Latest Compliance Monitoring jobs in New York, NY (page 3)

139 Compliance Monitoring Jobs in New York, NY - page 3

Global Financial Crimes Compliance Advisory Lead Chubb - New York, NY developments, areas of risk, and operational metrics for the Financial Crime Compliance Team. Manage the team's budget effectively. * Collaborate closely with the Compliance monitoring teams and Internal Audit 3 days ago
Compliance Officer (Trading Firm) , NY, United States an industry leading team. The ideal candidate will have: Strong knowledge of the Investment Advisers Act of 1940 and Investment Company Act of 1940 is required. Testing & Monitoring Policies & Procedures Code 11 days ago
Senior Compliance Officer Global Investment Bank and Broker Dealer - , NY, United States responsibilities include: Developing ongoing policies & procedures & monitoring the Compliance program in accordance with FINRA regulations. Reviewing personal trading activities for all employees in the region 12 days ago
FP&A Resolution and Recovery Planning Leader - C15 Citi - New York, United States additionally includes: Managing liquidity risk for the entity, monitoring liquidity metrics including limits and triggers, and ensuring compliance with the risk appetite Preparing the relevant legal entity's $170,000.00 - $300,000.00 4 days ago
Compliance Associate ASCENDO - , NY, United States and other materials for review by the funds’ board Assist with review of deals for compliance with 40 Act restrictions Track deal flow for the funds Assist with the 40 Act compliance monitoring and testing 13 days ago
Sanctions Compliance Analyst BBVA - New York, NY, United States by the regulators and internal policy. Primary Duties and Responsibilities: ● Responsible for the live monitoring of payments and messages via the banks OFAC filtering system to ensure all transactions 14 days ago
Market Risk Officer - C13 - NEW YORK Citi - New York, United States and maintaining an appropriate autonomous market risk limits framework with applicable limits and triggers Autonomously monitor business compliance with the firm's market risk-related policies Assist in credit $142,320.00 - $213,480.00 4 days ago
Compliance Specialist Global Commodities Trading Company - New York, NY, United States compliance with applicable rules and regulations and requirements. Job Responsibilities: 1. Assist in monitoring trading activities in the office 2. Analysis on rules/regulations and updating policies 14 days ago
AML Compliance Senior Associate BBVA in the USA - , NY, United States in depth technical knowledge of BSA / AML, USA PATRIOT Act, OFAC Sanctions compliance, Know Your Customer (KYC), and transaction monitoring review and reporting. ● Experience conducting company searches 16 days ago
AVP, Legal Entity Controller Cantor Fitzgerald - New York, United States of subsidiaries, expense accruals, intercompany activities and income taxes. Responsible for Lease related inquiries, related disclosures, journal entry bookings, and monitoring of controls; Prepare quarterly Competitive 4 days ago

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