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Compliance Officer Jobs in Glen Cove





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SPONSOREDJOB
Company
Location
New York City, NY
Posted Date
Oct 17,17
Source
Employer     

... nResponsibilitiesnThis role is a Senior compliance officer for CIT Capital Securities LLC, ... is responsible for managing the compliance programs for the BD (Broker ... of the BD and..

 
Company
Location
New York City, NY
Posted Date
Oct 11, 17
Info Source
Employer  - Full-Time   

Lead Compliance Officer','NEW0083E','!*!MMC Securities Lead Compliance Officer: As a Lead Compliance Officer of MMC Securities LLC, a ... responsible for the overall securities compliance program of the firm. This .....

 
Company
Location
New York City, NY
Posted Date
Oct 17, 17
Info Source
Employer  - Full-Time   

... nResponsibilitiesnThis role is a Senior Compliance Officer for CIT Capital Securities LLC, ... is responsible for managing the compliance programs for the BD (Broker ... of the BD and..

 
Company
Location
Long Island City, NY
Posted Date
Oct 13, 17
Info Source
Employer  - Full-Time   

Compliance Officer - Team Lead - FIU ... Sector: Asset Management Risk Type: Regulatory/Compliance Expertise: Regulatory/Compliance Primary Location: United States,New York,Long ... Education: Bachelor's Degree Job Function: Compliance and Control..

 
Company
Location
New York City, NY
Posted Date
Oct 13, 17
Info Source
Employer  - Full-Time   

OverviewnThe Regulatory Compliance Americas group in Compliance is a team of regulatory change experts who drive the centralized identification and communication of relevant new and amended banking and securities rules and ..

 
Location
New York City, NY
Posted Date
Oct 13, 17
Info Source
Employer  - Full-Time   

... with other working groups within compliance.nConducting ongoing compliance risk assessments nParticipate in internal ... with regulatory agencies and exchangesnProvide regulatory/compliance training as needednProvide front and ... and back office..

 
Location
New York City, NY
Posted Date
Oct 14, 17
Info Source
Employer  - Full-Time   

Qualifications BA/BS, MBA or professional certification preferred. 7-10 years relevant product/financial services and/or auditing or compliance experience preferred. Thorough knowledge of Financial Services rules and regulations. Solid understanding of Compliance Risk ..

 
Location
Brooklyn, NY
Posted Date
Oct 14, 17
Info Source
Employer  - Full-Time   

Compliance Operations - SAR Quality Assurance ... Operations - SAR Quality Assurance Compliance Officer JPMorgan Chase & Co. (NYSE: ... Office (CAO) Operations team supports compliance, and manages and maintains..

 
Location
New York City, NY
Posted Date
Oct 14, 17
Info Source
Employer  - Full-Time   

... product/financial services and/or auditing or compliance experience preferred. Thorough knowledge of ... and regulations. Solid understanding of Compliance Risk Management and best practices. ... Make your mark: bnymellon.com/careers.Risk and..

 
Location
New York City, NY
Posted Date
Oct 15, 17
Info Source
Recruiter  - Full-Time   

The Chief Compliance Officer will insure that the company ... aspects of FINRA and SEC compliance as it relates to Research, ... that the Firm remains in compliance. -Oversee all..

 
Company
Location
Stamford, CT
Posted Date
Oct 15, 17
Info Source
Employer  - Full-Time   

Major Job Responsibilities:Coordinate with the Legal Department the establishment and maintenance of the health licensing of the insurance company.Provide technical and product knowledge of health insurance to the Compliance Department to ..

 
Location
New York City, NY
Posted Date
Oct 15, 17
Info Source
Recruiter  - Full-Time   

Qualifications 2 years of compliance, risk management, or auditing experience FINRA Series 7/63 and 24 and required Knowledge in internal control and risk management Asset management industry experience, including mutual fund ..

 
Job title
Company
Location
New York City, NY
Posted Date
Oct 15, 17
Info Source
Recruiter  - Full-Time  

... position will be a senior compliance officer in the fund chief compiance ... in the fund chief compiance officer group which supports the dreyfus ... supports the dreyfus fund..

 
Job title
Location
New York City, NY
Posted Date
Oct 15, 17
Info Source
Recruiter  - Full-Time  90  

Positions: 1 Posted: 08/03/2015 Job Type: Temporary Location: US-NY-New York Department: Administration Category: Finance Salary: Hourly Apply To This Job Return To List Job Description Seeking a candidate who will help ..

 
Company
Location
New York City, NY
Posted Date
Oct 15, 17
Info Source
Recruiter  - Full-Time  90 

Do you have a unique background combining law and finance/hedge funds? Life After Law has the right opportunity for you! Our Client is a Hedge Fund in need of a Chief ..

 
Company
Location
New York City, NY
Posted Date
Oct 15, 17
Info Source
Employer  - Full-Time   

DEPARTMENT: Compliance JOB TITLE: Futures - Compliance Officer LOCATION: New York TASKS AND ... the implementation of the Firm’s Compliance Program. Conduct internal compliance reviews and investigations. Assist with .....

 
Location
New York City, NY
Posted Date
Oct 17, 17
Info Source
Employer  - Full-Time   

Global Sanctions Compliance – Blocked Assets and Licensing ... Assets and Licensing Unit - Compliance Officer-Associate JPMorgan Chase & Co. (NYSE: ... equity. Description Global Financial Crimes Compliance (GFCC) team..

 
Location
New York City, NY
Posted Date
Oct 17, 17
Info Source
Employer  - Full-Time   

... and private equity.u00a0DescriptionGlobal Financial Crimes Compliance (GFCC) team is part of ... is part of The Global Compliance & Regulatory Management department which ... responsible for the provision of..

 
Job title
Company
Location
New York City, NY
Posted Date
Oct 17, 17
Info Source
Employer  - Full-Time   

Compliance Officer','NEW00851','!*!Position Summary: The Compliance Officer’s (CO) primarily responsibilities will be ... identify and assess risk and compliance issues within the MMA businesses. ... the day-to-day operation of certain compliance..

 
Job title
Location
New York City, NY
Posted Date
Oct 17, 17
Info Source
Recruiter  - Full-Time   

nGlobal Employment Solutions is seeking a KYC Officer for a very large bank in Midtown Manhattan. If you are qualified and available, please apply to this ad with your updated resume. ..

 
Location
New York City, NY
Posted Date
Oct 17, 17
Info Source
Recruiter  - Full-Time   

Qualifications Undergraduate degree or an equivalent combination of training and experience 5 years of compliance, risk management, or auditing experience Knowledge in internal control and risk management Asset management industry experience, ..

 
Company
Location
New York City, NY
Posted Date
Oct 18, 17
Info Source
Recruiter  - Full-Time  

... join a growing team of Compliance Officers responsible for the review ... of resources set aside for compliance and discussion of any necessary ... any necessary improvements. Determine material..

 
Company
Location
Long Island City, NY
Posted Date
Oct 18, 17
Info Source
Recruiter  - Full-Time  

Long Island City, NY What you'll be doing Manages a team within the AML investigations function. Collect and examine financial statements and documents to assist in identifying unusual patterns. Follow up ..

 
Job title
GRANTED JOB
Location
New York City, NY
Posted Date
Oct 18, 17
Info Source
Recruiter  - Full-Time   

... looking for a full-time Corporate Compliance Officer to join their team and ... aspects of the Branch's corporate compliance program.Responsibilities: Oversees annual reviews and ... updates of Branch’s Legal..

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