Top 1398 Compliance monitoring testing Jobs in New York, Ny

Associate, Compliance Monitoring and Testing
Guggenheim Partners —New York, NY
- $110,000 - $120,000 a year
- Full-time
- Hybrid work
- Mid-level
- Office
- 3 years
14d
Compliance Testing and Monitoring Officer
Crédit Agricole CIB —New York, NY
- $145,000 - $160,000 a year
- CPA
- 5 years
- English
Part-time bilingual (Spanish) RN
Mental Health Providers of Western Queens, Inc. —Woodside, NY
- From $45 an hour
- Part-time
- Spanish
- Nursing
- Psychiatry
Quick Apply
Nurse Manager
Housing Works Inc —Brooklyn, NY
- $90,000 - $95,000 a year
- Spanish
- CPR Certification
- Nursing
- Health insurance
- Paid time off
Quick Apply
401(k) Specialist
Midas Wealth —New York, NY
- $70,000 - $100,000 a year
- Full-time
- Hybrid work
- Background check
- Data analysis skills
- 3 years
- Health insurance
- Dental insurance
Quick Apply
Food Safety Quality Control Technician
Bakkafrost USA —Wayne, NJ
- $20 - $24 an hour
- Overtime
- Spanish
- Writing skills
- Laboratory experience
- Paid training
- Health insurance
Quick Apply
Lead Electrician
Atigun Group, Inc. —Edison, NJ
- $83,000 - $120,000 a year
- Full-time
- Military encouraged
- In-person
- Senior level
- Paid holidays
- Health insurance
Quick Apply
1d
Recovery Counselor OASAS
Bridging Access To Care Inc —Brooklyn, NY
- $32.36 an hour
- Full-time
- LMFT
- Spanish
- Master of Social Work
- Health savings account
- Health insurance
Quick Apply
14d
Advanced Practice Provider
The Plastic Surgery Center —Glen Rock, NJ
- $125,000 - $155,000 a year
- Full-time
- Hybrid work
- Surgery
- HIPAA
- Clinic
- Profit sharing
- Mileage reimbursement
Quick Apply
340B Compliance Coordinat
Wyckoff Heights Medical Center —New York, NY
- $133,500 a year
- Full-time
- 3 years
- Bachelor's degree
- Senior level
Service Technician - Fueling Systems
Aventura Construction Corp —New York, NY
- $20 - $50 an hour
- Full-time
- 7 years
- Management
- Hazmat Endorsement
- Paid training
- Paid holidays
Quick Apply
340B Compliance Coordinat
Wyckoff Heights Medical Center —New York, NY
- $133,500 a year
- Monday to Friday
- 3 years
- Bachelor's degree
- Senior level
Senior Recovery Counselor OASAS
Bridging Access To Care Inc —Brooklyn, NY
- $34.61 an hour
- Full-time
- Bilingual
- Microsoft Word
- Addiction Medicine
- Health savings account
- Health insurance
Quick Apply
14d
Boomi RunTime Architect
Donnelly & Moore Corporation —New York, NY
- From $80 an hour
- Contract
- Hybrid work
- Azure
- Salesforce
- HIPAA
Quick Apply
Pre-Op / PACU Registered Nurse (RN) – Ambulatory Surgery Center
The Street Consulting Group —Brooklyn, NY
- $50 - $58 an hour
- Full-time
- Surgery
- RN License
- Ability to walk for extended periods
- Opportunities for advancement
Quick Apply
7d
Deputy Controller - Health Plan
MetroPlusHealth —New York, NY
- $160,000 - $174,313 a year
- CPA
- Writing skills
- Research
Quick Apply
Social Work Supervisor - Caregiver Support Western Queens
Sunnyside Community Services —Queens, NY
- $65,000 - $70,000 a year
- Full-time
- Hybrid work
- Spanish
- Master of Social Work
- Microsoft Excel
- Paid holidays
- Disability insurance
Quick Apply
Compliance Specialist Senior Wealth Management
City National Bank —New York, NY
- $85,000 - $145,000 a year
- Microsoft Excel
- Microsoft Outlook
- 5 years
- Health insurance
- Dental insurance
Manager Identity & Access Management
CardWorks Servicing LLC —New York, NY
- $138,045 - $153,384 a year
- Full-time
- Hybrid work
- Computer Science
- Bachelor's degree
- Organizational skills
- AD&D insurance
- Paid holidays
Quick Apply
Building Automation Specialist
Amentum —Pearl River, NY
- $28 - $35 an hour
- 12 hour shift
- Background check
- Current TB test
- Mid-level
- Health savings account
- Health insurance
Quick Apply
9d

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compliance monitoring testing jobs near new york, ny

Associate, Compliance Monitoring and Testing

Guggenheim Partners -
New York, NY

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Job Details

Full-time
$110,000 - $120,000 a year
14 days ago

Qualifications

Presentation software
Finance
Bachelor's degree
Excel data analysis

Full Job Description

Job Description:

Position Summary

Guggenheim Securities (“GS”) is seeking to hire a Monitoring and Testing Associate to join its Compliance team. The primary objective of this role is to assess business activities and support functions for compliance with applicable laws, regulations and internal policies and procedures.

Essential Job Functions

Support the development, execution and reporting of compliance monitoring and testing program to help mitigate risk and promote adherence to regulatory requirements and internal policies and procedures
Collaborate with compliance team members on risk assessments, targeted reviews of business activities and branch office inspections
Help evaluate the design of controls and test their operating effectiveness
Prepare clear, well documented reports identifying issues, and work with issue owners to support the development and tracking of remediation plans
Perform surveillance reviews of trading and communication activity
Provide support on regulatory inquiries and investigations, including gathering documentation and assisting with responses
Help track and report compliance metrics on a recurring basis
Support the regulatory change management process by helping monitor rule changes and tracking implementation activities

Preferred Qualifications

Familiarity with the laws, rules, regulatory requirements, impacting broker-dealers, with exposure to those applicable to investment banking, equity and fixed income sales and trading, and research
Experience in executing compliance testing and drafting related reports
Working knowledge of risk assessments
Experience supporting surveillance activities, including email and transaction review Proficiency in organizing and analyzing data, including the ability to develop meaningful metrics from raw data sets
Excellent verbal and written communication skills, with ability to convey findings clearly
Highly organized, with strong attention to detail and commitment to accuracy
Comfortable working both independently and collaboratively as part of a team
critical thinker who is proactive, curious and brings a creative approach to problem-solving
Quick learner and self-starter, able to manage multiple priorities with minimal supervision
Have a positive, hands-on, “can-do” attitude

Basic Qualifications

Bachelor's / University degree
3 - 5+ years relevant experience with a regulator, broker-dealer or other financial services institution
PowerPoint/Excel skills

Work Location

Currently, this role is expected to be in the New York office at least 4 days per week

Salary

Annual base salary is between $110,000 and $120,000.
The base salary represents the anticipated base salary range for this position. Actual base salaries may vary depending on factors such as location and experience. The amount listed reflects base salary only, and the total compensation package may include other components such as incentive compensation.

About Us:

Guggenheim Securities is the investment banking and capital markets business of Guggenheim Partners, a global investment and advisory firm. Guggenheim Securities offers services that fall into four broad categories: Advisory, Financing, Sales and Trading, and Research. Guggenheim Securities is headquartered in New York, with additional offices in Chicago, Boston, Atlanta, San Francisco, and Houston.

For more information, please visit GuggenheimSecurities.com, follow us on LinkedIn or contact us at [email protected] or 212.518.9200.

Guggenheim Securities, LLC (“GS”) does not accept unsolicited resumes or applications. GS considers any resume or application to be unsolicited if (a) received from an entity or individual without a current recruiting agreement with GS or (b) submitted to anyone at the firm other than through the process set forth in the recruiting agreement between GS and the submitting entity or individual, and GS will not pay a fee to any entity or individual for such submission.

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Refine Your Search

compliance monitoring testing jobs in new york, ny

Associate, Compliance Monitoring and Testing

Compliance Testing and Monitoring Officer

Part-time bilingual (Spanish) RN

Nurse Manager

401(k) Specialist

Food Safety Quality Control Technician

Lead Electrician

Recovery Counselor OASAS

Advanced Practice Provider

340B Compliance Coordinat

Service Technician - Fueling Systems

340B Compliance Coordinat

Senior Recovery Counselor OASAS

Boomi RunTime Architect

Pre-Op / PACU Registered Nurse (RN) – Ambulatory Surgery Center

Deputy Controller - Health Plan

Social Work Supervisor - Caregiver Support Western Queens

Compliance Specialist Senior Wealth Management

Manager Identity & Access Management

Building Automation Specialist

I want to receive the latest job alert for compliance monitoring testing in new york, ny

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