109 Compliance Officer Jobs in New York, NY
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Senior AFC & Compliance Officer DWS Group - New York, NY, United States Employer: DWS Group Title: Senior AFC and Compliance Officer Location: New York, New York About DWS: Today, markets face a whole new set of pressures – but also a whole lot of opportunity too Yesterday
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Compliance Officer - Renewables PE Spencer Ogden - New York, NY, United States Job Title: Compliance Officer - Private Equity Renewables Location: New York or Boston Job Description: We are seeking a highly motivated and experienced Compliance Officer to join our team 6 days ago
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Manager, Markets Compliance Officer Scotiabank - New York City, NY, US Global Banking and Markets (GBM) is a leading Canadian Capital Markets and Investment Banking business with a growing platform in the... 6 days ago
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Core Compliance Officer Natixis Corporate & Investment Banking - New York, NY, United States of Core Compliance. The Compliance Officer will be primarily responsible for the following: Handle the daily monitoring of FINRA Web CRD including form filings U4, U5, BD and BR Perform registration pre 4 days ago
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Chief Compliance Officer Lime Trading - New York, NY, United States Chief Compliance Officer Lime Trading Corp is a registered execution-only, agency broker-dealer focusing on supporting low latency trading activity for institutional and retail clients trading 4 days ago
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SEF Compliance Surveillance Lead and Advisory Compliance Officer - Legal & Compliance Bloomberg - New York, United States Facility), MIFID II benchmark activities, a US Broker-Dealer, and other regulated offerings globally. We are looking for a Swap Execution Facility (SEF) Compliance Officer to join our SEF Compliance team Competitive 6 days ago
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Compliance Officer Mashreq - , NY, United States Ensure compliance to various regulations and guidelines that are issued by local regulatory authorities (including compliance to various... 6 days ago
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Compliance Officer - Residential Mortgage/Licensing/Exam Management FirstKey Mortgage, LLC - New York, NY, United States FirstKey Mortgage, LLC ("FKM") is one of the world’s leading private label securitization and asset management firms. We are a boutique... 6 days ago
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Senior Compliance Officer - Bloomberg Tradebook - Legal & Compliance Bloomberg - New York, United States In addition to other services, Bloomberg Tradebook LLC provides analytics, connectivity services and algorithms to third-party brokers... Competitive 5 days ago
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Chief Compliance Officer Cardea Group - New York, NY, United States General Counsel & Chief Compliance Officer++ (New York, NY) : Our client, a $1B+ hedge fund with a strong reputation and track record, is looking to hire their first fully dedicated GC & CCO 6 days ago
Top locations
- The Bronx, NY (11)
- Trenton, NJ (10)
- Brooklyn, NY (9)
- Paramus, NJ (8)
- Jersey City, NJ (8)
- Edison, NJ (7)
- White Plains, NY (7)
- Norwalk, CT (6)
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