Securities Compliance Jobs in Manhattan

Top tier financial services firm is seeking a bank regulatory compliance specialist for its renowned team. The position requires a solid grounding in federal and state banking rules and regulations, as ..

... looking to hire a Senior Compliance Analyst at the Chicago Office. ... Analysts will report to a Compliance Manager and will assist with ... financing, sanctions, industry AML, and..

... a full-time remote Quality Assurance Compliance Analyst who resides in New ... report to a Quality Assurance Compliance Manager in our Chicago Office ... financing, sanctions, industry AML, and..

Interactive Brokers is looking for a motivated and talented compliance analyst who has experience with broker/dealer public communications, including marketing, advertising, and public appearances. Responsibilities: Supporting the Public Communications Compliance group ..

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The CMO Compliance Manager will have primary responsibility ... of critical programs in the compliance office of the department of ... and MHMO programs are in compliance with the latest..

... is looking for an experienced Compliance Analyst with 5 years of ... years of experience in a compliance role, preferably in the commodities ... preferably in the commodities or..

... for a motivated and talented compliance officer who is familiar with ... officer who is familiar with securities and commodities regulatory issues and ... regulations is preferred. Responsibilities: The..

... of brokerage industry regulations for securities and commodities, and experience with ... and commodities, and experience with compliance, internal controls and risk management. ... and risk management. Responsibilities The..

Job Description The Deputy of Compliance Technology position requires knowledge and ... firm’s developers to comply with securities and commodities regulatory reporting obligations. ... commodities regulatory reporting obligations. Provide compliance..

... for a motivated and talented compliance officer who is familiar with ... officer who is familiar with securities and commodities regulatory issues and ... and back-office functions. Responsibilities: The..

... Brokers is looking to hire Compliance Sanctions Testing Analysts for a ... considered. Analysts will report to Compliance Managers from Sanctions and Quality ... financing, sanctions, industry AML, and..

Job Description and Responsibilities The Interactive Brokers Group (IBG LLC) is looking for an experienced Compliance professional with a background in regulatory reporting including such systems as: FINRA OATS and stock ..

... Governance efforts. Responsibilities The Senior Compliance Data Analyst’s primary focus will ... focus on data leveraged by Compliance Collaborate with technical and business ... destination data maps for AML..

... seeks a motivated and talented compliance officer familiar with electronic trading ... will be the firm’s lead compliance officer in key areas, including ... each of these topics, the..

... is looking for an experienced Compliance Analyst with 5 years of ... years of experience in a compliance role, preferably in the commodities ... preferably in the commodities or..

... is looking to hire a Compliance Analyst at the Chicago or ... to the Financial Advisor (“FA”) Compliance Team Lead and will assist ... of the firm’s financial advisor..

... of brokerage industry regulations for securities and commodities, and experience with ... and commodities, and experience with compliance, internal controls and risk management. ... risk management. Responsibilities The Senior..

... is looking to hire a Compliance Analyst at the Chicago or ... report to the Financial Advisor Compliance Team Lead and will assist ... of the firm’s financial advisor..

... for a motivated and talented compliance officer who is familiar with ... officer who is familiar with securities and commodities regulatory issues and ... back office functions. Responsibilities: The..

Description The Director, IT Compliance audits the most complex new ... information systems procedures are in compliance with corporate standards. The Director, ... corporate standards. The Director, IT Compliance requires..

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... for a motivated and talented compliance analyst who is familiar with ... who is familiar with U.S. securities and/or commodities regulations and has ... experience in regulatory exam management,..