Showing 1-20 of 501
Showing 1-20 of 501

Compliance Officer Securities jobs near New York, NY

Citi-Jersey City, NJ-Est. salary: $58,000 - $77,000 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. The Compliance Officer is responsible for managing a caseload of investigations, perform analysis and follow-up and work cases from...

Confidential - Securities Broker-Dealer-New York, NY-Est. salary: $66,000 - $94,000 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 this position, the candidate will report to the Chief Compliance Officer and perform a variety of functions to ensure compliance with firm policies,...

Wells Fargo-New York, NY-Est. 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.

As part of the Corporate Risk team, the WIM Group Chief Compliance Officer (WIM GCCO) has a dual reporting line to the Chief Compliance Officer and WIM Group...

Citi-Jersey City, NJ-Est. 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.

Compliance and Control. Prior experience working in role needing to work with regulators such as compliance officer....

Citi-Jersey City, NJ-Est. salary: $91,000 - $120,000 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. The Compliance Testing Officer must be able to work independently as well as part of a team and will be responsible for providing...

Citi-Jersey City, NJ-Est. salary: $72,000 - $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.

Compliance and Control. Movement to compliance testing positions throughout Compliance Testing team; Work collaboratively with the Compliance Testing members,...

Citi-Jersey City, NJ-Est. 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.

Compliance and Control. The Anti-Money Laundering Pre-ClosureSenior Compliance Officer is responsible for overseeing the TransactionMonitoring AML Pre-Closure...

Omega Global Partners-New York, NY-Est. 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.

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

Wells Fargo-New York, NY-Est. salary: $120,000 - $170,000 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.

New Product Development/Business Development/Regulatory Compliance; Work with Compliance and Legal to ensure the businesses remains compliant with regulatory...

Interactive Brokers-Greenwich, CT-Est. salary: $98,000 - $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.

Interactive Brokers is looking for a motivated and talented compliance officer who is familiar with securities and commodities regulatory issues and has...

Firstrade Securities Inc.-Flushing, NY-Est. salary: $65,000 - $87,000 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.

Assist the Chief Compliance Officer in revising the compliance program in response to the changing needs of the organization, laws, and governmental policies;...

Citi-Jersey City, NJ-Est. salary: $130,000 - $170,000 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. At least 2 years Commercial Banking experience in a compliance /regulatory setting (AML compliance preferred)....

Citi-New York, NY-Est. salary: $97,000 - $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.

Compliance and Control. Past or current product compliance work experience with Listed and OTC Equity Securities a plus....

HSBC-Rockville Centre, NY-Est. salary: $77,000 - $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.

To implement the Group compliance policy locally by containing compliance risk in liaison with the Head of Group Compliance, Global Business Compliance Officer,...

Atlantis Organization/Sharestates-Great Neck, NY-Est. salary: $64,000 - $83,000 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.

Ensuring we are in compliance with all State and federal securities and banking laws. Ensuring that we're in compliance with all local and federal tax laws....

Citi-Jersey City, NJ-Est. salary: $89,000 - $120,000 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. The Compliance Data Mining Officer will be responsible for planning, scoping, developing and delivering analytics that support AML Pre...

HSBC-Brooklyn, NY-Est. salary: $79,000 - $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.

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

Confidential - Security Services Company-New York, NY-Est. salary: $42,000 - $57,000 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.

Proactively sources potential security officer candidates*. Recruits security officers, Fire Safety Directors and other security-related positions*....

Customs and Border Protection-United States-Est. salary: $39,000 - $75,000 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 with the Agency's Drug-Free Workplace Program. If so, the Department of Homeland Security (DHS) is calling....

Interactive Brokers-Greenwich, CT-Est. salary: $86,000 - $120,000 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.

Senior Compliance Analyst. Appropriately registered compliance officer (i.e., at least a Series 24 and/or Series 3 and Series 4 registration)....


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