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
Financial Services
Location
Manhattan, NY
Posted Date
Sep 25,2018
Info Source

A global investment bank is seeking an AVP level Compliance Testing professional to join their team in Midtown, NYC! Apply now for more details. Position Overview: The purpose of this role ..

 
Company
Infinity Consulting Solutions
Location
New York, NY
Posted Date
Sep 24,2018
Info Source

... is looking for a Senior Compliance Officer to report up to the ... report up to the BSA Officer. The Senior Compliance Officer will run the day-to-day operations .....

 
Company
The Puerto Rican Family Institute, Inc.
Location
New York, NY
Posted Date
Sep 24,2018
Info Source

The CO reports directly to the CEO with indirect reporting to PRFI Board of Directors and is tasked with monitoring and reporting the results of compliance activities and with providing guidance ..

 
Company
TransferMate
Location
New York, NY
Posted Date
Aug 15,2018
Info Source

A Compliance Officer is responsible for monitoring and providing business support on a variety of complex regulatory matters. As Compliance Officer you will be responsible for: · Provide support on .....

 
Company
Key Career Services
Location
Manhattan, NY
Posted Date
Aug 20,2018
Info Source

Broker Dealer Firm is seeking a Compliance Officer for the firms various fixed income businesses. You will be responsible for providing real-time advice and support to front office personnel in a ..

 
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
Key Career Services
Location
Manhattan, NY
Posted Date
Aug 21,2018
Info Source

... Compliance and Legal. · Communicate with traders and supervisors to assess risk and remediate ... 5 experience at a broker-dealer or regulator preferred · Excellent organizational and .....

 
Company
The Blackstone Group LP
Location
New York, NY
Posted Date
Mar 05,2018
Info Source

: Compliance Officer - Blackstone Legal & Compliance Employer: Blackstone Firm Overview: Blackstone is one of the world s leading investment firms. We seek to create positive economic impact and .....

 
Company
Hedge Fund
Location
New York, NY
Posted Date
Sep 20,2018
Info Source

Our team is looking to bring on a motivated compliance professional to join our NYC team. With offices, worldwide, our new hire will be the only fully dedicated compliance professional for ..

 
Company
The Compliance Search Group
Location
New York, NY
Posted Date
Sep 15,2018
Info Source

This division, which is part of a large dynamic global firm, offers a turnkey solution to brokerage ... The Chief Compliance Officer will be responsible for a vast of important responsibilities ..

 
Company
Spartan Capital Securities, LLC.
Location
New York, NY
Posted Date
Sep 06,2018
Info Source

COMPLIANCE OFFICER Role Summary: Working in conjunction with Senior Management in fulfilling all Regulatory and Compliance requirements. The position involves, but is not limited to; · Maintaining .....

 
Company
HAKS
Location
New York, NY
Posted Date
Aug 10,2018
Info Source

HAKS is seeking a Compliance Officer to be based in the New York office. The candidate is responsible for managing implementation, monitoring and continuous improvement of the Compliance and Ethics .....

 
Company
DE pfp
Location
Manhattan, NY
Posted Date
Sep 04,2018
Info Source

Sr. Compliance Officer(VP level) Location: NY, NY(midtown) Salary: $150k to $180k base, plus highly competitive bonus, benefits and retirement package Job Summary: One of the largest Asian .....

 
Company
Allied Millennial Partners & Millennial Advisers
Location
New York, NY
Posted Date
Sep 07,2018
Info Source

... Broker Dealers and Investment Advisers. You will work closely with the CEO to monitor, analyze ... Have an excellent and thorough understanding of the securities industry, both broker-dealer and .....

 
Company
Credit Suisse -
Location
New York, NY
Posted Date
Sep 17,2018
Info Source

... broker dealer, federal agency, or financial services/consulting firm, including experience with ... Compliance Review Officer # 119671..

 
Company
MARSH & MCLENNAN COMPANIES, INC
Location
New York, NY
Posted Date
Sep 20,2018
Info Source

... firms are licensed as a broker-dealer with FINRA and adviser with ... the general supervision of a Chief Compliance Officer but also must be able .....

 
Company
Credit Suisse -
Location
New York, NY
Posted Date
Sep 04,2018
Info Source

Line Coverage Compliance Officer (CIG) - Asset Management # 115851..

 
Company
Twenty Recruitment Group - US
Location
New York, NY
Posted Date
Sep 14,2018
Info Source

Our client is seeking a Chief Compliance Officer (CCO) who will be responsible for overseeing the firms compliance program..

 
Company
Sims Metal Management
Location
Jersey City, NJ
Posted Date
Sep 07,2018
Info Source

To the satisfaction of Director, Business VP's / NAM CFO * Collection of necessary insurance claims ... No unreported non-compliance * Ensure permit & license non-compliances are communicated to legal .....

 
Company
The Compliance Search Group
Location
Jersey City, NJ
Posted Date
Aug 26,2018
Info Source

... a broad-based knowledge of RIA, Broker Dealer, and/or Insurance regulatory ... This ... role works directly to the Chief Compliance Officer of this group. The role .....

Narrow Your Search Results — Try Advanced Search

Search All Manhattan Broker Dealer Chief Compliance Officer Jobs

EmploymentCrossing is great because it brings all of the jobs to one site. You don't have to go all over the place to find jobs.
Kim Bennett - Iowa,
  • 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