Broker Dealer Chief Compliance Officer Jobs in Manhattan, New York | ComplianceCrossing.com
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Broker Dealer Chief Compliance Officer Jobs in Manhattan






Job info
 
Company
Citigroup
Location
new york city, New York
Posted Date
Feb 22,2018
Info Source

- Chief Compliance Officer - Training (18003124) Job..

 
Company
The Compliance Search Group
Location
New York, NY
Posted Date
Feb 22,2018
Info Source

Overview The asset management division of a diversified financial services firm that has been conducting business for over one hundred years seeks a General Counsel and Chief Compliance Officer (GC .....

 
Company
SMBC
Location
New York, NY
Posted Date
Feb 21,2018
Info Source

... Compliance department at a broker dealer - Strong knowledge of FINRA rules and regulations applicable to the sell-side research business - Strong understanding of financial products, investment .....

 
Company
Insurance, New York, NY
Location
New York, NY
Posted Date
Feb 16,2018
Info Source

COMPANY is seeking a General Counsel & Chief Compliance Officer (GC/CCO) for the Registered Investment Adviser who will act as General Counsel on a variety of investment and procedural legal matters ..

 
Company
Bank of America
Location
New York, New York
Posted Date
Feb 16,2018
Info Source

The candidate will be engaged in the supervision of regulated broker/dealer activities through the ... or compliance knowledge. Position will be responsible for the timely review of electronic and/or .....

 
Company
NBC Universal
Location
New York, NY
Posted Date
Feb 15,2018
Info Source

Chief Compliance Officer **Business Segment** Staff **Sub-Business** Corporate Legal **Posting Category** Legal & Business Affairs **About Us** At NBCUniversal, we believe in the talent of our people..

 
Company
JPMorgan Chase and Co
Location
New York, NY
Posted Date
Feb 14,2018
Info Source

... a Deputy Chief Legal Officer of JPMS, LLC, the firm ... firm s major U. S. broker-dealer. The ... Primarily focused on ... on working with business, risk, compliance..

 
Company
Morgan Stanley
Location
New York, NY
Posted Date
Feb 12,2018
Info Source

- Advertising and Broker Dealer Compliance Officer (3099129) Job Description Advertising and ... (3099129) Job Description Advertising and Broker Dealer Compliance Officer Job Number: 3099129 Posting Date .....

 
Job title
Company
Neuberger Berman
Location
New York, NY
Posted Date
Feb 09,2018
Info Source

... or broker-dealer compliance department. The position will report ... position will report to the Chief Compliance Officer - Central Compliance. While the primary responsibility of .....

 
Company
Wall Street Options
Location
New York, NY
Posted Date
Feb 09,2018
Info Source

... compliance notices and assist the FINOP with any regulatory examinations and inquiries Ongoing ... Our search practice offers high touch recruitment of team lift-outs, C-Level; (CEO, CFO, Treasurers .....

 
Company
Citigroup Inc.
Location
New York, New York
Posted Date
Feb 08,2018
Info Source

The Chief Compliance Officer (CCO) - Training will be ... and will report to the Chief Compliance Officer and with a matrix line .....

 
Company
JPMorgan Chase and Co
Location
New York, NY
Posted Date
Feb 07,2018
Info Source

Specific focus areas will include Broker-Dealer Clearance and Settlement, Financial Operations ... Assist in preparing the Annual Chief Compliance Officer Reports, presentations, and other materials..

 
Company
AMG Funds LLC
Location
Greenwich, CT
Posted Date
Feb 03,2018
Info Source

Chief Compliance Officer Level: Associate Department: Legal and ... Level: Associate Department: Legal and Compliance Location: Greenwich, CT ... registered ... Location: Greenwich, CT ... registered broker-dealer supporting the fund..

 
Company
Avalon Executive Search
Location
New York, NY
Posted Date
Feb 01,2018
Info Source

Broker Dealer Software Sales- Financial Markets Our client is a dynamic, fast-growing software ... Compliance and Data Management solutions for more than two decades servicing financial institutions .....

 
Company
IT Services, New York, NY
Location
New York, NY
Posted Date
Jan 26,2018
Info Source

Position summary The Chief Compliance Officer position will be within a banking non-depository trust company subsidiary of Company (the "Trust Company"). The candidate will be responsible for .....

 
Company
Goldman Sachs
Location
New York City, New York
Posted Date
Jan 20,2018
Info Source

MORE ABOUT THIS JOB GLOBAL COMPLIANCE Our division prevents, detects and mitigates compliance ... Experience in the financial services industry, either working for another broker dealer, law firm .....

 
Company
Citigroup
Location
New York, NY
Posted Date
Jan 18,2018
Info Source

- Chief Compliance Officer - Training (18003124) Job Description ... - Training (18003124) Job Description Chief Compliance Officer - Training ... securities brokerage, .....

 
Company
The Compliance Search Group, LLC
Location
New York City, NY
Posted Date
Jan 07,2018
Info Source

Compliance oversight of the division's limited-purpose ... oversight of the division's limited-purpose broker-dealer and investment adviser Testing ... ... and investment adviser Testing ... Chief Compliance Officer for one of..

 
Company
The Bank of New York Mellon
Location
New York, NY
Posted Date
Dec 21,2017
Info Source

- Compliance Manager III (Clearing Broker/Dealer) (1715434) Job Description Compliance Manager III ... Risk Management ... Risk Management is organized through Chief Risk Offices for each core .....

 
Company
Assurant
Location
New York, NY
Posted Date
Dec 15,2017
Info Source

- General Counsel & Chief Compliance Officer, Assurant Investment Management (52873) Job ... Job Description General Counsel & Chief Compliance Officer, Assurant Investment Management - 52873 .....

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