Top 82 Compliance Jobs in Albany Ny

Compliance Officer - Broker Dealer
Purshe Kaplan Sterling Investments —Albany, NY
- $63,000 - $70,000 a year
- Full-time
- Microsoft PowerPoint
- Customer service
- Computer literacy
- Health savings account
- Health insurance
Quick Apply
14d
Internal Auditor - (Location Castleton NY)
Questar III BOCES —Castleton, NY
- $47,503 - $62,688 a year
- Mid-level
- Office
- Finance
Government Contracts - HUD Project Manager
The Kennedy Collective Inc —Albany, NY
- $61,000 - $71,000 a year
- Full-time
- 5 years
- Bachelor's degree
- Mentoring
Quick Apply
Compliance Associate
Albany Medical Center —Albany, NY
- $70,068 - $108,605 a year
- Full-time
- Writing skills
- HIPAA
- Research
Internal Audit and Compliance Manager - Enterprise Risk Management
University at Albany —Albany, NY
- $105,000 - $115,000 a year
- Online Application
- CPA
- Writing skills
- Office
Compliance Specialist
Mohawk Opportunities Inc. —Schenectady, NY
- $66,996.80 a year
- Full-time
- Mid-level
- Residential
- Driver's License
- Paid time off
Quick Apply
Entry Level Environmental, Safety & Health Compliance Engineer Safety
Naval Nuclear Laboratory —Niskayuna, NY
- $63,900 - $97,800 a year
- Pass drug screening
- Master's degree
- Bachelor's degree
- Wellness program
- Paid parental leave
8d
Compliance Data Analyst (Project Assistant)
State of New York - Higher Education Services Corporation —Albany, NY
- $32.06 - $40.77 an hour
- Full-time
- Hybrid work
- Microsoft Word
- Background check
- School experience
- Paid holidays
- Health insurance
10d
Standards Compliance Analyst 2 Youth Services
State of New York - Children & Family Services, Office of —Rensselaer, NY
- $86,681 - $109,650 a year
- Full-time
- Background check
- Mid-level
- Residential
8d
Compliance Manager, Contractor & Supplier Diversity
State of New York - Empire State Development, NYS —Albany, NY
- $68,000 - $73,000 a year
- Full-time
- Hybrid work
- Background check
- Customer service
- Mid-level
Assistant Compliance Officer
Purshe Kaplan Sterling Investments —Albany, NY
- $50,000 - $58,000 a year
- Full-time
- Background check
- Customer service
- Computer literacy
- Health savings account
- Health insurance
Quick Apply
Code Compliance Specialist 1 (NY HELPS) - Staatsburg or Cohoes
State of New York - Parks, Recreation & Historic Preservation, Office of —Cohoes, NY
- $66,951 - $85,138 a year
- Full-time
- Background check
- Up to 50% travel
- Construction site
- Paid parental leave
- Health insurance
9d
Compliance Manager, C&SD
Empire State —Albany, NY
- $68,000 - $73,000 a year
- Hybrid work
- Customer service
- Mid-level
- Office
Quick Apply
Senior Compliance Officer
Albany Medical Center —Albany, NY
- $146,542 - $234,467 a year
- Full-time
- 7 years
- HIPAA
- Senior level
Experienced Environmental, Safety & Health Compliance Engineer
Naval Nuclear Laboratory —Niskayuna, NY
- $95,700 - $149,600 a year
- Doctoral degree
- Pass drug screening
- 1 year
- Wellness program
- Paid parental leave
Contract Management Specialist 1
State of New York - State Police, Division of —Albany, NY
- $65,951 - $85,138 a year
- Full-time
- Background check
- Mid-level
- Office
14d
Financial Services Examiner Trainee 1, NS
State of New York - Financial Services, Department of —Albany, NY
- $53,764 - $85,138 a year
- Full-time
- Background check
- Microsoft Outlook
- Data analysis skills
- On-the-job training
Virtual Currency Senior Analyst (Financial Services Specialist 2 (Compliance), SG-23)
State of New York - Financial Services, Department of —Albany, NY
- $86,681 - $109,650 a year
- Full-time
- Background check
- Up to 50% travel
- Office
Business Integrity Trade Compliance Senior Manager
PRICE WATERHOUSE COOPERS —Albany, NY
- $91,000 - $321,500 a year
- 6 years
- High school diploma or GED
- Fair chance
- Paid holidays
- Health insurance
Auditor 1 (Tax)/Auditor Trainee 1 (Tax)/Auditor Trainee 2 (Tax) (Audit Division - Field Audit) (NY HELPS)
State of New York - Taxation & Finance, State —Albany, NY
- $53,764 - $85,138 a year
- Overtime
- Background check
- CPA
- Master's degree
9d

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Compliance Officer - Broker Dealer

Purshe Kaplan Sterling Investments -
Albany, NY

Quick Apply

Job Details

Full-time
$63,000 - $70,000 a year
14 days ago

Benefits

Health savings account
Health insurance
Dental insurance
401(k)
Flexible spending account
Paid time off
Parental leave
Vision insurance
Life insurance

Qualifications

Microsoft PowerPoint
Computer literacy
Spreadsheets
Microsoft Office
Series 7
Bachelor's degree
Securities Industry Essentials
Series 24
Productivity software
Experience at securities companies
Series 63
Time management

Full Job Description

Job Description

Job Title: Compliance Officer

Reports To: Chief Compliance Officer

FLSA Status: Exempt

GENERAL STATEMENT OF DUTIES:

PKS is a leading full-service broker/dealer and financial services firm offering state-of-the-art products and technology to more than 1,600 Registered Representatives (RR) with over 600 offices.

A Compliance Officer facilitates business decisions within a dynamic regulatory environment, solves issues across the organization and its operations, trains team members to know and understand the pertinent regulations and how we meet our responsibilities, and is adept at communicating with industry and regulatory professionals inside and outside the firm.

As a Compliance Officer, you will be responsible for assisting in ensuring adherence to both established and emerging industry regulations. Where appropriate, the position is also in charge of maintaining and improving the company’s compliance program.

ESSENTIAL DUTIES AND RESPONSIBILITIES:

Coordinate with the Compliance team for work being performed on behalf of clients.
Analyze and interpret regulatory and compliance issues.
Assist in developing and implementing written supervisory policies and procedures.
Test and evaluate compliance and business processes.
Guide clients in a productive and professional manner.
Support day-to-day broker/dealer compliance.
Interact with regulators on compliance issues.
Assist with efforts related to audits, reviews, and examinations.
Contribute to organizational learning by leading, mentoring, and coaching.
Continually improve compliance programs for relevant entity.
Identify and react to changes in regulatory requirements.
Ensure business areas meet and maintain compliance requirements by preparing and reviewing new policies, procedures, and training materials.
Lead on-going risk assessments of compliance policies and procedures.
Support the preparation of quarterly and annual compliance reports.
Coordinate annual and periodic regulatory filings.
Monitor various regulatory changes and ensure the firm’s Strategic Portfolio Management (SPM) is up to date.
Review and approve of U4 and U5.
Review prospective RR joining PKS.
Monitor various exceptions reports.
FINRA registrations and CE requirements.
Administration of Firm Element CE
Yearly branch audits.
Maintain the compliance program of the firm, including the compliance manuals, and related policies and procedures.
Promote and deliver a compliance culture within the firm and assist with staff training on compliance matters.
Assist with regulatory inquiries, branch office inspections, and internal audits.
Monitor and interpret regulatory developments and inform compliance staff and management of these changes.
Ability to handle several different tasks at the same time while often meeting tight deadlines.
Assist with compliance testing and monitoring.
Monitor the status of corrective actions being taken.
Assist other departments within the firm with assigned tasks.
Bring enthusiasm, resourcefulness, and a positive attitude each day.

QUALIFICATIONS, KNOWLEDGE, AND SKILLS:

Excellent verbal and written communication skills.
Excellent interpersonal and customer services skills.
Excellent organizational skills.
Exceptional time management skills.
Superior attention to detail.
Ability to follow a project through completion.
Self-starter who can work independently.
Team player who can work collaboratively.
Ability to analyze problems quickly and efficiently.
Ability to prioritize tasks.
Ability to function well in a high-paced and high-volume environment.
Computer proficiency in Microsoft Office Suite is required.
Prior brokerage industry experience required.
Available to travel (20%-30% maximum per year)
The ideal candidate should have the following licenses SIE, Series 7, Series 63 or 66 and Series 24

EDUCATION and/or EXPERIENCE:

Bachelor’s degree from an accredited college or university with emphasis on finance, business administration or related field with three (3) years’ experience in equivalent field preferred.
Strong knowledge of FINRA rules.
SIE, Series 7, Series 63 or 66 and Series 24 required
Proficient in Microsoft Excel

CERTIFICATIONS, LICENSES, REGISTRATIONS:

SIE, Series 7, Series 63 or 66 and Series 24 required

SUPERVISORY RESPONSIBILITIES: None

WORK ENVIRONMENT AND PHYSICAL DEMANDS:

The work environment characteristics and physical demands described are representative of those employee encounters while performing the essential functions of this job. Reasonable accommodation may be made to enable individuals with disabilities to perform the essential job functions of the position. This position operates in a professional office environment. The noise level in the work environment is usually moderate. The role routinely uses standard office equipment such as computers, phones, copiers, and filing cabinets. While performing the duties of this job, the employee is regularly required to sit or be sedentary, Daily activities will require the position to routinely walk, stand, sit, use hands and fingers, handle objects or controls, talk and hear, stand, and reach with hands and arms. Specific vision abilities required by this job include close vision. The employee may be asked occasionally to bend, lift, and/or move up to 40 lbs.

POSITION TYPE AND HOURS:

Full-time, standard workweek, Monday-Friday; 8:30 AM- 5:00 PM

PKS Investments Inc. is an equal opportunity employer that is committed to diversity and inclusion in the workplace. We prohibit discrimination and harassment of any kind based on race, color, sex, religion, sexual orientation, national origin, disability, genetic information, pregnancy, or any other protected characteristic as outlined by federal, state, or local laws. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

Job Type: Full-time

Pay: $63,000.00 - $70,000.00 per year

Benefits:

401(k)
Dental insurance
Flexible spending account
Health insurance
Health savings account
Life insurance
Paid time off
Parental leave
Vision insurance

Physical Setting:

Office

Experience:

broker/dealer compliance: 1 year (Required)
Microsoft Office: 1 year (Required)

License/Certification:

Series 24 and Series 7 FINRA license (Required)

Ability to Commute:

Albany, NY 12207 (Preferred)

Ability to Relocate:

Albany, NY 12207: Relocate before starting work (Required)

Willingness to travel:

25% (Required)

Work Location: In person

Quick Apply

Refine Your Search

compliance jobs in albany ny

Compliance Officer - Broker Dealer

Internal Auditor - (Location Castleton NY)

Government Contracts - HUD Project Manager

Compliance Associate

Internal Audit and Compliance Manager - Enterprise Risk Management

Compliance Specialist

Entry Level Environmental, Safety & Health Compliance Engineer Safety

Compliance Data Analyst (Project Assistant)

Standards Compliance Analyst 2 Youth Services

Compliance Manager, Contractor & Supplier Diversity

Assistant Compliance Officer

Code Compliance Specialist 1 (NY HELPS) - Staatsburg or Cohoes

Compliance Manager, C&SD

Senior Compliance Officer

Experienced Environmental, Safety & Health Compliance Engineer

Contract Management Specialist 1

Financial Services Examiner Trainee 1, NS

Virtual Currency Senior Analyst (Financial Services Specialist 2 (Compliance), SG-23)

Business Integrity Trade Compliance Senior Manager

Auditor 1 (Tax)/Auditor Trainee 1 (Tax)/Auditor Trainee 2 (Tax) (Audit Division - Field Audit) (NY HELPS)

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