1 - 10 of 299

senior compliance officer jobs


  • Senior Compliance Officer

    NEW

    Human Resources Focused Consulting Firm

    - New York City, NY

    be to assist the Deputy Chief Compliance Officer with managing and monitoring all ... Compliance Program, perform periodic compliance reviews and testing of all...

    10 hours ago from IvyExec
  • Senior Compliance Officer

    Independent Investment Management Company

    - Houston, TX

    Investment guidelines to maintain evergreen Compliance environment. Build, test, ... develop, coordinate, and implement various compliance monitoring activities, ongoing...

    11 days ago from IvyExec
  • Sr. Officer, Compliance Front Office

    Financial Services and Communications Company

    - New York City, NY

    internal controls and anti-money laundering compliance programs for agents through ... regarding the status of an agents compliance program Excellent multi-tasking...

    6 days ago from IvyExec
  • Senior Compliance Officer

    Leading Financial Services Firm

    - Stamford, CT

    Responsibilities for Senior Compliance Officer: Provide compliance support for equity ... regulation Qualifications for Senior Compliance Officer: Minimum 5 years of...

    16 days ago from IvyExec
  • Sr Compliance Officer

    Independent Investment Management Company

    - Houston, TX

    Summary): The overall responsibility of this Compliance Officer position is to assist ... Compliance department. Maintain Evergreen Compliance - Lead and conduct reviews of...

    11 days ago from IvyExec
  • Anti-Money Laundering- Compliance Officer Program Officer

    NEW

    Human Resources Focused Consulting Firm

    - New York City, NY

    Laundering (AML) Compliance Program Officer with 5+ years of experience in ... bank s BSA Officer and sit within the AML Compliance Group. The bank s AML Compliance...

    14 hours ago from IvyExec
  • Sr. Compliance Officer

    New York City, NY

    be to assist the Deputy Chief Compliance Officer with managing and monitoring all ... Compliance Program, perform periodic compliance reviews and testing of all...

    30+ days ago from IvyExec
  • Compliance Senior Risk Officer - Securities

    American Financial Services Holding Company

    - Charlotte, NC

    T Investment Services (BBTIS) full service compliance program. Assist the Compliance ... Under the general supervision of the Senior Compliance Risk Manager participate in audits/...

    17 days ago from IvyExec
  • Senior Compliance Manager

    NEW

    Leading Insurance Broker and Risk Advisory

    - New York City, NY

    and other team members, the Senior Compliance Manager is responsible for ... Chief Compliance Officer, and Deputy Chief Compliance Officer, the Senior Compliance...

    10 hours ago from IvyExec
  • Senior Mutual Fund Compliance Analyst

    NEW

    Human Resources Focused Consulting Firm

    - New York City, NY

    Manager Description This Senior Mutual Fund Compliance Analyst will be principally ... Profile The successful candidate for the Senior Mutual Fund Compliance Analyst...

    1 day ago from IvyExec
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