Senior Compliance Officer — Risk, Audits & Policy
Avert Staffing
A compliance-focused staffing agency in New York is seeking a Compliance Officer to ensure adherence to regulatory standards. Responsibilities include developing compliance programs, conducting audits, and providing training. The ideal candidate has a Bachelor's degree and 4-10 years of compliance experience. This role requires strong analytical and communication skills, as well as regulatory knowledge. #J-18808-Ljbffr Avert Staffing
$115k - $130k
Senior Security Compliance Analyst (Remote - US) Senior Security Compliance Analyst... ...Sales, and HR to manage audit cycles, assess risk, and strengthen security... ...control assessments, policy reviews, and risk-based walkthroughs... ...Director, Compliance Officer We’re unlocking community...SeniorPolicyRiskRemote jobFull timeWorldwideFlexible hours$141k - $247k
...Itlearn360 is seeking an Officer for BSA/AML Compliance based in New York, NY. The ideal candidate will... ...programs aligned with the company's risk profile. This full-time role offers a... .... Responsibilities include enhancing policies for Know Your Customer and monitoring...SeniorPolicyRiskFull time- ...global investment platform , is seeking a senior compliance professional to support a growing... ...documentation for regulatory and internal policy compliance Oversee compliance for a registered... ...transactions and provide practical, risk-based guidance Experience advising on conflicts...SeniorPolicyRisk
- ...Senior Compliance Officer/Deputy CCO to become CCO (New York, NY): Our client, a... ...depending on experience WFH policy: 4 days in the office Key Responsibilities... ...reviews, testing, risk assessments, and policy... ...diligence requests, and internal audits Help maintain written...SeniorPolicyRiskWork at officeWork from home
$125k - $222.5k
...Title Private Bank Americas – Senior Compliance Officer Corporate Title Vice... ...applicable laws, regulations, firm policies, and procedures You will... ..., partnering with Business Risk to support regulatory change... ...working closely with Legal, Audit, Divisional Control, and...SeniorPolicyRiskFull timeWork at officeWork from home- ...Senior Compliance Officer – Investec USA Investec USA's Compliance Advisory function... ...day‑to‑day regulatory and policy advice to business lines, including... ...internal and external audits of the Firm, ensuring... ...prioritise regulatory and compliance risks across covered business...SeniorPolicyRiskWork at office
- ...About the Department: The Office of the CCO is an Advisory Compliance function that supports... ...client oversight, product risk and other compliance functions... .... About the role: The Senior Compliance Officer... ...reporting, trade surveillance, policy and procedure review, and...SeniorPolicyRiskFull timePart timeWork at officeFlexible hours
$160k - $212k
...part of the wider AML Compliance Team) is looking for a... ...and enhancing the FEC policies and procedures, and conducting... ...‑wide integrity risk assessment across the... ...external and internal audits, and interactions with... ...across levels of seniority, cultures, and backgrounds...SeniorPolicyRiskFull timeRelocation$175k
Investec is hiring a Senior Compliance Officer based in New York to provide regulatory and policy guidance. This role involves managing regulatory risks and compliance across multiple business lines in a dynamic environment. The successful candidate will work directly with...SeniorPolicyRiskRemote jobWork at office- ...that has recently established a new Compliance Regulatory Initiatives team within its... ...are looking to add a Compliance Officer to support firmwide policy, procedure, and regulatory governance... ...closely with global compliance, legal, risk, and business stakeholders to...SeniorPolicyRisk
$160k - $175k
...Senior Compliance Officer II US B Regulatory Compliance We are looking for a Senior... ...direction and recommend policy and/or actions based on internal... ...to manage compliance risks. Serve as the subject matter... ...examinations, and/or compliance audits or reviews. Review marketing...SeniorPolicyRiskFull timeTemporary workPart timeSeasonal workWork at officeFlexible hours- ...motivated individual to join our team as a Senior Fixed Income Compliance Officer. In this role the individual will... ...requirements and internal policies. The position requires deep product... ...office stakeholders, manage regulatory risk, support surveillance and control frameworks...SeniorPolicyRisk
- ...global financial services firm seeking a Senior Equities Compliance Officer to provide regulatory advisory... ...on regulatory requirements and firm policies Provide guidance on new products, trading... ...to identify and mitigate compliance risks Support regulatory examinations,...SeniorPolicyRisk
$175k - $200k
...maintain, and enhance compliance policies and written supervisory... ...relationships with senior business leaders, serving... ...and transactional risk. Advise on cross-border... ...Support regulatory exams, audits or testing inquiries... ...partner closely with front-office and senior...SeniorPolicyRisk- Security Based Swap Dealer Senior Compliance Officer Serve as the leader in all aspects of compliance... ...updates, ensure adequate policies and procedures are in place,... ...Collaborate with other departments (e.g., Risk Management, Internal Audit, Human Resources) to direct...SeniorPolicyRiskFull time
- Compliance - Senior Compliance Officer - New Jersey New Jersey About us: Founded in 2015,... ...across pricing, structuring, risk, systems, and regulation.... ...in practice controls, policies, procedures, and thought leadership... ...responses, examinations, audits, and supervisory...SeniorPolicyRiskLocal areaShift work
$150k - $180k
Senior Compliance Officer - FCM Advisor - VN2537 New York, NY Full-Time Compliance Diversified... ...transactions, conduct regular audits, train employees on regulatory requirements, and implement policies and procedures to minimize non‑compliance risks. Compliance efforts are...SeniorPolicyRiskFull timeWork at officeImmediate start- Senior Compliance Officer, Investments Compliance page is loaded## Senior Compliance... ...the firm (Legal, SOX/Audit, Investment Accounting, Technology, Operations, and Risk) to advance the control framework... ...Review and update compliance policies and procedures.* Provide...SeniorPolicyRiskWork at office
- ...Model Risk Management – Program Management... ...Management and Compliance, ensuring the firm... ...role in regulatory, audit, and critical capital... ...with the MRGR policy and MRGR product/technology... ...help Model Risk Officers with... ...etc. Engage with senior leaders, development...SeniorPolicyRisk
- ...is currently seeking a Senior Associate in Financial... ...potential liabilities and risks which impact valuation... ..., advisory, financial audit, or transaction experience... ...regarding KPMG's compliance with federal, state and... ...abilities to adhere to company policies, exercise sound...SeniorPolicyRiskFull timeH1bLocal area
- ...and premiums. Quality control of all new and renewal policies, as well as endorsements. Audit policies for accuracy and completeness of information... ...complete your daily duties. Evaluate, analyze, and assess the risk to determine coverage eligibility and premiums. Using...SeniorPolicyRisk
- ...are seeking a seasoned Risk Management professional... ...across functions. This is a senior role requiring... ...enterprise risk management policies and regulatory expectations... ...breakdowns, and compliance gaps Conduct root cause... ..., risk committees, and audits Ensure proper documentation...SeniorPolicyRisk
$160k
...Overview Senior Insurance Risk Management Associate, Remote New York City Area... ..., reviewing insurance policies, analysis of statistical data... ...to providing all aspects of compliance or risk management for commercial... ..., marketing, underwriting, audits, new coverage initiatives,...SeniorPolicyRiskContract workRemote work$100k - $115k
Barnes & Noble Booksellers, Inc. is seeking a Senior Internal Auditor to execute risk-based internal audits and evaluate the effectiveness of internal... ...gaps and recommend improvements while ensuring compliance with policies and regulations. Candidates should have a Bachelor...SeniorPolicyRisk$95k - $120k
NACBA is seeking a Senior Auditor for its US Internal Audit Team. This role involves conducting risk-focused audits, advising on the design of internal controls, and promoting compliance with policies and legislation. The successful candidate will have experience in Capital...SeniorPolicyRisk$102k - $203k
...professionals for this role. Senior Vice President, Auditor, Credit Risk At BNY, our culture... ...Credit Risk Management Audit team. This role is... ...aligned to Internal Audit policies, methodologies, and standards... ...monitoring. Embrace in‑office collaboration four days...SeniorPolicyRiskTemporary workWork at officeWorldwideFlexible hours$35k - $48k
...Citizenship: Required Summary Junior Compliance Officer (Operations, Jr. Analyst) –... ...law enforcement client with audit support services and... ...all applicable DHS and ICE policies, privacy, records management... ...maintain a DHS/ICE Tier 4 High Risk Public Trust fitness...PolicyRiskFull timeContract workFor contractorsWork at officeRemote workWeekend work$40 - $60 per hour
...A leading compliance firm is looking for a Sr. Business Process Management Specialist... ...in quality management, internal auditing, or business process engineering.... ...include reviewing processes for risks and ensuring compliance with company policies. This contract position offers an...SeniorPolicyRiskHourly payContract workRemote work- ...expertise to JPMorgan Chase. As part of Risk Management and Compliance, you are at the center of keeping... ...in class. As a Surveillance Officer Senior Associate supporting the Compliance... ...strategies, product lines, policies, training, operational processes,...SeniorPolicyRiskFull timeFlexible hours
$120.75k - $243.92k
...seeking a Manager or Senior Manager, Financial... ...manage risk associated with engagements... ...advisory, audit) to deliver integrated... ...disciplinary teams across offices and service lines... ...regarding KPMG's compliance with federal,... ...adhere to company policies, exercise sound judgment...SeniorPolicyRiskFull timeLocal area
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