Latest Chief Compliance Officer jobs in New Rochelle, NY (page 2)

54 Chief Compliance Officer Jobs in New Rochelle, NY - page 2

Swap Dealer Compliance Associate Phaxis - New York, NY, United States the preparation of the Annual Chief Compliance Officer (CCO) Report for the SEF, along with other mandated reports. Interface with technology support and risk management to ensure compliance with Firm policies 15 days ago
In House Counsel Jobs | JDHuntr 46379 Chief Compliance & Regulatory Officer, New York, NY In House Jobs | JDHuntr - New York City, NY In House Counsel Jobs | JDHuntr 46379 Chief Compliance & Regulatory Officer, New York, NY To apply go to JDHuntr.com Develop, implement, and maintain broker -dealer and alternative trading systems 12 days ago
Human Resources Manager Fawkes IDM - Hackensack, NJ, United States Responsibilities: Provide managerial and administrative support to the Chief Human Resources Officer in the following areas: All human resource functions of the Firm, continuously evaluating current 10 days ago
Compliance Associate Cardea Group - New York, NY, United States with the General Counsel/Chief Compliance Officer to uphold the legal and compliance services offered. Compensation: $125-140K base**; $140-185K all-in Job Reference #1938 10 days ago
In House Counsel Jobs New York | JDHuntr 42474 Chief Officer, Compliance, New York, NY In House Jobs | JDHuntr - New York City, NY In House Counsel Jobs New York | JDHuntr 42474 Chief Officer, Compliance, New York, NY To apply go to JDHuntr.com Surveying and interpreting our regulatory and broader risk landscape in the USA 7 days ago
Compliance Generalist, Principal Top Investment Firm - Jersey City, NJ, United States . medical, dental, vision, 401k, generous PTO, etc) THE ROLE: In the role, you will be working directly under the Managing Director of Compliance with high exposure to the Chief Compliance Officer 10 days ago
Senior AFC & Compliance Officer DWS Group - New York, NY, United States and Compliance Officer will assist the Chief Compliance Officer in developing and administering the policies and procedures of the Sales Coverage business (“Coverage”) in the sale and offer of mutual funds/ETFs 12 days ago
In House Counsel Jobs California | JDHuntr 46382 Chief Officer Compliance & Regulatory Broker-Dealer In House Jobs | JDHuntr - New York City, NY In House Counsel Jobs California | JDHuntr 46382 Chief Officer Compliance & Regulatory Broker-Dealer, New York, NY To apply go to JDHuntr.com Develop, implement, and maintain broker -dealer 9 days ago
Loan Review Officer Natixis Corporate & Investment Banking - New York, NY, United States function that reports to the Head of Audit for the Americas, who in turns reports to the Natixis Chief Audit Officer in Head Office in Paris, France. The primary responsibility will be to review all types 10 days ago
Compliance Analyst Rutherford - , NY, United States compliance monitoring reports Trade surveillance, monitoring and testing Assist in regulatory reporting and filings, such as Form ADV, Form PF, and 13 Filings Support the Chief Compliance Officer 23 days ago

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