THE LARGEST COLLECTION OF COMPLIANCE JOBS ON EARTH
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... York metropolitan area. The Chief Compliance Officer (CCO) will serve as a ... practices and documentation are in compliance with federal, state, and local ... regulations. The CCO oversees..
... 170 years. Chief Compliance Officer – NYL Investors The New ... will report to the Chief Compliance Officer of the Investments Group and ... all aspects of..
Corporate Compliance - CIO, Treasury and Corporate ... - CIO, Treasury and Corporate Compliance Officer- Associate','170065177','!*!JP Morgan ChaseJPMorgan Chase & ... is available at http://www.jpmorganchase.com/. Our Compliance Function With a..
... Operations - SAR Quality Assurance Compliance Officer','170068044','!*!JPMorgan Chase & Co. (NYSE: JPM) ... Office (CAO) Operations team supports compliance, and manages and maintains reference ... across the organization and..
... NY seeks an experienced Mortgage Compliance Officer. The Compliance Officer will ensure the organization is ... the organization is in full compliance with all State and Federal ... to..
Equity Compliance Officer: Cash Sales and Trading
A Global Financial Services Company
New York, NY
A Global Financial Services Company is looking for Equity Compliance Officer: Cash Sales and Trading..
Code Compliance Officer in New York New York ... New York New York Code Compliance Officer Description The Buildings & Infrastructure ... and regulations. Experience in code compliance/code enforcement/quality control..
Equity Compliance Officer: Electronic Trading
A Global Financial Services Company
New York, NY
A Global Financial Services Company is looking for Equity Compliance Officer: Electronic Trading..
Quality Assurance Compliance Officer - AVP in New York ... York Job Title: Quality Assurance Compliance Officer - AVP Job ID: 3155020 ... Full/Part Time: Full-time Regular/Temporary: Permanent Compliance At..
Compliance, Securities Division Trade Compliance Officer, Analyst/Associate in New York New ... MORE ABOUT THIS JOB GLOBAL COMPLIANCE Our division prevents, detects and ... division prevents, detects and mitigates compliance,..
Management of Regulatory Exams, Reviews and Ad-Hoc Requests
• Assist with management of regulatory exams, reviews and questionnaires initiated by the ..
Divisional Anti-Fraud Compliance Officer(VP) #101442 Sector: Asset Management Risk ... Sector: Asset Management Risk Type: Regulatory/Compliance Expertise: Regulatory/Compliance The Anti-Fraud Compliance Officer will lead the Anti-Fraud compliance team in New..
AVP Senior Regulatory Compliance Officer – Trade Surveillance (Commodities) Sector: ... Traditional Asset Manager Risk Type: Regulatory/Compliance Expertise: Regulatory/Compliance AVP Senior Regulatory Compliance Officer - Trade Surveillance (Commodities) The .....
Benefits: Vision, Dental, 401K, Medical, LifenWe are seeking a Compliance Officer to join our Company! This role is responsible for the Bank's compliance to the Bank Secrecy Act (BSA) and all ..
Compliance, Cash Equities Electronic Trading Compliance Officer, Vice President - New York ... MORE ABOUT THIS JOB GLOBAL COMPLIANCE Our division prevents, detects and ... division prevents, detects and mitigates..
Compliance Officer, Manager Broker Dealer Inspection','1709897','!*!COMPANY OVERVIEW: ... resulting from internal and/or external compliance examinations working effectively and professionally ... within TIAA Participant Services providing Compliance oversight in order to..
College degree required
Series 7, 63 qualifications preferred
3 years of directly-relevant experience
Familiarity with SEC regulatory review and interpretation of regulations
Ability to manage challenging workflow in-fast paced, dynamic ..
Job Title: Senior Compliance Officer, AML Risk Assessment Job Type: ... procedures and processes to ensure compliance with US and non-US AML ... custody business, securities and banking compliance -Experience..
nOur client, a large international bank, is looking to bring aboard a KYC Program Officer to help implement their new KYC System. This is a temp to perm opportunity.Location : Midtown ..
nGlobal Employment Solutions is seeking a KYC Officer for a very large bank in Midtown Manhattan. If you are qualified and available, please apply to this ad with your updated resume. Location: ..
nOur client, a small international bank in downtown Manhattan, is looking for Chief Compliance Officer to join their team on a long term consulting assignment.Primary Functions: Ensure implementation/compliance to various regulations and guidelines ..
2 years of compliance, risk management, or auditing experience
FINRA Series 7/63 and 24 and required
Knowledge in internal control and risk management
Asset management industry experience, including mutual fund ..
Dr. Compliance Officer, Retail Financial Services','1709923','!*!COMPANY OVERVIEW: ... Senior Director in managing the compliance program for the Retail Financial ... a program designed to achieve compliance with applicable FINRA..