Broker Dealer Chief Compliance Officer Jobs in Manhattan, New York | ComplianceCrossing.com
Your search results
20

Broker Dealer Chief Compliance Officer Jobs in Manhattan






Job info
 
Company
Northern New Jersey Group of Auto Dealerships
Location
Paramus, NJ
Posted Date
Jun 15,2018
Info Source

AUTOMOTIVE CONTROLLER Northern New Jersey Location Potential Growth to Organization CFO We are well-established, prominent group of automotive dealerships. We have created a new position due to .....

 
Company
AEC
Location
New York, NY
Posted Date
Jun 14,2018
Info Source

Ensure that effective internal controls are in place and ensure compliance and applicable federal ... The Chief Financial Officer (CFO) must have/be: * Bachelor's degree in accounting, finance or .....

 
Company
Citi
Location
Jersey City, New Jersey
Posted Date
Jun 13,2018
Info Source

... securities brokerage, transaction services, and wealth management. Our core activities are ... The Chief Compliance Officer- Ethics is responsible for designing, implementing and managing .....

 
Company
Cowen
Location
New York City, New York
Posted Date
May 21,2018
Info Source

The successful candidate will plan, perform and document audits to assess compliance with firm policies and regulatory rules of a Broker-Dealer. Specific responsibilities include: • Sarbanes-Oxley .....

 
Company
Deutsche Bank - US
Location
Manhattan, NY
Posted Date
Jun 04,2018
Info Source

... supporting the Head of Swap Dealer Compliance (the equivalent of a Swap ... (the equivalent of a Swap Dealer Chief Compliance Officer, subject to substituted compliance) as a subject..

 
Company
CUNY
Location
New York, NY
Posted Date
Jun 12,2018
Info Source

POSITION DETAILS Reporting to the President, the Chief Diversity Officer (CDO) and Special ... dealing with issues of diversity and compliance. QUALIFICATIONS This position is in CUNY .....

 
Company
The Compliance Search Group
Location
New York, NY
Posted Date
Apr 06,2018
Info Source

... Chief Compliance Officer. This is a hands-on role ... array of ... Reviews New broker account review/ account opening Trader/Employee ... review/ account opening Trader/Employee onboarding, compliance .....

 
Company
eToro
Location
,
Posted Date
May 30,2018
Info Source

S. office is looking for a Chief Compliance Officer to lead the U.S. subsidiary overall cryptocurrency compliance efforts. The ideal candidate will have an extensive and senior management background .....

 
Company
New York University
Location
New York, NY
Posted Date
Mar 23,2018
Info Source

Office of Compliance and Risk Management FT/PT Full-Time ... Summary Reporting to the University's Chief Compliance Officer, the Export/Import Controls Compliance Officer serves as the principal .....

 
Company
Financial Services
Location
New York, NY
Posted Date
Jun 01,2018
Info Source

A global financial group is looking for a Markets Compliance Officer (VP level) to join their ... This position has a strong emphasis on Dodd-Frank Act Regulations, Swap Dealer rules, Volcker ..

 
Company
JPMorgan Chase
Location
Brooklyn, NY
Posted Date
Feb 10,2018
Info Source

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

 
Company
HireResources
Location
New York, NY
Posted Date
Apr 12,2018
Info Source

The Chief Compliance Officer will be responsible for oversight of all aspects of a billion dollar investment management's compliance program. This role is part-time and the candidate can not .....

 
Company
Integrated Management Solutions USA LLC
Location
New York, NY
Posted Date
Apr 21,2018
Info Source

... engaged in the search for Chief Compliance Officer (CCO). The CCO will be ... will be responsible for all Compliance matters at a crypto currency ... at a crypto..

 
Company
START Treatment and Recovery Centers
Location
Brooklyn, NY
Posted Date
Apr 30,2018
Info Source

Position Summary: Reporting directly to the Chief of Staff, the CEO Office Coordinator is ... Provides administrative support to the Legal Counsel/Corporate Compliance Officer, such as..

 
Company
Private
Location
New York, NY
Posted Date
May 18,2018
Info Source

Regulated Cryptocurrency Exchange is seeking a Chief Compliance Officer. Candidate must have the following requisite experience: *Minimum 3 years of experience performance compliance for a money .....

 
Job title
Company
Hunt Companies, Inc
Location
Rye Brook, NY
Posted Date
Apr 26,2018
Info Source

Position Summary Reporting to the Chief Compliance Officer, the Compliance Officer will be involved in a ... to implement enhancements to the broker-dealer compliance program and .....

 
Company
The Compliance Search Group
Location
New York, NY
Posted Date
Mar 23,2018
Info Source

... engaged in the search for Chief Compliance Officer (CCO). The CCO will be ... will be ... Assist with broker-dealer governance and board meetings. * .....

 
Company
Citi
Location
New York, New York
Posted Date
Jan 19,2018
Info Source

... securities brokerage, transaction services, and wealth management. Our core activities are ... Provide guidance on CFTC Swap Dealer regulations on a real-time basis to manage compliance risk in .....

 
Company
Abbott Capital Management
Location
New York City, New York
Posted Date
Apr 25,2018
Info Source

The CCO will be responsible for developing, monitoring and maintaining Abbott's compliance program to ensure that the Company and its employees are complying with relevant regulatory requirements and .....

 
Company
JPMorgan Chase
Location
Brooklyn, NY
Posted Date
Apr 17,2018
Info Source

S. broker-dealer legal entities ? J.P. Morgan Securities LLC (JPMS) and J.P. Morgan Prime Inc ... Legal and Compliance, Internal Audit and the front office. The Regulatory Reporting team also .....

Narrow Your Search Results — Try Advanced Search

Search All Manhattan Broker Dealer Chief Compliance Officer Jobs

By using Employment Crossing, I was able to find a job that I was qualified for and a place that I wanted to work at.
Madison Currin - Greenville, NC
  • All we do is research jobs.
  • Our team of researchers, programmers, and analysts find you jobs from over 1,000 career pages and other sources
  • Our members get more interviews and jobs than people who use "public job boards"
Shoot for the moon. Even if you miss it, you will land among the stars.
ComplianceCrossing - #1 Job Aggregation and Private Job-Opening Research Service — The Most Quality Jobs Anywhere
ComplianceCrossing is the first job consolidation service in the employment industry to seek to include every job that exists in the world.
Copyright © 2018 ComplianceCrossing - All rights reserved. 169