1 - 10 of 4,182

senior compliance officer jobs near New York, NY


  • Senior Compliance Officer

    NEW

    Efinancial Careers

    - New York City, NY

    with all aspects of Broker/ Dealer compliance helpful. Responsibilities Include: ... Broker Dealer is seeking a Compliance Officer to oversee the Trading activities and...

    21 hours ago from eFinancial Careers
  • Senior Compliance Officer Surveillance

    NEW

    Citi

    - Jersey City, NJ

    Description Retail Surveillance provides compliance coverage for the Private Bank and ... will be responsible for working with Product Compliance, technology, business supervisors...

    1 day ago from Citi
  • Associate, Compliance & Conduct Officer

    NEW

    Mitsubishii UFJ Financial Group

    - New York City, NY

    analysis to identify potential compliance issues. Perform surveillance reviews. ... Equal Opportunity Employer/Minority/Female/Disability/Veteran Job : Risk & Compliance...

    1 day ago from Mitsubishii UFJ Financial Group
  • Associate, Compliance & Conduct Officer

    NEW

    Union Bank

    - New York City, NY

    and Performance of forensic compliance testing, using data analytics, trend ... analysis to identify potential compliance issues. Perform surveillance reviews.

    12 hours ago from Union Bank
  • Senior Compliance Officer ICG Testing

    NEW

    Citi

    - Jersey City, NJ

    plans are implemented. The Senior Control Officer must be able to work independently as ... changes as necessary. The Senior Control Officer may also assist in day-to-day review...

    1 day ago from Citi
  • Compliance Officer

    Robert Half International

    - New York City, NY

    Chief Compliance Officer, the Deputy Chief Compliance Officer is the independent ... the Compliance function, the Deputy Chief Compliance Officer will be actively engaged...

    13 days ago from eFinancial Careers
  • Senior Compliance Officer

    Bank In New York City - Finance Industry

    - New York City, NY

    * 8 plus years of compliance and/or regulatory experience, with knowledge of the financial ... improvements. * Determine material non-compliance risks related to the company's...

    22 days ago from VelvetJobs
  • Senior Compliance Officer

    National Recruiting Group

    - New York City, NY

    Senior Compliance Officer in the Fund Chief Compliance Officer Group which supports the ... within the group and work with the other 3 Compliance Officers in the group. Duties •...

    17 days ago from ZipRecruiter
  • Compliance Systems Testing Officer – Associate

    Mitsubishii UFJ Financial Group

    - New York City, NY

    flow(s), fully understand the IT compliance component, and document/analyze data ... requiring the business line’s or senior management’s immediate attention, respectively.

    4 days ago from Mitsubishii UFJ Financial Group
  • Compliance Systems Testing Officer – Associate

    Union Bank

    - New York City, NY

    flow(s), fully understand the IT compliance component, and document/analyze data ... requiring the business line’s or senior management’s immediate attention, respectively.

    6 days ago from Union Bank
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