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Compliance Officer Jobs in New York

Senior Compliance Officer Jobs
By AscendHire At New York City Metropolitan Area, United States
Compensation & Benefits: Competitive salary ($130-$150k DOE) plus bonus and comprehensive Medical, Dental and Vision Programs.
Environment: Hybrid, 2 days in office, 3 days remote
Why Join Them? Thrive with These Benefits:
Grow & Thrive: Enjoy mentorship from industry leaders, continuous learning opportunities, and the space to make a tangible difference every day.
Career Advancement: Opportunities for growth, professional development, and mentoring from senior staff.
Work-Life Balance: Flexible hybrid schedule, 401(K) Program with a robust company match, and annual wellness reimbursements.
Sr. Compliance Officer (Us Banking Regulatory Compliance)
By Right Executive Search, LLC At New York, NY, United States
· Strong written, verbal, and interpersonal skills, including ability to communicate effectively with senior level management.
· Identify and professionally escalate matters requiring management attention.
Remote, East Coast hours (NYC/NJ/PA/FL based) 90% remote
Responsibilities of the Sr. Compliance Officer:
Qualifications of the Senior Compliance Officer:
· Bachelor’s degree in Finance/Banking/Accounting or related field is required.
Compliance Officer Jobs
By Manpower Staffing At New York, United States
1、Bachelor’s degree in law, finance, business management, or a related field.
2、3 – 5 years’ proven experience in AML/CFT industry Good knowledge of compliance requirements and procedures.
5、Advise management on the company’s compliance with laws and regulations through detailed reports.
3、Sound knowledge of banking operation Brilliant oral and written communication skills.
1、Establish and manage an effective legal compliance program.
3、Oversee and manage board and regulatory reporting.
Humanitarian Affairs Officer/Oversight And Compliance, (Tjo).P3 (Temporary Job Opening)
By United Nations OCHA At New York, United States
Maintains a record of ongoing cases of alleged fraud or misuse of funding in the context of Country-Based Humanitarian Pooled Funds.
Organizes and participates in work groups, meetings, conferences, consultations with other agencies and partners on humanitarian and emergency relief-related matters.
Performs other duties as required.
Compliance Officer Jobs
By Comrise At New York City Metropolitan Area, United States
Requirements: Bachelor’s degree in law, finance, business management, or a related field.
3 – 5 years’ proven experience in the AML/CFT industry Good knowledge of compliance requirements and procedures.
Sound knowledge of banking operations Brilliant oral and written communication skills.
Implement and manage an effective legal compliance program.
Create and manage effective action plans in response to audit discoveries and compliance violations.
Highly analytical with strong attention to detail and problem-solving skills
Regulatory Compliance Officer Jobs
By Boulo Solutions At New York, NY, United States
Experience with MS PowerPoint,, Excel, etc, as well as electronic document management systems is helpful.
Oversight and management of typical compliance needs for an investment advisor / fund manager
5+ years of experience with regulatory compliance legal work with investment manager regulatory issues
Strong communication and interpersonal skills will be key to working in this small and dynamic team.
Responsibilities Of The Regulatory Compliance Officer Position
Requirements for the Regulatory Compliance Officer position
Compliance Officer Jobs
By LaSante Health Center At Brooklyn, NY, United States
Performs financial management functions. Develops budgets, monitors revenue and expenses and
Performs personnel management functions for staff. Oversees the interviewing, selection and training
Directs and works with the technology team to implement and manage health information technology,
Develops, implements, evaluates and updates work, business and strategic plans. Coordinates
Serves as the corporate compliance officer for the Community Health Centers. Develops and
As part of the corporate compliance program, oversees the Quality Assurance (QA) Program for the
Compliance Officer Jobs
By Tandym Group At New York, NY, United States
2+ years of regulatory compliance experience with a financial institution / investment management firm or a regulator
General knowledge of regulatory requirements applicable to US investment managers, including the Investment Advisers Act
Ability to manage multiple assignments and transactions simultaneously
Strong communication and interpersonal skills
Assisting with maintenance and organization of compliance books and records and trading agreements
Maintaining various compliance logs and checklists
Compliance Officer – Investment Bank Compliance – Fixed Income Sales & Trading - Assistant Vice President
By Deutsche Bank At New York, NY, United States
A hybrid working model, allowing for in-office / work from home flexibility, generous vacation, personal and volunteer days
Competitive compensation packages including health and wellbeing benefits, retirement savings plans, parental leave, and family building benefits
Educational resources, matching gift and volunteer programs
Moderate securities experience, preferably in a global investment bank or law firm, similar experience with a regulator will also be considered
Excellent communication skills, both written and spoken
Skills That Will Help You Excel
Compliance Officer, Strategy And Projects
By TP ICAP At New York, United States
Support the Global Compliance Manager with the implementation of the Global Compliance strategy, plan and projects within AMER
Excellent planning and execution skills, attention to detail and problem-solving skills
Mange tasks with effective structure and organisation skills and ownership to deliver high quality results
Experience of a Compliance Function and Compliance risks and processes
Experience of an inter-dealer broking business is preferred.
Fulfil additional/ad hoc duties as required to meet the needs of the business
Chief Compliance Officer Jobs
By Hamlyn Williams At Florida, United States
Oversee the management of all compliance related issues
Prepare and present regulatory reports, annual compliance testing and remediation reports to senior management and the Board of Directors as appropriate
10+ years of regulatory compliance experience
Former regulatory experience from the NFA or CFTC
Lead the FCM Global Compliance Team
Become a dedicated resource to our business and product, with a focus on driving regulatory strategy and engagement
Officer - Technology Risk & Compliance Analyst (Hybrid)
By Citi At , New York, Ny $40,560 - $145,580 a year
Act as a Queue Manager who monitors the smooth execution of request submitted in the centralized tool (CAP-RE Center).
Follow up with Application Managers to get clarifications required to process a request.
Follow up Senior Managers to provide approvals required to process a request.
0-2+ years of experience in an enterprise environment.
Demonstrated problem-solving and decision-making skills
Ability to work under pressure and manage deadlines
Unsecured Lending Compliance Officer, Director
By SoFi At New York, NY, United States
Management/Leadership experience related to compliance processes and activities common to mid to large banking organizations.
Project planning and management including implementing regulatory change events.
Professional certification such as Certified Regulatory Compliance Manager (CRCM) is preferred.
Management/leadership in audit and regulatory exams.
Minimum of 10 years of relevant experience in unsecured lending product compliance or as a federal regulator.
Ability to build effective relationships with a proven record of building trust and credibility through strong interpersonal skills, communications, and actions.
Compliance Officer, Strategy & Projects
By Madison-Davis, LLC At New York City Metropolitan Area, United States

Broker dealer located in Downtown Manhattan looking to bring on board a “Compliance Officer, Strategy & Projects” to join their team. This role is currently in a hybrid schedule (3 days in the ...

Compliance And Bsa Officer
By Climate First Bank At Florida, United States
Communication and writing skills are critical.
We are changing FINANCE to finance CHANGE!
Maintain a comprehensive training program that addresses Bank policies and procedures, as well as applicable federal and state laws and regulations.
Coordinate with federal and state regulatory examiners during BSA and compliance examinations, and function as the primary examination contact.
Maintain and revise, as necessary, the Bank's compliance program.
Present regular reports to the Board of Directors concerning the Bank's current record of BSA and compliance.
Chief Compliance Officer Jobs
By Larson Maddox At New York City Metropolitan Area, United States
10+ years of asset management/ investment management compliance experience
Knowledge of structured credit preferred.
Experience with private and public markets
JD or advanced degree a plus!
Chief Compliance Officer Jobs
By questW At New York, NY, United States
• Overseeing the preparation and submission of regulatory filings and reports for US Asset Management business.
• Ensuring that businesses are effectively trained on regulatory and compliance related matters and requirements.
• 15+ years experience in Compliance, Legal and Regulatory in a Financial Services environment.
• Experience with Charles River Portfolio Compliance system or similar
• Provide compliance advice on complex financial transactions.
• Assume overall accountability for interfacing with key regulators
Corporate Compliance Officer Jobs
By Rendr At New York, United States
On an ongoing basis, working with management to assess and remediate risks to the Company.
Develop and monitor, in conjunction with management, any corrective action plans;
The Compliance Office will serve as the Chair of the Company’s Senior Management Compliance Committee;
Assisting supervisory personnel in development and oversight of appropriate training and internal educational materials;
Reporting to/advising the Board of Managers on compliance-related matters;
Through appropriate designees, receive and manage compliance reports;
Securities Issuance Compliance Officer Vice President
By Barclays At , New York, 10019, Ny $145,000 - $186,000 a year
Experience with discussing contentious observations with management and recommending necessary actions
Professional qualification in Compliance or Conduct Assurance / Financial Crime management role
Using your industry knowledge to influence the frameworks and practices in place to mitigate issuance risks
Exceptional analytical skills/mind with ability to deliver high quality work in a timely and structured manner
Technical compliance knowledge and the application of FCA or comparable rules and guidance in relation to relevant Barclays’ Businesses
Skills that will help you in the role:

Are you looking for an exciting opportunity to help ensure compliance with laws and regulations? We are looking for a Compliance Officer to join our team and help us protect our organization from legal and financial risks. You will be responsible for monitoring and enforcing compliance with applicable laws and regulations, as well as developing and implementing policies and procedures to ensure compliance. If you are a detail-oriented professional with excellent communication and problem-solving skills, this could be the perfect job for you!

A Compliance Officer is responsible for ensuring that a company or organization complies with all applicable laws and regulations. They are responsible for developing and implementing policies and procedures to ensure compliance, monitoring activities to ensure compliance, and providing guidance and advice on compliance issues.

What is Compliance Officer Skills Required?

• Knowledge of applicable laws and regulations
• Analytical and problem-solving skills
• Attention to detail
• Excellent communication and interpersonal skills
• Ability to work independently and as part of a team
• Ability to manage multiple tasks and prioritize

What is Compliance Officer Qualifications?

• Bachelor’s degree in business, finance, law, or a related field
• Relevant certifications or licenses, such as Certified Regulatory Compliance Manager (CRCM)
• Relevant experience in compliance, risk management, or a related field

What is Compliance Officer Knowledge?

• Knowledge of applicable laws and regulations
• Knowledge of risk management principles
• Knowledge of corporate governance principles
• Knowledge of financial and accounting principles

What is Compliance Officer Experience?

• Relevant experience in compliance, risk management, or a related field
• Experience in developing and implementing policies and procedures
• Experience in monitoring activities to ensure compliance

What is Compliance Officer Responsibilities?

• Develop and implement policies and procedures to ensure