Broker Dealer Compliance Officer Jobs in New York City

Global Chief Compliance Officer- Broker Dealer The candidate will be point ... years of experience in regulatory compliance. Should have a strong leadership .....

Swap Dealer Compliance Officer The candidate will manage swap ... The candidate will manage swap dealer compliance program including assessing and updating ... new business activities. Overseeing the compliance framework..

Chief Compliance Officer The candidate will be responsible ... will be responsible for: Lead compliance organization, providing guidance and support ... management, Board of Directors, and compliance team. For both..

Senior Principal Advisor and Counsel, Market Manipulation The candidate will report to the Vice President, Strategic Operations. Assist MMG and MRTS leadership in the oversight of intra-departmental and inter-departmental initiatives, advise ..

... coordinating with U.S. business line compliance officers and business line support ... the U.S. point-of-contact for Global Compliance initiatives as they impact the ... and associated controls. Support Global..

Operational Risk Officer – Control Testing The candidate ... and regulators. Develop and draft compliance testing reports summarizing design review ... experience with a wealth management, broker-dealer, retail and/or private..

Director Compliance The candidate will design and ... and implement an effective, risk-based broker-dealer testing program for Pruco, PIMS ... preventing violations of, and achieving compliance with, applicable securities laws..

Director Compliance The candidate will design and ... and implement an effective, risk-based broker-dealer testing program for Pruco, PIMS ... preventing violations of, and achieving compliance with, applicable securities laws..

Director AML and Financial Crime Compliance The Candidate will be responsible ... CME Group’s global financial crimes compliance program, including further development and ... in a risk-based manner in compliance..

Senior Principal Advisor and Counsel, Market Manipulation The candidate will report to the Vice President, Strategic Operations. Assist MMG and MRTS leadership in the oversight of intra-departmental and inter-departmental initiatives, advise ..

Operational Risk Officer – Control Testing The candidate ... and regulators. Develop and draft compliance testing reports summarizing design review ... experience with a wealth management, broker-dealer, retail and/or private..

ADP is hiring a H&B Broker Channel Sales Representative . Are you ready to control your financial future with unlimited upside earnings potential? Do you want a lasting career with a ..

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Job Information ADP Broker District Manager in New York New York ADP is hiring a  Sales Representative, Major Accounts. Are you ready to control your financial future with unlimited upside earnings ..

Chief Compliance Officer The candidate administers a formal ... The candidate administers a formal compliance program, including updating procedures for ... including updating procedures for enterprise compliance strategy, structure and..

Assistant Vice President -Program Manager The candidate provides full leadership and supervisory responsibility. Provides operational/service leadership and direction to the team(s). Applies in-depth disciplinary knowledge through the provision of value-added perspectives ..

... law enforcement officials, financial institution compliance officers, and more. As an ... laundering and sanctions detection and compliance programs for clients around the ... and delivering training modules Conducting..

GSP- Business Risk Senior Officer - Director the candidate will ... Operations, as well as Legal, Compliance, Finance and Risk to design, ... of experience in audit, legal, compliance, project..

... law enforcement officials, financial institution compliance officers, and more. As an ... laundering and sanctions detection and compliance programs for clients around the ... and delivering training modules Conducting..

... centric advisors aligned to top broker dealer relationships across the industry. You ... resolve inquiries involving advisor compensation, broker dealer or firm level changes, investment ... movement, and Department..

... Information Deloitte Corporate Finance Senior Compliance Analyst in New York New ... York New York Corporate Finance Compliance Senior Analyst Deloitte Corporate Finance ... Finance LLC is seeking a..

Compliance Testing (Broker-Dealer), AVP Responsibilities: Perform compliance testing and monitoring, identify issues, ... discussions. Analyze the entities’ (MSUSA/MCM) compliance status and compliance framework. Review compliance program, participate in Compliance Committee,..

Senior Principal Advisor and Counsel, Market Manipulation The candidate will report to the Vice President, Strategic Operations. Assist MMG and MRTS leadership in the oversight of intra-departmental and inter-departmental initiatives, advise ..