Chief Compliance Officer Jobs in New York, NY

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Chief Compliance Officer  

Compliance Search Group - New York, NY

The SEC-registered investment adviser of a major financial services firm seeks a Chief Compliance Officer and will support the adviser compliance division for the firm This position will work closely with the division’s Broker/Dealer and Distribution...

from: - 16 days ago

Chief Compliance Officer  

International Market Recruiters - New York, NY

Our client, located in New York, NY, is seeking a Chief Compliance Officer to provide guidance in product development and strategic growth for this growing international bank. Individual will oversee all components of the US Compliance program and serve...

from: - 19 days ago

Global Chief Compliance Officer- Broker Dealer  

Page Group New York - New York City, NY 10174

Description The Head of Compliance * Point of contact for all exams/inquiries & audits * cover all entities and manage staff across business lines * provide advisory assistance to sales & trading * oversight AML/KYC * upgrade platform (policies, testing/monitoring)...

from: - 24 days ago

Chief Compliance Officer/Legal  

RPN Executive Search - New York, NY

The right candidate will have SEC investment advisory experience and preferably broker dealer experience.

from: - 20 days ago

Chief Compliance Officer  

New York City, NY

Development and implementation of compliance policies and procedures Maintenance of the compliance program Preparation of training to employees JD pref ...

from: - 2 days ago

Chief Compliance Officer  

Bliss Lawyers - New York, NY

Bliss Lawyers is seeking a permanent, full-time Chief Compliance Officer to work for an alternative investment firm in New York City.

from: - 25 days ago

Chief Compliance Officer for the Asset Management Divis  

The Compliance Search Group - New York City, NY

Our client is a high-end, well-regarded, long-established boutique investment bank. The bank seeks a CCO for their asset management division which includes hedge funds, high-net-worth wealth management, alternative investments, managed accounts and other...

from: - 7 days ago

Chief Compliance Officer  

New York City, NY

Key Deliverables: • Creating and administering compliance policies and procedures for the firm to ensure compliance with Relevant Acts, including: o AML Policy o Gifts and Entertainment Policy o Compliance Manual (including a code of ethics and policies...

from: - 12 days ago

Chief Financial Officer  

FEP Executive Search - New York, NY

6) Work with the CEO and management team to establish and implement short and long range budgets (operational & capital) and related policies and procedures (along with associated tracking, benchmarking and quality control) and present to board for approval...

from: - 5 days ago

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Chief Compliance Officer  

The Compliance Search Group - New York, NY

THE COMPLIANCE SEARCH GROUP, the leading and most trusted executive search firm in the nation specializing in the recruitment of Compliance, Legal, Regulatory, Risk Management, Dodd-Frank, Audit, Corp. Governance, Credit, Accounting, Tax and Finance....

from: - 14 days ago

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Chief Compliance Officer in New York, ny