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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....




 
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....




 
Apr 01, 15 USA-NY- New York City ********** Compliance Director-Regulatory Unit Manager (Retail)
.... Manager (Retail) Description Provide regulatory examination management coverage for CGMI retail investments lines of business, including Citi Personal Wealth Management (CPWM) and Citi Personal Inves....


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Apr 01, 15 USA-NY- New York City ********** Senior Compliance Associate with Spanish Language Skills
.... • Perform continuous testing and examinations of ratings documentation for compliance with internal policies and procedures for global regions, including but not limited to LATAM regions using Spani....


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Apr 01, 15 USA-NY- New York City ********** Compliance Director-Regulatory Unit Manager (Retail)
.... client, a well-recognized a leader in provide a broad range of financial service to the consumers, governments and institutions is experiencing growth due to their strong market presence and success.....


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Apr 01, 15 USA-NY- New York City ********** Effort Compliance Manager
.... over 130 years, the people of Memorial Sloan Kettering have been relentless pioneers in our single-minded focus on the prevention and cure of cancer. We are known for intensely innovative research th....


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Apr 01, 15 USA-NY- New York City ********** Compliance Director - Electronic Communications Surveillance
.... Full time Company:**** Posted on: 27 Mar 15 A Global Bank seeks a Compliance Director who would be responsible for managing and leading the global Electronic Communicatio....


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Apr 01, 15 USA-NY- Victor ********** Temp - Compliance Specialist
.... seeking a temporary Compliance Specialist within the Legal Department. This person will work closely with our Brand Marketing, Promotions and Trade Marketing teams to ensure state and federal compli....


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Apr 01, 15 USA-NY- New York City ********** Corporate Compliance - Trusts and Estates, Global Wealth Management - Executive Director - New York
.... Management - Executive Director - New York','150002712','!*!JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $2 trillion and operations in more than 60 cou....


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Apr 01, 15 USA-NY- New York City ********** Compliance Director-Regulatory Unit Manager
.... client, a well-recognized a leader in provide a broad range of financial service to the consumers, governments and institutions is experiencing growth due to their strong market presence and success.....


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Apr 01, 15 USA-NY- New York City ********** GBAM Compliance Specialist - Rockefeller Plaza, NY
.... York New York United States Description: Job Description: This role is responsible for monitoring Bank of America's positions for the purpose of regulatory shareholder reporting in all AMRS jurisdict....


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Apr 01, 15 USA-NY- New York City ********** Compliance Analyst/Associate - Know Your Customer/Enhanced Due Diligence Team
.... within the Anti-Money Laundering Suspicious Activities Group is seeking an analyst/associate, ideally with prior brokerage and or other financial industry experience. The analyst/associate will cond....


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Apr 01, 15 USA-NY- New York City ********** Surveillance Development and Implementation, VP
.... investment banks seeks a Compliance Professional who will be responsible for managing the development and implementation of the Compliance Surveillance programs/ strategy. RESPONSIBILITIES: * Manage ....


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Apr 01, 15 USA-NY- New York City ********** Clinical Quality RN - Queens, Long Island, NY - New York, NY
.... here, a shared mission to improve the lives of others as well as our own. Nursing here isn''t for everybody. Instead of seeing a handful of patients each day, your work may affect millions for years ....


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Apr 01, 15 USA-NY- New York City ********** Compliance Director-Regulatory Unit Manager (Retail)
.... regulatory examination management coverage for CGMI retail investments lines of business, including Citi Personal Wealth Management (CPWM) and Citi Personal Investments (CPII) and CPB retail investme....


apply now!  

 


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Apr 01, 15 USA-NY- New York City ********** Compliance Director-Regulatory Unit Manager (Retail)
.... regulatory examination management coverage for CGMI retail investments lines of business, including Citi Personal Wealth Management (CPWM) and Citi Personal Investments (CPII) and CPB retail investme....


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Apr 01, 15 USA-NY- New York City ********** Vice President, Investment Management Compliance
.... Investment Management Compliance Officer, who will be responsible for participating in the development, implementation and execution of a compliance program for Managed Futures and other Investment M....


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Apr 01, 15 USA-NY- Deer Park ********** IMPORT/EXPORT LOGISTICS and TRADE COMPLIANCE COORDINATOR
.... logistics, transportation, & import/export compliance processes, including monitoring the business relationships, performance & spend with key logistics, freight forwarding & transportation providers....


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Apr 01, 15 USA-NY- New York City ********** Associate Director, Coding Compliance
.... staffing firm. Our team is comprised of veteran recruiters and seasoned industry leaders, providing our clients and candidates with knowledgeable, professional and dedicated service. It is our goal t....


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1 hit(s)  
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Apr 01, 15 USA-NY- New York City ********** Compliance Director - Sales Practice
.... firm seeks a Compliance Director who will be responsible for providing compliance sales practice advisory support, monitoring and reviews, as well as regulatory guidance and establishing the complian....


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Apr 01, 15 USA-NY- New York City ********** Assistant Vice President-Senior Compliance Data Governance Officer - New York, NY
.... Data Governance Officer (00005UII) Job Description Assistant Vice President-Senior Compliance Data Governance Officer : 00005UII Description This role will assist in the effort to build out the Compl....


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Apr 01, 15 USA-NY- Buffalo ********** Director of Global Trade Compliance - Buffalo, NY
.... #: 15-11466 Business Segment: Corporate Country: United States City: East Aurora (Buffalo) Standard Hours: 40 Shift: 1st Shift Job Description: We''re a provider of precise motion control, oper....


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Apr 01, 15 USA-NY- New York City
ICONSTAFF
Compliance Director-Regulatory Unit Manager (Retail)
.... - NY Description Our client, a well-recognized a leader in provide a broad range of financial service to the consumers, governments and institutions is experiencing growth due to their strong market ....


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Apr 01, 15 USA-NY- Harrison
GlobeOp Financial Services
AML Compliance Specialist - Harrison, NY
.... Technologies, is a leading global provider of cloud-based fund services, technology and mobility-enabled infrastructure for hedge funds, fund of funds, private equity and managed account managers. SS....


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Apr 01, 15 USA-NY- New York City
Compliance Search Group.
Surveillance Development and Implementation, VP
.... investment banks seeks a Compliance Professional who will be responsible for managing the development and implementation of the Compliance Surveillance programs/ strategy. Responsibilities:....


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