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

Broker Dealer Chief Compliance Officer Jobs in New York City






Job info
 
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
MARSH & MCLENNAN COMPANIES, INC
Location
New York, NY
Posted Date
Sep 19,2018
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
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
Allied Millennial Partners & Millennial Advisers
Location
New York, NY
Posted Date
Aug 25,2018
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
Special Citizens Futures Unlimited
Location
Bronx, NY
Posted Date
Sep 06,2018
Info Source

You will act as staff to the CEO and Governing Board by monitoring and reporting results of the ... in dealing with senior management. * Understanding of the OPWDD/OMIG process and ..

 
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
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
HAKS
Location
New York, NY
Posted Date
Jul 03,2018
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
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
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
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
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
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 .....

 
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
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
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
Citi-US
Location
New York, NY
Posted Date
Sep 06,2018
Info Source

Responsibilities Compliance with SEC Rules 15c3-1 (Net Capital) and 15c3-3 (Customer Reserve ... Broker Dealer: Regulatory Senior Group Manager..

 
Company
Credit Suisse -
Location
New York, NY
Posted Date
Jul 11,2018
Info Source

... broker dealer, government agency or self-regulatory organization. Knowledge or experience in Prime ... Prime Derivatives Services Compliance Officer # 115762..

 
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 .....

Related Job Title
Narrow Your Search Results — Try Advanced Search

Search All New York City Broker Dealer Chief Compliance Officer Jobs

I was very pleased with the ComplianceCrossing. I found a great position within a short amount of time … I definitely recommend this to anyone looking for a better opportunity.
Jose M - Santa Cruz, CA
  • 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