Investment Banking Compliance Officer Jobs in New York

Compliance Officer The candidate will support and ... candidate will support and ensure compliance with applicable rules and regulations ... policies and procedures to ensure compliance. Ensure all affected areas..

Compliance Officer - Deposits The candidate will ... lines of business related to compliance. Perform oversight activities and assume ... and regulations. Assist with regulatory compliance exams. Assist with corporate..

Compliance Sanctions Director (Advisory) – Corporate ... Director (Advisory) – Corporate & Investment Banking The candidate will be serving ... be serving as a senior compliance risk manager for Independent..

... the position of Hearing and Compliance Officer. This is a 10-month, full-time ... starting August 1st. The Hearing Officer is responsible for assisting in ... the student conduct and..

Compliance Officer The candidate will serve as ... and regulations. Assist with regulatory compliance exams. Assist with corporate policy ... experience as a financial services compliance professional, bank regulator or..

REMOTE ASSOCIATE COMPLIANCE OFFICER MORTGAGE BANKING Fusco Personnel is actively recruiting ... actively recruiting for an Associate Compliance Officer to join a growing mortgage ... to join a growing mortgage..

Bank Trust Compliance Officer The candidate oversees the firm's ... The candidate oversees the firm's compliance function, as well as playing ... employees, reviewing and implementing the compliance program, updating..

Chief Ethics and Compliance Officer Responsibilities: Report to the General ... the General Counsel. Lead the compliance team. Develop strategies and lead ... will advise internal stakeholders on compliance with..

Corporate Vice President, Compliance Officer The candidate will assist in ... developing, monitoring, and maintaining effective compliance policies and procedures in accordance ... Assess and test the Firm’s compliance with..

Chief Compliance Officer The candidate will serve as ... will serve as the primary Compliance Team resource for BHS, the ... be responsible for the BHS Compliance control structure. Will..

Fixed Income Compliance Officer The candidate will provide Compliance support for the Rates of Sales & Trading, fixed income components of Bank Resource Management, as well as related support functions. Communicate ..

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..

Security Based Swap Dealer Compliance Officer Duties: Responsible for compliance and regulatory matters relating to ... the BNS Swap Dealer Chief Compliance Officer in the implementation of and ... as..

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..

Chief Compliance Officer/General Counsel The candidate will be ... primary legal counsel and Chief Compliance Officer for the Association and its ... leadership, direction, and integration on compliance-related activities and..

Compliance Officer The candidate will monitor federal ... conduct and evaluate financial aid compliance training programs and materials such ... in the area of regulatory compliance. Act as a resource..

VP Compliance Officer The candidate will be maintaining ... The candidate will be maintaining compliance policies and procedures for assigned ... conducting risk assessments and periodic compliance testing, maintaining oversight..

Corp Legal - Chief Compliance Officer RESPONSIBILITIES: Oversee and continue the ... and continue the development of compliance risk assessments, with an emphasis ... the scope and rigor of compliance..

Compliance Officer HFS for Asset Management The ... and control to the business' compliance risk-taking and risk assessments; assisting ... maintenance, and improvement of the compliance policies, procedures, and processes..

Chief Compliance Officer The candidate will report to ... develop and motivate a small compliance team while providing support to ... work within the legal and compliance team, but within..

Associate Compliance Officer The candidate will direct and ... direct and advise Management of compliance with applicable non-bank mortgage laws ... laws and regulations. Will conduct compliance risk assessments to..

Chief Compliance Officer - Capital Markets The candidate ... and refinement of a comprehensive compliance program. Work with Compliance teams globally and as well ... effort throughout the organization. Coordinate..

Senior Compliance Officer - Regulatory The candidate will ... to the execution of Popular’s Compliance Program, ensuring alignment with Corporate ... Program, ensuring alignment with Corporate compliance and strategic direction..