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
CMP.jobs
Location
New York, NY
Posted Date
Nov 23,2017
Info Source

... is recruiting for a Swap Dealer Chief Compliance Officer reporting into the CEO. This ... daily basis for the entire compliance .....

 
Company
Infinity Consulting Solutions
Location
New York, New York
Posted Date
Nov 23,2017
Info Source

* Support and assist CCO in designing and overseeing the overall compliance programs, including KYC, BSA/AML, OFAC, Corporate Compliance and other related projects. * Support CCO in reviewing all .....

 
Company
Cybercoders
Location
New York, NY
Posted Date
Nov 21,2017
Info Source

CTO - Needed ASAP!! Do you live in New York? Looking to work for a start-up company? Experience in ... Your Right to Work – In compliance with federal law, all ..

 
Job title
Company
(unknown company)
Location
new york city, New York
Posted Date
Nov 13,2017
Info Source

Assist in the overall design and implementation of the Compliance Program for US Broker-Dealer ? Perform periodic Compliance..

 
Company
Credit Suisse -
Location
New York, NY
Posted Date
Nov 11,2017
Info Source

FCM and Swap Dealer Compliance experience helpful; Previous Regulatory Exam experience; Ability to ... Regulatory Exams & Reviews Compliance Officer (AVP – VP) # 104863..

 
Company
Highbridge Advisory Council
Location
Bronx, NY
Posted Date
Nov 10,2017
Info Source

We are seeking a Chief Executive Officer with dynamic visionary leader who is capable of ... compliance with the state and federal regulations * Enable the Board to fulfill its governance ..

 
Company
Glocap
Location
New York, NY
Posted Date
Nov 10,2017
Info Source

Executive Assistant (for CEO/CIO) LOCATION: New York, NY HOURS: 8:30am-6pm (with flexibility/phone ... compliance, IT, human resources, and legal professionals as well as COOs, CFOs, bankers .....

 
Job title
Company
Cybercoders
Location
New York, NY
Posted Date
Nov 08,2017
Info Source

CFO If you're a CFO with significant non-profit experience, please read on! Top Reasons to Work ... Oversee all accounting functions (including management of the budget, compliance, internal audit .....

 
Job title
Company
Trandon Associates, Inc
Location
Westchester, NY
Posted Date
Nov 08,2017
Info Source

College based in Westchester is seeking a CFO to join their team. Qualifications include: ​ ... Ensure that is in compliance with legal, contractual, debt covenant, and other requirements..

 
Job title
Company
THE BANK OF NEW YORK MELLON CORPORATION
Location
New York, New York
Posted Date
Nov 01,2017
Info Source

In-depth broad-based knowledge of broker-dealer, advanced financial management concepts and ... financial management concepts and ... Chief Financial Officer or senior Finance role for ... for a global Financial Services,..

 
Job title
Company
Trandon Associates, Inc
Location
Teaneck, NJ
Posted Date
Oct 31,2017
Info Source

Experience as a CFO or Controller level position/capacity * 10 + years experience with senior ... · Ensure compliance with appropriate Generally Accepted Accounting Principles and audit .....

 
Job title
Company
(unknown company)
Location
New York, NY
Posted Date
Oct 30,2017
Info Source

... design and implementation of the Compliance Program for US Broker-Dealer ... If you have corporate ... corporate banking experience as a Compliance Officer with the following experience, we .....

 
Company
Citigroup Inc.
Location
New York, New York
Posted Date
Oct 26,2017
Info Source

Develop a valued interactive program of support and compliance risk management services covering ... Lead and manage a staff of TTS ICRM officers at various levels, with direct accountability for .....

 
Company
Madison-Davis, LLC
Location
New York, New York
Posted Date
Oct 15,2017
Info Source

... titled) Chief Compliance Officer in the financial industry and ... foreign branch and an affiliated broker/dealer Personal skills • Commercial skills .....

 
Company
CMP.jobs
Location
New York, NY
Posted Date
Oct 06,2017
Info Source

... years experience as a lawyer, compliance officer, or chief compliance officer within an institutional capital markets ... banking 5+ years as a Chief .....

 
Company
Telsey Advisory Group
Location
New York, NY
Posted Date
Oct 02,2017
Info Source

Interface with media networks and compliance for CEO's TV, print and radio appearances * Special ... consulting brokerage firm focused on the consumer sector. With our long-standing history of .....

 
Company
The PeterSan Group
Location
New York, New York
Posted Date
Sep 27,2017
Info Source

Requirements include a minimum of 5 years related broker dealer experience including thorough knowledge of FINRA, SEC, NYS Banking regulations, and applicable regulatory guidelines; and FINRA Series .....

 
Company
South Street Designs
Location
Jersey City, NJ
Posted Date
Sep 18,2017
Info Source

The CFO will have primary day-to-day responsibility for planning, implementing, managing and ... Ensure that effective internal controls are in place and ensure compliance with GAAP and applicable .....

 
Company
BNP Paribas
Location
New York, NY
Posted Date
Sep 05,2017
Info Source

Bachelor's degree from accredited university 5 or more years of relevant Broker/Dealer compliance experience directly with the front office or risk management areas covering these products Must have .....

 
Company
The Execu|Search Group
Location
New York, New York
Posted Date
Aug 17,2017
Info Source

Conduct CCO risk matrix and testing for investment adviser, investment companies, and broker/dealer ... Advise business on social media compliance * Administer the Code of Ethics and personal trading .....

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