Latest Compliance Officer Requirements jobs in New York, NY

27 Compliance Officer Requirements Jobs in New York, NY

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 17 days ago
Compliance Officer - Renewables PE Spencer Ogden - New York, NY, United States and oversee all compliance-related matters within our private equity renewables investment portfolio. The Compliance Officer will be responsible for ensuring that our operations and investments adhere 19 days ago
AVP, Banking Book FX Risk Senior Analyst (Hybrid) Citi - New York, United States , liquidity, interest rate risk and Treasury investments, and ensures compliance with all risk-related regulatory requirements. In addition, the team oversees the key risk management methodologies $109,120.00 - $163,680.00 Yesterday
General Counsel/CCO-Private Equity The PeterSan Group and PeterSan Legal Staffing - New York, NY, United States trades. Role Requirements/Qualifications Bachelors Degree and a J.D. Member of New York State Bar 7+ years of experience as a senior legal officer, preferably in-house at an asset management firm. Current 3 days ago
Forum: Start a Discussion Join
Chief Compliance Officer, Broker-Dealer Simmons & Hanbury - , NY, United States Our client is a leading quantitative investment firm looking to find a Chief Compliance Officer for the buildout of their Clearing Broker-Dealer requirements. Primary Accountabilities 10 days ago
Trade Compliance Officer Hold Brothers - New York, NY Hold Brothers Capital, LLC, a leading self-clearing broker-dealer is looking for a Compliance Associate/Officer to join the team. He/she will help with the delivery of expert advice to broker dealers 110,000 - 150,000 5 days ago
Chief Compliance Officer Swap Execution Facility BGC Group - New York, NY, United States and/or registered trademarks/service marks of BGC Partners, Inc., and/or its affiliates. Responsibilities: Serve as Chief Compliance Officer (CCO) advising on day-to-day issues for all Swaps executed through 19 days ago
Compliance Analyst - Private Equity Mission Staffing - New York, NY, United States and CDD policies. Monitor changes to AML rules and regulations across designated jurisdictions and assist the Firm’s Compliance Officer, Compliance Manager or Senior Compliance Specialist, and Compliance 23 days ago
Anti-Money Laundering Compliance Officer Benjamin - New York, NY, US ongoing compliance with AML requirements. Conduct annual independent testing of the BSA/AML/OFAC Program, including compliance with applicable laws. Designate and fulfill the role of the anti-money 3 days ago
Compliance Analyst Atlantic Group - New York, NY, United States exams Maintenance and organization of the firm’s compliance books and records (e.g., compliance logs, compliance calendar, side letter matrix, etc.) Aid the Compliance officer with review of the firm’s 28 days ago

Top locations