Jobs near New York: 21,678
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Relevance Score ranked on: COMPLIANCE OFFICER
Compliance, Policy Governance - Senior Compliance Officer, Vice President
New York
Global Compliance Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance. Compliance accomplishes these through the firm’s enterprise-wide compliance risk management program. As an independent ...
Search Terms: Compliance, Compliance Officer, Policy, Vice President, Officer
85.1
4mi
Updated: August 23
Compliance Officer, FIC Advisory
New York
Provide on desk Compliance coverage for all Americas based FIC Portfolio Manager Teams. Provide Compliance coverage for relevant regulatory examinations, internal investigations, regulatory inquiries, and internal and external audits and inspections. Provide support for reviewing of position limits. ...
Search Terms: Compliance Officer, Advisor, Officer, Compliance, Portfolio Manager
85
4mi
Updated: August 22
Chief Compliance Officer & Associate General Counsel, Mutual Funds
New York
Search Terms: Compliance Officer, General Counsel, Associate, Officer, Mutual Fund
85
4mi
Updated: August 21
Vice President, Capital Markets Compliance Officer
New York
Assist with the design and execution of regulatory compliance testing for Capital Markets business; test compliance with policies and standards and identify key risk control gaps and deficiencies Work with the business supervision team to ensure all applicable rules and the products supported are ide...
Search Terms: Capital Markets, Compliance Officer, Vice President, Compliance, Officer
84.8
4mi
Updated: August 16
Public Finance Compliance Officer
New York
Lead the implementation and direct an effective compliance risk management program that sets forth the framework through which the in-scope businesses and functions of Truist Financial Corporation, Truist Bank and their subsidiaries and affiliates shall be overseen to reasonably ensure compliance acr...
Search Terms: Compliance Officer, Finance, Officer, Compliance, Compliance Manager
84.7
4mi
Updated: August 13
Core Compliance Officer
New York
Executing frequent compliance controls across key areas of the compliance program to meet our regulatory requirements. Managing and escalating key findings and areas of improvement to members of senior management within compliance Monitoring and overseeing the completion of periodic key risk and perf...
Search Terms: Compliance Officer, Compliance, Officer, Trade, Asset Manager
84.7
4mi
Updated: August 13
Broker Dealer Chief Compliance Officer
New York
As the broker-dealer CCO, the successful candidate will maintain and establish standards and implement procedures to ensure that the broker-dealer compliance program remains effective and efficient in identifying, preventing, detecting and remediating regulatory issues. Oversee the broker-dealer comp...
Search Terms: Compliance Officer, Dealer, Broker, Compliance, Officer
84.6
4mi
Updated: August 10
Compliance, US Bank Regulatory Engagement, Senior Compliance Officer
New York
Our Team Goldman Sachs’ US Banking Regulatory Engagement team coordinates engagement with the firm’s US Banking regulators, including the Federal Reserve Bank of New York, New York Department of Financial Services, Federal Deposit Insurance Corporation and Consumer Financial Protection Bureau. The te...
Search Terms: Compliance Officer, Compliance, Regulatory, Engagement, Officer
84.4
4mi
Updated: August 06
Compliance Advisor Senior Manager
New York
NYC 299 Park Avenue (22957), United States of America, New York, New York. Compliance Advisor Senior Manager. The Compliance Advisor Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer. This role will support three institutional FINRA registered broker dealers...
Search Terms: Manager, Advisor, Compliance Officer, Senior, Compliance
82.9
4mi
Updated: August 30
Compliance Specialist
Hackensack
A day in the life of a Compliance Specialist at Hackensack Meridian Health includes:Investigates, responds to and communicates information regarding, documentation, coding, billing compliance and reimbursement. Facilitates the review of timely, accurate and complete documentation. Assists in identify...
Search Terms: Compliance Specialist, Compliance Officer, Specialist, Compliance, Healthcare
74.7
8mi
Updated: August 30
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