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






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
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
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
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
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
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
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
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 .....

 
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 .....

 
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
Advisor Group
Location
Jersey City, NJ
Posted Date
Feb 24,2018
Info Source

Compliance Analyst will assist the Deputy ... Analyst will assist the Deputy Chief Compliance Officer in the development ... as ... the development ... as a broker/dealer, registered investment adviser,..

 
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. .....

 
Job title
Company
Pivotal Planning Group, LLC
Location
Jericho, NY
Posted Date
Mar 02,2018
Info Source

The Compliance Officer will work with the company's ... will work with the company's Chief Compliance Officer to oversee all aspects of ... all aspects of the firm's compliance with..

 
Company
Deutsche Bank - US
Location
New York, NY
Posted Date
Jun 03,2018
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
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
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
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 .....

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