Compliance Advisor Jobs in New York
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Search Results - Compliance Advisor Jobs in New York
Capital One-New York
NYC 299 Park Avenue (22957), United States of America, New York, New YorkCompliance Advisor Senior ManagerThe Compliance Advisor Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer.
This role will support...
Groupe Crédit Agricole-New York
Summary
Global Markets Regulatory Compliance (“GMRC”) Advisory – Americas Director is responsible for providing advice on Swap Dealer and Broker Dealer regulations (including the global impact of relevant U.S. regulations) and internal policies...
mindmatch.ai -
Santander Holdings USA Inc-New York
to the necessary rules and regulations, and that the company complies with legal/regulatory statutes and jurisdictions. More specifically, this role will provide Compliance advisory and operational support for Licensing and Registration and Employee Compliance...
Sia Partners-New York
Technology team which collaborates broadly with our Risk and Compliance Advisory group. This role involves assisting clients across various sectors in the design and execution of regulation technology solutions, including system testing, tuning, calibration...
resume-library.com -
BGC Group-New York
of control gaps and negotiate risk remediation plans with stakeholders
• Establish and maintain effective communication channels with stakeholders in the Front Office, Operations, and other Control Functions
• Collaborate with Compliance Advisory and Central...
mindmatch.ai -
Nesco Resource, LLC-New York
creation of necessary budgets and reports in consultation with matter teams.
Analyze compliance with client guidelines and reporting out of non-compliance.
Advise on opportunities to improve data and processes to reduce configuration time and prevent fee...
resume-library.com -
Cantor Fitzgerald-New York
quo and striving to be best-in-class.
Research Compliance, a line of business advisory team within Compliance, is seeking a highly motivated individual for a VP role in our New York office. In this role you will provide compliance guidance and support...
mindmatch.ai -
New York
strong relationships with key stakeholders, including Compliance Advisory, Internal Audit, Enterprise C...
tiptopjob.com -
Crédit Agricole CIB-New York
industry or CA group events to keep abreast of relevant developments in second line compliance advisory and testing.
• Contribute to the creation or update of methodologies and audit processes/guides through iterative dialogue with Methods & Support...
mindmatch.ai -
Madison-Davis, LLC-Hoboken (NJ), 2 mi from New York
Temp to permanent
Rate: $74/hour
• Minimum of 5 years swap dealer experience
• Compliance advisory and testing
• Must have CFTC experience
• Compliance testing and internal audit...
mindmatch.ai -
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