51 - 60 of 51,485

compliance officers jobs


  • Broker Dealer Compliance Officer/Marketing Review

    Morgan Stanley - Finance Industry

    - New York City, NY

    Primary Responsibilities -Serve as Chief Compliance Officer of special purpose ... implementation of broker-dealer's compliance program. -Manage team of compliance...

    19 days ago from VelvetJobs
  • Compliance Officer

    Ny-based Hedge Fund - Finance Industry

    - New York City, NY

    implementation, and maintenance of compliance policies, procedures, and ... on the adequacy and effectiveness of the compliance program; * Performing compliance...

    27 days ago from VelvetJobs
  • Compliance Registration Officer

    Morgan Stanley - Finance Industry

    - New York City, NY

    and registration for WM and MSPBNA to ensure compliance with applicable laws and ... (regulatory) and compliance related activities related to licensing and...

    9 days ago from VelvetJobs
  • Senior Compliance Officer

    Global Investment Fund - Finance Industry

    - New York City, NY

    Compliance Officers in New York, the Senior Compliance Officer will work closely with the ... Assisting in conducting the Firm’s AML Compliance Program, including administering...

    27 days ago from VelvetJobs
  • Compliance Officer

    Premier Hedge Fund - Finance Industry

    - New York City, NY

    procedures; Proposing revisions to compliance policies & procedures and ... Requirements / Qualifications: Minimum of 5 years as a Compliance Officer of an SEC-regist...

    27 days ago from VelvetJobs
  • Compliance Assessment Officer

    Morgan Stanley - Finance Industry

    - New York City, NY

    Profile Professionals within Legal and Compliance provide a wide range of services ... businesses. Background on the Team: The Compliance Assessment Group (“CAG”) is primarily...

    12 days ago from VelvetJobs
  • Senior Compliance Officer

    Ny-based Bank - 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...

    27 days ago from VelvetJobs
  • Compliance Officer

    Leading Bank - Finance Industry

    - New York City, NY

    Compliance Officer to join the Fixed Income Compliance Advisory Team. The candidate will ... procedures and advisory bulletins Conduct Compliance training regarding new and...

    27 days ago from VelvetJobs
  • Compliance Officer

    Financial Services Firm - Finance Industry

    - New York City, NY

    agencies and exchanges Providing regulatory/compliance training as needed Required Skills ... risk management function, or law firm Rates compliance experience Solid organizational...

    27 days ago from VelvetJobs
  • Compliance Officer

    Ny-based Bank - Finance Industry

    - New York City, NY

    Qualifications - Manage a team of seven capital markets investigators/analysts. - Manage regulatory investigations and inquiries. - Review investigations and record production by...

    27 days ago from VelvetJobs
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