Compliance Officer Jobs in New York State
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Search Results - Compliance Officer Jobs in New York State
Phaxis LLC-New York
Job Title: Compliance Officer
Reports to: Chief Compliance Officer
Department: Compliance
Location: New York or Boston
Job Overview:
The Compliance Officer will support core compliance activities for an investment-banking and institutional...
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Hold Brothers Capital, LLC-New York
About the job
Hold Brothers Capital, LLC, a leading self-clearing broker-dealer, is looking for a Compliance Associate/Officer to join the team. He/she will help with the delivery of expert advice to broker dealers regarding FINRA, SEC and/or state...
mindmatch.ai -
BNY-New York
Enterprise Resiliency and Sourcing Compliance Officer
At BNY, our culture empowers you to grow and succeed. As a leading global financial services company at the center of the world’s financial system we touch nearly 20% of the world’s investible...
Green Key Resources-New York
The Senior Compliance Officer will support the Alternative business lines and provide guidance relating to products including Direct Real Estate, Infrastructure Debt and Private Credit.
Role Details
As a Senior Compliance Officer, you...
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Expert In Recruitment Solutions-New York
Security-Based Swap Dealer Chief Compliance Officer Reports.
Qualifications:
Highly motivated, strong attention to detail, team oriented, organized.
Strong presentation skills with the ability to articulate complex problems and solutions through concise...
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Larson Maddox-New York
A large, growing private credit firm is seeking a qualified individual to join their Compliance team, reporting directly to the Chief Compliance Officer. This role offers exposure to senior management and involvement in all aspects of the compliance...
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Phaxis LLC-New York
A proprietary trading firm with self-clearing capabilities is seeking a Compliance Associate/Officer to join its team. This individual will provide guidance on regulatory requirements and best practices for broker-dealers, ensuring adherence...
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Larson Maddox-New York
A prominent firm in the investment banking and capital markets sector is looking for an Internal Compliance Officer to join the team. This firm is widely regarded as a leader in the space and is consistently at the top of league tables within...
mindmatch.ai -
Hireio, Inc.-New York
Implement and manage an effective legal compliance program.
Develop and review company compliance policies, procedures and system enhancement projects
Advise management on the company’s compliance with laws and regulations through detailed reports...
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Phaxis-New York
Currently partnered with an well-established Insurance Firm with an Asset Management arm. Due to growth, they are looking to bring on an Compliance Officer to join the compliance team.
HYBRID- In office 3 days a week
Location: New York, NY
Base...
mindmatch.ai -
Phaxis LLC-New York
Our firm, a leading Financial Services Clearing Organization, is seeking an experienced Compliance professional to join our growing team. This role requires a deep understanding of regulatory compliance within equity and options trading, as well...
resume-library.com -
Clear Story-Brooklyn (NY)
Key Responsibilities:
1. Develop, implement, and maintain compliance policies and procedures.
2. Conduct risk assessments and compliance audits to identify potential risks and vulnerabilities.
3. Collaborate with cross-functional teams, including...
jobvertise.com -
Michael Page-New York
regulations.
Collaboration & Compliance Management:
• Collaborate with the Chief Compliance Officer to execute the Bank's Compliance Management System.
• Work with Lending and Deposit Compliance Officers and business units to analyze compliance risks...
michaelpage.com -
Extended HC-Scarsdale
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...
Compass Healthcare Consulting and Placement-White Plains (NY)
to the supervisor or compliance officer.
Qualifications:
• Current NYS Registered Nurse license.
• Baccalaureate Degree in Nursing from an accredited school is preferred.
• Two (2) years experience in nursing which includes any combination of medical-surgical...
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