Chief Compliance Officer Jobs in New York, NY

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Deputy Chief Compliance Officer  

NY, 10001

A Global Financial Institution is looking for a Deputy Chief Compliance Officer for the dually registered retail investment adviser and broker/dealer and institutional investment advisor. The Deputy Chief Compliance Officer is a senior level position...

from: Ivyexec.com - 5 days ago

Deputy Chief Compliance Officer  

NY, 10001

An Alternative Investments firm is looking for a Deputy Chief Compliance Officer who understands the financial markets, the fiduciary obligations of investment advisers in the alternatives sector and the dynamic regulatory landscape in which the firm...

from: Ivyexec.com - 5 days ago

Deputy Chief Compliance Officer  

The Compliance Search Group - New York City, NY

The Candidate will assist in advising and ensuring all activities are conducted in accordance with US Federal and State laws, with applicable rules issued by self-regulatory organizations and best practices. THE COMPLIANCE SEARCH GROUP, the leading and...

from: theladders.com - 7 days ago

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Chief Compliance Officer  

Robert Half Finance & Accounting - NEW YORK, NY, 10176

The Senior Vice President, Chief Compliance Office (CCO) reports directly to the CEO and is responsible for overseeing the operations of the Banks Compliance Department, which includes, but will not be limited to the following: * Directs the Compliance...

from: Beyond Network - 9 days ago

Chief Compliance Officer  

UBS Financial Services - New York, NY, 10176

The CCO reports to the UBS Head of Americas Compliance & Operational Risk Control (C&ORC;), the Global Head of Global Asset Management Compliance and the Independent Board Members of the Funds ("Independent Directors"). The CCO will represent UBSAM in...

from: Beyond Network - 9 days ago

Chief Compliance Officer  

New York City, NY

The Chief Compliance Officer ("CCO") oversees all regulatory compliance for the UBS Global Asset Management ("UBSAM") business in the Americas: The CCO reports to the UBS Head of Americas Compliance & Operational Risk Control (C&ORC), the Global...

from: us.experteer.com - More than 30 days ago

Deputy Chief Compliance Officer  

Leading Financial Services Firm - New York, NY, 10001

Manage and continue the development and organization of the Corporate Compliance Program (e.g., Policy and Training, Control Room, Conflicts, Registration, and Personal Account Trading). Provide support and guidance across business units as needed, particularly...

from: Beyond Network - 9 days ago

Chief Compliance Officer  

Robert Half Finance & Accounting - NEW YORK, NY, 10176

JOB DESCRIPTION The company is the New York Branch of a foreign bank. They are currently seeking a Deputy Chief Compliance Officer for NY who will manage the day to day operations of the Compliance Department comprised of 7 employees. Reporting to the...

from: Beyond Network - 16 days ago

Chief Compliance Officer  

Robert Half Finance & Accounting U.S - New York, NY, 10036

JOB DESCRIPTION The company is the New York Branch of a foreign bank. They are currently seeking a Deputy Chief Compliance Officer for NY who will manage the day to day operations of the Compliance Department comprised of 7 employees. Reporting to the...

from: careerbuider.com - 20 days ago

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Deputy Chief Compliance Officer  

Bank Hapoalim - Greater New York City Area

We are the New York Branch of a foreign bank. We are currently seeking a Deputy Chief Compliance Officer for NY will manage the day to day operations of the Compliance Department comprised of 7 employees. Reporting to the Chief Compliance Officer, the...

from: linkedin.com - 21 days ago


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