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Jobs >> Browse Jobs >> Compliance >> New York
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 date  location company  job title
Jan 07,15 USA-NY- New York City
R. Cope & Associates Inc
Sponsored Job  

Senior Compliance Professional


Senior Compliance Professional Responsibilities Manage team of compliance professionals: Advising clients on compliance with the Securities Act, Securities Exchange Act, Advisers Act and other applicable regulatory directives Advising on and reviewing firm marketing a....




 
Nov 26,14 USA-NY- New Rochelle
Somnia Anesthesia
Sponsored Job  

Coding, Compliance and Audit Officer


ROLE SUMMARY/PURPOSE: Primarily responsible for creating, implementing and maintaining the audit and compliance strategy for Somnia and its managed practices (together “Company”). Providing guidance to the senior management team on all audit and compliance-related matters. Wor....




 
Dec 02,13 USA-NY- New York City
Guidepoint Global
Sponsored Job  

Compliance Analyst


Description The Compliance Analyst is responsible for monitoring employee and client adherence to the firm’s Compliance policies and procedures at global offices located in the United States, Europe and Asia.  The position will report to the Chief Compliance Officer and essent....




 
Jan 24, 15 USA-NY- New York City ********** Compliance Officer
.... New York Branch operations with the applicable laws and regulations of US on an ongoing basis. CE is having authority to add further roles or reduce some of the roles and these are not exhaustive. 22....


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3 hit(s)  
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Jan 24, 15 USA-NY- New York City ********** Fixed Income Compliance - VP
.... Deliverables: The person performing this trading desk advisory position will be responsible for implementing and managing the overall compliance program for the Cores Rates business in the firm’s New....


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Jan 24, 15 USA- NY ********** Regional Company Secretary and Corpor...
.... and protects money for customers and clients worldwide. With over 300 years of history and expertise in banking, we operate in over 50 countries and employ over 140,000 people. We provid....


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1 hit(s)  
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Jan 24, 15 USA-NY- New York City ********** Capital Markets Business Analyst
.... technology services organizations and provides software and processing solutions for financial services, education and the public sector. If you are a Capital Markets Business Analyst then apply and....


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1 hit(s)  
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Jan 24, 15 USA-NY- Buffalo ********** Senior Compliance Analyst - Surveillance (Buffalo, N.Y.)
.... N.Y.)','15006566','!*!The candidate will be tasked with the responsibility of screening electronic communications for a variety of businesses within the firm. The Analyst reviews employee communicati....


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1 hit(s)  
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Jan 24, 15 USA-NY- East Syracuse ********** Compliance Office Team Leader
.... Of Staffing Solutions East Syracuse, NY World S Largest Provider Of Staffing Solutions is looking for Compliance Office Team Leader....


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4 hit(s)  
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Jan 24, 15 USA-NY- New York City ********** Advertising, Marketing Review Legal and Compliance Associate
.... Associate A top mortgage lender seeks a Compliance Associate will be responsible for performing legal and compliance review of advertising and training materials delivered to the legal and compliance....


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3 hit(s)  
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Jan 23, 15 USA-NY- New York City ********** Regulatory Risk Capital Markets - Technology Compliance (Managers/Directors)
.... Financial Risk Management (FRM)-Regulatory Risk who will be responsible for providing Technology compliance advisory services to capital markets institutions. Responsibilities: • Assist clie....


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2 hit(s)  
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Jan 23, 15 USA-NY- New York City ********** Compliance Director - Insurance Regulation
.... Compliance specialist to partner with their insurance business in an advisory function based out of New York. Client Details A global Financial Services organization. Description The Compliance Direc....


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1 hit(s)  
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Jan 23, 15 USA-NY- New York City ********** Assistant Director
.... the country, the New York City Department of Consumer Affairs (DCA) has ensured that businesses and consumers benefit from a fair and vibrant marketplace for over 40 years. Today, DCA regulates 55 in....


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2 hit(s)  
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Jan 23, 15 USA-NY- New York City ********** Compliance Director - Insurance Regulation
.... Banking operation with strong Insurance Business Insurance Compliance Advisory role About Our Client: A global Financial Services organization. Job Description: The Compliance Director - Insurance Re....


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1 hit(s)  
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Jan 23, 15 USA-NY- New York City ********** Compliance Officer – Dodd Frank Testing
.... who will be responsible for the execution of reviews of the Institutional Client Group (ICG). The Compliance Testing (CT) Officer will provide business management with an independent assessment of....


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2 hit(s)  
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Jan 23, 15 USA-NY- New York City ********** Compliance Change PMO - AVP
.... candidate will also oversee, and assist in on-boarding and management of resources to support the program. The PM will define the work effort and produce the business case for Senior Management revie....


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2 hit(s)  
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Jan 23, 15 USA-NY- New York City ********** Securities Compliance Examiner
.... for one or more of Compliance Inspections and Examinations program areas of program emphasis such as investment companies, investment advisers, self-regulatory organizations, broker-dealers, transfer....


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3 hit(s)  
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Jan 23, 15 USA-NY- New York City ********** Finance & Risk, Regulatory & Compliance Manager
.... Compliance, PE&CE Manager Location: New York NY, Charlotte NC, Chicago IL, Atlanta GA, Boston MA, Washington DC, San Francisco and San Jose CA, Los Angeles CA Travel: 80%-100% Join Accenture and help....


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2 hit(s)  
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Jan 23, 15 USA-NY- New York City ********** Senior Compliance Analyst- SAR Management Program
.... primary responsibility of the Compliance AML Officer candidate is to develop metrics related to Suspicious Activity Reporting (SARs) and other transaction monitoring results to identify trends in tra....


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1 hit(s)  
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Jan 23, 15 USA-NY- New York City ********** Compliance and Risk Analyst- Charles River
.... Analyst who will be responsible for conducting reviews of portfolios for compliance with client and regulatory restrictions using Charles River. This Position requires knowledge of system codin....


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1 hit(s)  
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Jan 23, 15 USA-NY- Schenectady ********** Senior Compliance Engineer, Gas Turbine&Accessories Complnce Job
.... Code: 12008 Location: Schenectady, NY, United States Job Description: Job Number: 2025194 Business: GE Power & Water Business Segment: PW-PGP Power Generation Products About Us:....


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1 hit(s)  
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Jan 23, 15 USA-NY- New York City ********** Compliance Director - Retail Investment Regulations
.... are looking to recruit a Compliance Director - Retail Investment Regulations to join them in New York. Client Details A leading Global Bulge Bracket Bank Description Provide regulatory advisory and e....


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2 hit(s)  
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Jan 23, 15 USA-NY- Manhattan ********** Consumer Compliance Manager
.... retail bank, and as the result of this growth are looking to recruit a Manhattan based Consumer Compliance Manager to join them Client Details A fast growing international retail bank Description The....


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1 hit(s)  
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Jan 23, 15 USA-NY- New York City
Goldman Sachs.
Compliance, Securities Division Compliance Officer, Associate/VP, New York
.... Compliance Officer is to articulate and maintain the standards of conduct required of the Firm’s businesses as well as the laws, regulations and policies governing these businesses in order to avoid ....


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Jan 23, 15 USA-NY- Manhattan
Michael Page
Head of AML Compliance
.... the Head of AML you will play a key role within the team. This is a highly visible role with an opportunity to get broad based experience within the broker dealer and exposure to projects including a....


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Jan 23, 15 USA-NY- New York City
State Street Corporation.
Compliance Analyst, Officer
.... Company State Street Corporation (NYSE: STT) is the world's leading provider of financial services to institutional investors including investment servicing, investment management and investment rese....


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