverse teams, and comfort navigating complex, highly-matrixed organizations Knowledge of the laws applicable to money laundering, including the Bank Secrecy Act, The USA PATRIOT Act, US Treasury AML guidelines, OFAC requirements, and Suspicious Activity Reporting requirements.