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
The Compliance Search Group
Location
New York, NY
Posted Date
Feb 22,2018
Info Source

Overview The asset management division of a diversified financial services firm that has been conducting business for over one hundred years seeks a General Counsel and Chief Compliance Officer (GC .....

 
Company
Deutsche Bank
Location
New York, NY
Posted Date
Feb 20,2018
Info Source

Global Markets Compliance Officer - Vice President Job ID: 3164568 Full/Part-Time: Full-time ... broker/dealer that makes markets in one or more securitized products (e.g. ABS, RMBS, CRE or CMBS..

 
Company
Design Force
Location
New York, New York
Posted Date
Feb 17,2018
Info Source

• CCO has oversight authority over all compliance functions and staff acting in furtherance of those compliance functions. • CCO's authority also extends to any activities performed by the SEF to ..

 
Company
Bank of America
Location
New York, New York
Posted Date
Feb 16,2018
Info Source

The candidate will be engaged in the supervision of regulated broker/dealer activities through the ... or compliance knowledge. Position will be responsible for the timely review of electronic and/or .....

 
Company
NBC Universal
Location
New York, NY
Posted Date
Feb 15,2018
Info Source

Responsibilities Role Purpose The Chief Compliance Officer will oversee the day-to-day operation of the NBCU compliance program globally. Responsibilities include but are not limited to * Proactively .....

 
Company
Morgan Stanley
Location
New York, NY
Posted Date
Feb 12,2018
Info Source

- Advertising and Broker Dealer Compliance Officer (3099129) Job Description Advertising and ... (3099129) Job Description Advertising and Broker Dealer Compliance Officer Job Number: 3099129 Posting Date .....

 
Company
Wall Street Options
Location
New York, NY
Posted Date
Feb 09,2018
Info Source

... compliance notices and assist the FINOP with any regulatory examinations and inquiries Ongoing ... Our search practice offers high touch recruitment of team lift-outs, C-Level; (CEO, CFO, Treasurers .....

 
Company
Citigroup Inc.
Location
New York, New York
Posted Date
Feb 08,2018
Info Source

The Chief Compliance Officer (CCO) - Training will be ... and will report to the Chief Compliance Officer and with a matrix line .....

 
Company
The Forum Group
Location
New York City, NY
Posted Date
Feb 02,2018
Info Source

Recommend and implement changes to the compliance program and the Swap Dealer Manual and related policies/procedures as needed on an ongoing basis Draft and coordinate the dissemination of regular .....

 
Company
Avalon Executive Search
Location
New York, NY
Posted Date
Feb 01,2018
Info Source

Broker Dealer Software Sales- Financial Markets Our client is a dynamic, fast-growing software ... Compliance and Data Management solutions for more than two decades servicing financial institutions .....

 
Company
Citigroup
Location
New York, NY
Posted Date
Jan 18,2018
Info Source

- Chief Compliance Officer - Training (18003124) Job Description ... - Training (18003124) Job Description Chief Compliance Officer - Training ... securities brokerage, .....

 
Company
Teachers Insurance and Annuity Association
Location
New York, NY
Posted Date
Jan 15,2018
Info Source

- Dir, Compliance Officer Retail Financial Services Tech & Ops (1711785) Job Description Dir ... Core competencies include a strong knowledge of broker-dealer and securities regulations in .....

 
Company
The Compliance Search Group, LLC
Location
New York City, NY
Posted Date
Jan 07,2018
Info Source

Compliance oversight of the division's limited-purpose ... oversight of the division's limited-purpose broker-dealer and investment adviser Testing ... ... and investment adviser Testing ... Chief Compliance Officer for one of..

 
Company
Citigroup
Location
New York, NY
Posted Date
Dec 21,2017
Info Source

- Chief Compliance Officer - Treasury and Trade Solutions (TTS) (17072061) Job Description Chief ... securities brokerage, transaction services, and wealth management. Our core activities are .....

 
Company
The Bank of New York Mellon
Location
New York, NY
Posted Date
Dec 21,2017
Info Source

- Compliance Manager III (Clearing Broker/Dealer) (1715434) Job Description Compliance Manager III ... Risk Management ... Risk Management is organized through Chief Risk Offices for each core .....

 
Company
BNP Paribas
Location
New York, NY
Posted Date
Dec 19,2017
Info Source

The position also provides Compliance coverage to the Global Markets COO Office, including Platform ... Extensive knowledge of broker-dealer and swap dealer rules and regulations * Excellent written and .....

 
Company
Marsh & McLennan Companies
Location
New York, NY
Posted Date
Dec 19,2017
Info Source

As a Lead Compliance Officer of MMC Securities LLC, a FINRA broker-dealer, SEC registered investment adviser and NFA member, and a wholly owned subsidiary of Marsh & McLennan Companies Inc., you ..

 
Company
Assurant
Location
New York, NY
Posted Date
Dec 15,2017
Info Source

- General Counsel & Chief Compliance Officer, Assurant Investment Management (52873) Job ... Job Description General Counsel & Chief Compliance Officer, Assurant Investment Management - 52873 .....

 
Company
IHS Markit
Location
New York, NY
Posted Date
Nov 29,2017
Info Source

Chief Compliance Officer United States - New York ... , NY Position summary The Chief Compliance Officer position will be within a .....

 
Company
The Madison-Davis Group
Location
New York City, NY
Posted Date
Oct 11,2017
Info Source

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

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