153 Compliance Officer Jobs in New York - page 2
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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 16 days ago
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Compliance Officer (Hedge Fund) New York, United States Testing & Monitoring Policies & Procedures Code of Ethics Licensing & Registrations Cross-Border / International Compliance Marketing... $150k - $350k 29 days ago
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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 20 days ago
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Corporate Counsel/Compliance Officer LHH - , NY, United States • Prefer combination of in-house and law firm experience. 8+ years at least experience in general and corporate legal matters. Ex.... 20 days ago
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Senior Compliance Officer - Trade / Export Control - Legal & Compliance Bloomberg - New York, United States to address regulatory issues, ensure compliance with current/developing rules and regulations, and correspond with regulators. We are seeking a Trade / Export Control Compliance Officer who is adept in U.S Competitive 3 days ago
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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 25 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... 25 days ago
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Senior Compliance Officer - Institutional Sales Coverage Deutsche Bank - New York, United States Job Description: Employer: DWS Group Title: Senior Compliance Officer - Institutional Sales Coverage Location: New York, New York Job Code - #LI-SL1 #LI-03 About DWS: Today, markets face a whole new salary range for this position in New York City/California is $116,250-$200,000 5 days ago
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Compliance Officer-Swap Dealer/Security-Based Swap Dealer Natixis Corporate & Investment Banking - New York, NY, United States Natixis seeks vp-level Compliance Officer to join and grow with the CIB Americas Compliance Department. As a member of the Compliance Advisory Team, the Compliance Officer will provide day to day 18 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... 25 days ago
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