Compliance Officer Jobs in New York
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Search Results - Compliance Officer Jobs in New York
JCW-New York
Title: Crypto Compliance Officer
Location: New York, NY (hybrid)
Company: Broker Dealer in the Crypto Sector
A large broker-dealer is seeking a skilled and experienced Crypto Compliance Officer to join their team and oversee the crypto sector...
mindmatch.ai -
Social Capital Resources LLC-New York
Job Title: Trade Compliance Officer
Responsibilities:
Monitor trading activities to ensure compliance with relevant regulations, laws, and policies
work with traders to ensure that all trades are executed in compliance with regulatory...
resume-library.com -
Ascendo Resources-New York
Our client, a dynamic, for-profit Behavioral Healthcare Company is looking to hire a Compliance Officer for their Union Square location in NYC! This is an on-site role working Monday to Friday 9am to 5pm. Are you passionate about ensuring adherence...
mindmatch.ai -
Bloomberg L.P.-New York
SEF Compliance Surveillance Lead and Advisory Compliance Officer - Legal & Compliance The energy of a newsroom, the pace of a trading floor, the buzz of a recent tech breakthrough; we work hard, and we work fast - while keeping up the quality...
connecticum.de -
Partnership Employment-New York
Position Overview:
As a Senior Trade Surveillance Compliance Officer, you will play a crucial role in ensuring that our firm adheres to regulatory requirements and internal policies related to trade surveillance. You will be responsible...
mindmatch.ai -
Energy Impact Partners-New York
and Singapore.
EIP seeking to hire a Compliance Analyst who will work closely with the firm’s Compliance Officer to support the firm’s compliance program. This role is a great opportunity for a motivated compliance professional to learn more about private funds...
resume-library.com -
Apex Systems-New York
Conduct research to stay updated on market regulations and compliance standards.
• Assist in building out the surveillance officer model and implementing effective monitoring strategies.
• Review transaction records and conduct audits to detect potential...
mindmatch.ai -
S&P Global-New York
About the Role: Grade Level (for internal use): 12 About the Role: The role involves a range of activities, including providing: Compliance advisory services, education & training, reporting to compliance management on compliance developments...
efinancialcareers.com -
Hold Brothers-New York
Requirements
Bachelor’s degree in law, finance, business management or a related field.
3+ years’ proven experience in a compliance officer role and broker/dealer-related and escalations.
Series 7 or equivalent required, Series 24 preferred or attained upon...
resume-library.com -
Atlantic Group-New York
Location: NYC - Midtown (3-4 days in office)
Compensation: $100k-$120k base + bonus ($20k-$30k)
A global investment firm is seeking to hire a Compliance Analyst who will work closely with the firm’s Compliance Officer to support the compliance...
mindmatch.ai -
Phaxis LLC-New York
Assist in compiling necessary information for regulatory reviews, audits, and other examinations.
Manage the preparation of the Annual Chief Compliance Officer (CCO) Report for the SEF, along with other mandated reports.
Interface with technology...
resume-library.com -
Raisin-New York
Your Responsibilities
As our US Compliance officer, you’ll be the lead for compliance in one of our fastest-growing and dynamic teams. You’ll lead our independent function in the US and report into our Compliance team based in Head Office...
join.com -
Hold Brothers-New York
questions and other needs.
Requirements
• Bachelor’s degree in law, finance, business management or a related field.
• 3+ years’ proven experience in a compliance officer role and broker/dealer-related and escalations.
• Series 7 or equivalent required...
workable.com -
Michael Page-New York
About Our Client
Banking and Financial Services
Job Description
• Develop and implement compliance policies and procedures that align with regulatory requirements and the company's business objectives.
• Monitor and assess the effectiveness...
michaelpage.com -
The Symicor Group-New York
Sr. BSA/AML Compliance Officer – To $100K – New York, NY – Job # 3271
Who We Are
The Symicor Group is a boutique talent acquisition firm based in Lincolnshire, IL & Rockport, TX. Our nationally unique value proposition centers around providing...
workable.com -
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