Top 31 Compliance officer Jobs in Wall Street Ny

Director Compliance
Riverbay Corporation —Bronx, NY
- $150,000 - $160,000 a year
- Full-time
- Writing skills
- Pass drug screening
- 3 years
Quick Apply
Chief Legal & Compliance Officer
AFRICAN AMERICAN PLANNING COMMISSION INC —Brooklyn, NY
- $200,000 a year
- Office
- Senior level
Quick Apply
Deputy Commissioner/Chief Compliance and Equal Employment Opportunity Officer
DEPARTMENT OF INVESTIGATION —Manhattan, NY
- $113,690 - $201,219 a year
- Full-time
- Office
- 3 years
- Training & development
- Loan forgiveness
11d
Head of US Compliance and Deputy Chief Compliance Officer
Menarini Group —New York, NY
- $263,001 - $360,926 a year
- 11+ years
- Office
- Bachelor's degree
- Health savings account
- AD&D insurance
Deputy Chief Compliance Officer (DCCO)
Garda Capital Partners —New York, NY
- $200,000 - $250,000 a year
- Office
- Finance
- Analysis skills
4h
Chief Compliance Officer
Moment —New York, NY
- $260,000 - $290,000 a year
- Full-time
- Office
- Senior level
- Under 1 year
- Dental insurance
- Vision insurance
Quick Apply
Chief Compliance Officer
New Jersey Institute of Technology —Newark, NJ
- $130,000 - $150,000 a year
- Full-time
- HIPAA
- Residential
- 8 years
Deputy Chief Global Compliance Officer
New York University —New York, NY
- $275,000 - $325,000 a year
- Full-time
- Hybrid work
- 7 years
- University
- Senior level
7d
Director of Compliance
Vocational Instruction Project —Bronx, NY
- $115,000 - $130,000 a year
- Weekends as needed
- Microsoft Excel
- Microsoft Outlook
- HIPAA
Director of Compliance, DLS
DEPARTMENT OF BUSINESS SERV. —Manhattan, NY
- $74,544 - $90,000 a year
- Email
- Microsoft Excel
- Microsoft Access
- Software troubleshooting
- Work from home
- Loan forgiveness
Director of Compliance and Quality Assurance
Children's Aid —New York, NY
- $90,000 - $100,000 a year
- Hybrid work
- School experience
- Nursing
- 7 years
- Health insurance
Quick Apply
Director, Compliance
BLDG SVC 32 B-J —New York, NY
- $245,000 - $260,000 a year
- Full-time
- Office
- Analysis skills
- Bachelor's degree
Quick Apply
Director of Compliance
Dolphin Property Services LLC —Bronx, NY
- $100,000 - $130,000 a year
- Full-time
- Microsoft Outlook
- Office
- Bachelor's degree
- Paid holidays
- Health insurance
Quick Apply
14d
Director of Compliance
Beanstalk Academy —Bronx, NY
- $100,000 - $110,000 a year
- Full-time
- 5 years
- Senior level
- Leadership
Quick Apply
Head of Broker Dealer Compliance, Americas and Chief Compliance Officer (VN2908)
Marex —New York, NY
- $290,000 - $335,000 a year
- Full-time
- Office
- Senior level
- Leadership
Quick Apply
Chief Compliance Officer (FINRA Broker Dealer or SEC RIA)
Frec Markets, Inc. —New York, NY
- $180,000 - $260,000 a year
- Full-time
- Hybrid work
- Senior level
- Communication skills
- Dental insurance
- 401(k)
Deputy Chief Diversity Officer - Business Program Compliance
Metropolitan Transportation Authority —New York, NY
- $165,000 - $185,000 a year
- Weekends as needed
- Bachelor of Science
- 11+ years
- Office
Chief (Code Compliance)
DEPT OF DESIGN & CONSTRUCTION —Queens, NY
- $83,743 - $104,135 a year
- Full-time
- Management
- Construction site
- Writing skills
- Loan forgiveness
5d
Director, Compliance
Relay —New York, NY
- $255,000 - $315,000 a year
- Full-time
- Background check
- 8 years
- Senior level
4h
Chief Compliance Officer, Swap Dealer
FalconX —New York, NY
- $191,000 - $252,000 a year
- Full-time
- Hybrid work
- Bachelor's degree
- Team management
- Conflict management
- Paid holidays
- Relocation assistance
Quick Apply

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Director Compliance

Riverbay Corporation -
Bronx, NY

Quick Apply

Job Details

Full-time
$150,000 - $160,000 a year

Qualifications

Writing skills
Bachelor's degree
Industry knowledge of financial regulations
Editing
Professional development training

Full Job Description

Essential Job Duties and Responsibilities

Develop and maintain a comprehensive compliance program for Riverbay Corporation, including conducting enterprise-wide risk assessments to identify, evaluate, and mitigate regulatory and operational risks.
Oversee the implementation of compliance programs and activities within Riverbay Corporation, including evidence-based compliance reviews and monitoring effectiveness of internal controls and corrective actions.
Develop and review standard operating procedures designed to support compliance with legal, regulatory, and financial requirements and standards, including developing and implementing training programs for internal staff and subcontractors such as Contractor Debarment, Data Privacy and Protection, Information Security, Document Retention, and the Shareholder Selection Plan. Assure that Riverbay Corporation follows all new laws, regulations, and directives.
Conduct and oversee investigations of allegations of noncompliance, including coordinating responses to regulatory examinations, audits, and inquiries, and overseeing implementation of corrective action plans.
Direct and collaborate in the development of compliance educational and training programs so that employees and management are knowledgeable of Riverbay policies and pertinent federal, state, local standards.
Oversee, train, and manage staff that report to the Director of Compliance.
Ensure that city, state, federal laws and regulations and Riverbay policies are adhered to.
Develop an annual compliance work plan that reflects Riverbay Corporation’s responsibility to administer programs and services in compliance with city, state, federal, and Riverbay Shareholders requirements and consistent with the highest ethical standards.
Lead and facilitate a Compliance Steering Committee to advise of compliance program design, operations, and incidents and responses while supporting and nurturing a culture of compliance and integrity.
Oversee and conduct monitoring and auditing compliance with applicable policies, procedures, and standards by City, State and Federal agencies and contracted providers, using performance indicators and business analytics, and ensure timely remediation of identified deficiencies.
Oversee the tracking and management of violations issued by city and state agencies, including coordinating responses, corrective actions, hearing appearances, payment of fines, and final resolution.
Serve as project manager for compliance-related initiatives arising from new or amended laws and regulations, including coordinating cross-functional implementation efforts.
Meet periodically with representatives from the Office of Internal Audit to discuss ongoing reviews, projects, risks, and observations.
Serve as Riverbay’s point of contact for all matters relating to compliance and responding to all inquiries/questions from governing entities.
Prepare and present clear, concise compliance reports for the General Manager and other department heads as necessary.
Ensure the implementation of strong internal controls and report any discrepancies to the leadership team in a timely manner.
Oversee adequate record maintenance and ensure processes are in place to document compliance efforts.
Perform miscellaneous job-related duties as assigned.

Educational Requirements:

Bachelor’s degree in finance, business management, or similar field. A Master’s degree or JD preferred.

Work Experience and Minimum Requirements:

At least eight (8) years of compliance or related experience with increasing responsibilities.
Four (4) or more years of direct management experience preferred.
Three or more years of relevant work experience in compliance environment.
Knowledge of laws, regulations, and standards relevant to financial, business and service activities of Riverbay and its affiliates.
Highly organized and able to prioritize multiple projects and tasks.
Excellent communication and facilitation skills.
Strong business writing and editing skills.
Ability to provide education and training on program requirements, agency policies, and procedures to Riverbay employees on all levels, contracted providers, and other interested parties.
Substantial experience operating a compliance or auditing programs for a complex organization.

Testing:

Drug screening, as permitted by, and consistent with, applicable law.

Physical Requirements:

Persons performing service in this position classification may routinely exert up to 20 pounds of force to lift, carry, push, pull, or otherwise move objects. This type of work will involve regular walking or standing for extended periods of time. It may involve stooping or bending. Handling and working with various materials and objects are important aspects of this job.

Reasonable accommodations may be made to enable a person to perform the essential functions of the job.

***Riverbay Corporation is an Equal Opportunity Employer. ***

Quick Apply

Refine Your Search

compliance officer jobs in wall street ny

Director Compliance

Chief Legal & Compliance Officer

Deputy Commissioner/Chief Compliance and Equal Employment Opportunity Officer

Head of US Compliance and Deputy Chief Compliance Officer

Deputy Chief Compliance Officer (DCCO)

Chief Compliance Officer

Chief Compliance Officer

Deputy Chief Global Compliance Officer

Director of Compliance

Director of Compliance, DLS

Director of Compliance and Quality Assurance

Director, Compliance

Director of Compliance

Director of Compliance

Head of Broker Dealer Compliance, Americas and Chief Compliance Officer (VN2908)

Chief Compliance Officer (FINRA Broker Dealer or SEC RIA)

Deputy Chief Diversity Officer - Business Program Compliance

Chief (Code Compliance)

Director, Compliance

Chief Compliance Officer, Swap Dealer

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