Compliance Officer Jobs in New York State
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Search Results - Compliance Officer Jobs in New York State
Michael Page-New York
Our Client is seeking a Fixed Income Compliance Officer to provide regulatory/compliance advice and support to the Firm's fixed income trading and operational functions to enable the business to operate in accordance with all applicable regulatory...
jobg8.com -
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 -
Michael Page-Manhattan (NY)
About Our Client
Our Client is a Broker Dealer
Job Description
• Ensure compliance with fixed income trading regulations (electronic, algorithmic, hybrid, and voice), including timely filings, adherence to firm policies, and managing regulatory...
michaelpage.com -
Michael Page-New York
This consultant will work on-site in New York City five days a week, collaborating directly with the Chief Compliance Officer (CCO) and the compliance department to ensure the bank adheres to all policies and procedures.
Responsibilities include...
jobg8.com -
Mitchell Martin-New York
Secrecy Act (BSA), Office of Foreign Asset Control (OFAC), and Know Your Customer (KYC) regulations. Reporting to the Chief Compliance Officer, the Director of Compliance will manage firmwide compliance efforts, conduct risk assessments, and collaborate...
resume-library.com -
Michael Page-New York
they are running in compliance with the policy and procedure as per requests from the Chief Compliance Officer, BSA Officer, AML/KYC/Sanction Compliance teams, etc. Extract and perform analysis on BSA/AML compliance risk assessment data and report the results...
jobg8.com -
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. ..
Compass Healthcare Consulting and Placement-New York
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...
lwqct.com -
1 similar job: White Plains
Extended HC-Staten Island
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...
Arnot Health-Bath (NY)
violations to the Corporate Compliance Officer.
• Is familiar with and demonstrates Continuous Quality Improvement principles and participates in the process as appropriate, focusing on meeting the customer service needs of the internal and external customer...
lwqct.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...
Arnot Health-Bath (NY)
of the department to provide the highest quality care to our
residents.
• Has a working knowledge of Corporate Compliance regulations and promptly
reports any potential Corporate Compliance violations to the Corporate
Compliance Officer.
• Is familiar...
lwqct.com -
Vitesse PSP-New York
and submission by the US Compliance Officer
• Conduct due diligence on Vitesse Trust customers at onboarding and during periodic reviews to ensure all US regulatory requirements are met and to identify potential red flags and customer risk...
resume-library.com -
New York
for every future
Purpose
The Conduct Compliance Officer coordinates tracking, measurement, and management for conduct:related matters, providing insight into effective mitigation of conduct risk and ensuring comprehensive program documentation.
What...
tiptopjob.com -
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 -
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