Showing 1-20 of 103
Showing 1-20 of 103

Broker Dealer Compliance Officer jobs near New York, NY

Confidential - Securities Broker-Dealer-New York, NYEst. salary:$87,000 - $110,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

In the *Chief Supervisory Officer*. Familiarity with DST Surveillance System, Compliance Science, Protegent, Investigo, Envestnet, Reg-Ed (Adtrax & Complaint...

ADP-Florham Park, NJ

Insightful Expertise, Integrity is Everything, Service Excellence, Inspiring Innovation, Each Person Counts, Results-Driven, & Social Responsibility...

The Guardian Life Insurance Company of America-New York, NY

Assisting the Chief Compliance Officer in developing and operating a robust compliance and risk management program for PAS....

Citi-Jersey City, NJEst. salary:$110,000 - $160,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

Compliance and Control. Possess understanding of AML and Sanctions requirements applicable to banks and broker dealers....

Omega Global Partners-New York, NYEst. salary:$99,000 - $140,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

Chief Compliance Officers (CCOs), General Counsels, and senior compliance and legal professionals preferred....

Michael Page US-New York, NYEst. salary:$110,000 - $140,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

Host annual compliance meeting. Maintain the regulatory compliance program. 5-7 years within the compliance field....

HSBC-Bronxville, NYEst. salary:$71,000 - $95,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

Implement the Group compliance policy by containing compliance risk in liaison with Global Head of Compliance, Global Compliance Officer, Area Compliance...

Two Sigma Investments, LP.-New York, NYEst. salary:$120,000 - $160,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

Support the annual compliance program review. The role of Advisory Compliance Officer, within the Research and Trading Compliance Group, is to develop and...

United Nations Joint Staff Pension Fund (UNJSPF)-New York, NYEst. salary:$95,000 - $130,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

The Investment Compliance Officer reports to the Chief of Section, Risk and Compliance. Assist IMD's Chief Compliance Officer in monitoring controls and...

HSBC-New York, NYEst. salary:$74,000 - $93,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

Implement the Group compliance policy by containing compliance risk in liaison with Global Head of Compliance, Global Compliance Officer, Area Compliance...

Selby Jennings QRF-New York, NYSalary:$150,000 - $180,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

Experience with all aspects of Broker/Dealer compliance helpful. Educate trading personnel on compliance procedures and new regulations....

Yagi Recruiting, Inc.-Greenwich, CTEst. salary:$94,000 - $130,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

Interactive Brokers Group, Inc. Interactive Brokers is looking for a motivated and talented compliance officer who is familiar with securities and commodities...

The Compliance Search Group, LLC-New York, NYSalary:$200,000 - $250,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

Escalate regulatory relations concerns to Compliance Executive. Engage other compliance officers, Enterprise Areas of Coverage roles, and horizontal function...

Michael Page US-Jersey City, NJEst. salary:$110,000 - $140,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

Extensive knowledge and experience with broker dealer products including:. Assist business and compliance management in determining the effectiveness of their...

Standard Chartered Bank-Manhattan, NYEst. salary:$100,000 - $140,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

Financial Crime Compliance; Other band dealers and market makers *. Relationship managers, Credit and Market Risk Officers *....

Wells Fargo-New York, NYEst. salary:$120,000 - $160,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

Wells Fargo Securities resides within the Wholesale segment of Wells Fargo and consists of the institutional broker dealer and investment banking activities,...

Michael Page US-New York, NYEst. salary:$71,000 - $100,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

Maintain our Broker Dealer accounts including preparation of quarterly Focus financial reports, annual BD financials....

BSM Group-New York, NYSalary:$150,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

AML Broker Dealer Advisory. Coordinate with the Firm’s Chief Compliance Officer to keep abreast of any new or emerging issues in order to align appropriate...

Bank of America-New York, NY

Minimum 7 years compliance or municipal securities regulatory experience with a Municipal broker dealer or regulator....

Citi-New York, NYEst. salary:$140,000 - $190,000 a year

Please note that all salary figures are approximations based upon third party submissions to SimplyHired. These figures are given to the SimplyHired users for the purpose of generalized comparison only. Minimum wage may differ by jurisdiction and you should consult the employer for actual salary figures.

Compliance and Control. Draft compliance policies and procedures; Candidates must work collaboratively with the businesses they support, providing compliance...


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