Compliance Monitoring Officer Jobs in New York, NY

MJ Boyd Consulting - New York, NY, United States

Assist the Consumer Compliance Officer & CRA Officer with the formulation; implementation and monitoring of the Consumer Compliance program and related risk to ensure that the bank achieves optimum

from: linkedin.com - Yesterday

Cardea Group - New York, NY, United States

with experienced professionals in a dynamic organization. Excellent opportunity to be involved in diverse areas of compliance. Report into both the GC/CCO and Director/Senior Compliance Officer Responsibilities

from: linkedin.com - 7 days ago

In House Jobs | JDHuntr - New York City, NY

In House Counsel Jobs California | JDHuntr 46382 Chief Officer Compliance & Regulatory Broker-Dealer, New York, NY To apply go to JDHuntr.com Develop, implement, and maintain broker -dealer

from: get.it - 6 days ago

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

from: linkedin.com - 12 days ago

Private Equity Firm - New York, NY, United States

standards. Responsibilities: Support the Compliance Officer in the daily management and monitoring of the compliance program Administer and maintain the firm’s Code of Ethics, managing personal trading

from: linkedin.com - 14 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 - 9 days ago

Rutherford - , NY, United States

compliance monitoring reports Trade surveillance, monitoring and testing Assist in regulatory reporting and filings, such as Form ADV, Form PF, and 13 Filings Support the Chief Compliance Officer

from: linkedin.com - 20 days ago

Atlantic Group - New York, NY, United States

the Compliance Officer with day-to-day activities and monitoring of the firm’s compliance program Administer and maintain the firm’s Code of Ethics (e.g., personal trading, political contributions, outside

from: linkedin.com - 23 days ago

Citi - New York, United States

Serves as a senior compliance risk officer facing WaW/Citigold/CPC for Independent Compliance Risk Management (ICRM) Sanctions responsible for establishing internal strategies, policies, procedures $176,720.00 - $265,080.00

from: efinancialcareers.com - 13 days ago

Citi - New York, United States

Serves as a risk officer for Independent Compliance Risk Management (ICRM)'s Exam Management and Regulatory Liaison Office responsible for the promotion, support, monitoring and reporting on Citi's $129,840.00 - $194,760.00

from: efinancialcareers.com - 23 days ago