Compliance Officer Jobs in New York State
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Search Results - Compliance Officer Jobs in New York State
SpeedTrader-Katonah
SpeedTrader, Inc., is a New York-based online retail brokerage firm that provides stock and options trading services for active traders. The firm was established in 1999. For more information, visit www.speedtrader.com.
The Senior Compliance...
mindmatch.ai -
Phaxis LLC-New York
Financial Serivces Clearing organization seeks experinced compliance professional to join our growing team. We need at least 5 years experience within Equity / Options tradng environment . must have experience with Prop trading, retail trading...
resume-library.com -
Robert Half-New York
Compliance Liaison & Privacy Officer and attorneys responsible for our pension, health, and disability benefits.
• Prepare, maintain, organize, and track materials relating to our enterprise-wide compliance efforts, including policies and procedures...
roberthalf.com -
Phaxis LLC-New York
Responsibilities include, but are not limited to:
Assist with the design and execution of regulatory compliance testing for Capital Markets business; test compliance with policies and standards and identify key risk control gaps and deficiencies...
resume-library.com -
Marsh McLennan-New York
Marsh McLennan Agency (MMA) is seeking a Chief Compliance Officer (CCO) to lead its global compliance program.
What you can expect:
Reporting to the Marsh & McLennan Agency General Counsel, you will be responsible for advising senior management...
jobvertise.com -
Girling Health Care of New York-New York
of corporate compliance regulations.
17. Reports all suspected violations to supervisor, Compliance Officer or Compliance Hotline.
18. Performs other duties as assigned.
Position Requirements:
1. Graduate of an Occupational therapy school approved...
IQ-EQ-New York
private equity, hedge, and venture capital fund managers, in addition to providing Regulatory Exam support and outsourced Chief Compliance Officer (CCO) functions.
Responsibilities:
Lead engagements for the development, implementation and maintenance...
resume-library.com -
Extended HC-White Plains (NY)
suspected violation of corporate compliance regulations.
17. Reports all suspected violations to supervisor, Compliance Officer or Compliance Hotline.
18. Performs other duties as assigned.
Position Requirements:
1. Graduate of an Occupational therapy...
Columbia Greene Community College-Hudson (NY)
for all external programs.
Work with the College’s designated policy and compliance officer to ensure all external programs adhere to relevant State and Federal regulations.
Work closely with the Office of Academic Affairs and Faculty on program...
mindmatch.ai -
Extended HC-Queens
Improvement/PIP as assigned.
14. Demonstrates sound judgment by taking appropriate actions regarding suspected violation of corporate compliance regulations.
15. Reports all suspected violations to supervisor, Compliance Officer or Compliance Hotline.
16. ..
Friends of the High Line-New York
The General Counsel is a vital role within the High Line, serving as the primary legal and compliance officer, responsible for overseeing a diverse portfolio that spans real estate and construction, art installations, community engagement, education...
resume-library.com -
RSM US LLP-New York
institution as a regulatory compliance officer or internal auditor, or with a regulatory agency
• Regulatory compliance internal audit experience a plus
• Previous project management and staff management experience
• Exemplary client service skills
• Ability...
mindmatch.ai -
Robert Half-New Hyde Park
Our client, an innovative home healthcare company, is seeking a Compliance Manager to join their team. This position is 80% REMOTE. Only one day in the office is required per week (Wednesdays).
The company has revolutionized the way home care...
roberthalf.com -
Lenmar Consulting, Inc.-New York
platform.
Must be comfortable collaborating with Portfolio Managers, Traders, and Compliance officers to discuss
issues, solicit requirements, and review technical solutions.
Experience with SQL and/or navigating databases via query tool is required...
resume-library.com -
American Express-New York
stakeholders, including business unit leaders, compliance officers, and regulatory bodies, to facilitate effective issue management and resolutionPrepare and present detailed reports on issue status, trends, and outcomes to senior management and governance...
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