Chief Compliance Officer Jobs in New Rochelle, NY

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

from: linkedin.com - 29 days ago

In House Jobs | JDHuntr - New York, NY

In House Counsel Jobs California | JDHuntr 51428 General Counsel, Chief Compliance Officer, New York, NY To apply go to JDHuntr.com *Exercises responsible financial management of the Legal

from: get.it - 28 days ago

Arena Investors, LP - , NY, United States

a best-in-class risk management function overseeing Arena’s principal lines of business. The CRO will partner with our Chief Compliance Officer (CCO) and our operating Business Leaders to provide

from: linkedin.com (+1 source) - 15 days ago

Tandym Group - New York, NY, United States

with intellectual and developmental disabilities. Reporting to the President/Chief Executive Officer, the right candidate will bring a wide latitude for independent judgment and decision-making, including entity

from: linkedin.com - 15 days ago

ApTask - Hackensack, New Jersey

relations and resolution of employment conflicts. Work with Firm personnel to ensure the Firm’s compliance in handling requests for leaves of absence. Coordinate with Chief Human Resources Officer and Payroll

from: resume-library.com - Yesterday

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

from: linkedin.com - 24 days ago

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

from: linkedin.com - 24 days ago

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

from: get.it - 26 days ago

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

from: linkedin.com - 26 days ago

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

from: linkedin.com - 24 days ago