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
- ...Points Lead impactful compliance operations in a... ...Collaborate with senior leadership on strategic... ...Fund Compliance Officer / Legal Counsel... ...regulatory matters, audits, and examinations,... ..., ensuring risk mitigation.Manage... ...inquiries.Oversee policies and procedures related...SeniorPolicyRiskContract work
$125k - $222.5k
...Title Private Bank Americas - Senior Compliance Officer Corporate Title Vice... ...applicable laws, regulations, firm policies, and procedures You will... ...requirements, partnering with Business Risk to support regulatory change... ...working closely with Legal, Audit, Divisional Control, and...SeniorPolicyRiskWork at officeWork from home$81.4k - $151.8k
...6 Address 151 W 42nd Street Job Family Group Audit, Risk & Compliance The Capital Markets Senior Compliance Officer will assist in the effective implementation, maintenance... ...management on implications of new regulatory policies or Bank products and assists in the...SeniorPolicyRiskLocal area$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$175k
Reference: 13578Senior Compliance Officer, Investec USAInvestec... ...to-day regulatory and policy advice to business lines... ...a trusted advisor to senior stakeholders,... ...internal and external audits of the Firm, ensuring... ...regulatory and compliance risks across covered business...SeniorPolicyRiskFull timeWork at officeRemote work$163k - $204k
...managers. The Investments Compliance team provides... ...with the Chief Compliance Officer in the day-to-day execution... ...throughout the firm (Legal, SOX/Audit, Investment Accounting,... ..., Operations, and Risk) to advance the control... ...and update compliance policies and procedures.Provide...SeniorPolicyRiskFull timeWork at office$150k - $200k
...support the firm's compliance program across... ...requirements and internal policies. This role will... ...compliance risks while supporting the... ...inquiries, and internal audits.What will help you... ...of our following offices 3 days/week.Boston... ...bonus.#MID_SENIOR_LEVELAt Franklin Templeton...SeniorPolicyRiskFull timeLocal area3 days per week$104k - $177k
...team member for the role of Senior Vice President, Consumer Compliance Officer - Global Payments & Trade. to join our Risk & Compliance team. This... ...and payments regulations and policy, inclusive of Regulation E,... ...by regulatory agencies or audit. The candidate must be comfortable...SeniorPolicyRiskTemporary workWorldwideFlexible hours- ...partners by delivering practical, risk-informed guidance that... ...while appropriately managing compliance risk. Build a deep understanding... ...risks and translate policy requirements into practical guidance... ...experience as an HCC or GCC officer/manager preferred. Demonstration...SeniorPolicyRisk
- FalconX in New York is seeking a Compliance Officer to oversee Swap Dealer & Security-Based... ...to applicable laws. You will design policies, conduct risk assessments, and lead training to foster... ..., monitor activities, and report to senior management, while staying ahead of...SeniorPolicyRisk
$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 - $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- ...Job Title Senior Compliance Officer Contract Type Permanent Location Houston Job... ...responsibility for administering the policies, procedures, and controls... ..., analyzing, and mitigating risk, ensuring adherence to anti-... ...Legal, Finance or Internal Audit) that arise related to the...SeniorPolicyRiskPermanent employmentContract workRemote work
- ...broker dealer is seeking an experienced Senior Compliance Officer to support the firm's compliance... ...partners closely with Trading, Operations, Risk, Technology, and senior management... ...with regulatory examinations, audits, and policy development. Qualifications 7+ years...SeniorPolicyRisk
- ...motivated individual to join our team as a Senior Compliance Officer. In this role, the individual will... ...regulatory requirements and internal policies. The position requires strong product... ...office stakeholders, manage regulatory risk, support surveillance and control frameworks...SeniorPolicyRisk
- Senior Compliance Officer/Deputy CCO to become CCO (New York, NY): Our client, a growing... ...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
$160k - $175k
...Workplace Type: Hybrid Senior Compliance Officer II US B Regulatory Compliance... ...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 officeImmediate startFlexible hours$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
$125k - $175k
Purpose of Role Marex is recruiting a Surveillance Compliance Officer to join the team at our New York office. The role focuses... ...applicable exchanges. Adhere to the operational risk framework and company policies, model highest standards of integrity and conduct, and...SeniorPolicyRiskWork at office$125k - $175k
...managers. With more than 35 offices around the globe, and... ...for a Surveillance Compliance officer to join the team... ..., conduct regular audits, train employees on regulatory... ..., and implement policies and procedures to minimize non-compliance risks. Compliance efforts are...SeniorPolicyRiskWork at officeImmediate start- ...Senior Auditor New York, NY Responsibilities Lead audit engagements from planning through completion for a variety... ...throughout engagements. Perform risk assessments and develop audit... ...staff to ensure accuracy and compliance with firm policies. Conduct analytical...SeniorPolicyRisk
- ...BNY is seeking a Senior Vice President, Methodology to lead our Internal Audit team in New York, NY or Pittsburgh, PA. The role... ...strategy through methodology, policy design, and testing approaches.... ...leadership and global teams to enhance risk coverage. A strong background in...SeniorPolicyRisk
- ...and prevent fraudulent, suspicious, or erroneous activity.Conduct ACH risk assessments and audits to evaluate the bank's compliance with the ACH rules and regulations, as well as internal policies and procedures.Apply ACH risk management and mitigation strategies, policies...SeniorPolicyRiskHourly payBank staff
$75 per hour
Third Party Risk Management - Senior Specialist This is a hybrid role. Candidates can be located... ...lifecycle oversight Support TPRM policies, standards, controls, and program... ...third-party risk, enterprise risk, compliance, audit, or operational risk ~ Working knowledge...SeniorPolicyRiskFor contractors- ...York/Raleigh seeks a Credit Officer for Hedge Fund Credit Risk Control, focusing on... ...counterparties. The role partners with senior stakeholders to ensure... ...to regulatory and audit matters. You will review transactions... ...standards and corporate policies. #J-18808-Ljbffr CFA...SeniorPolicyRisk
$200k - $285k
...group. They seek a Senior Director to join... ...their Manhattan, NY office.... ...establishing enterprise-wide policies, controls, and decision... ...identify material risks and optimize value... ...tax strategy and compliance for the U.S. consolidated... ...filings; manage audits and regulatory...SeniorPolicyRiskWork at officeImmediate startRemote work$102.6k - $179.25k
About the Role:As a Senior IT Security Analyst, you will... ...Lead detailed security audits and forensic... ...Develop and enforce security policies, procedures, and guidelines... ....• Conduct security risk assessments and mitigation... ...at a Wolters Kluwer office as part of the recruitment...SeniorPolicyRiskFull timeWork at office- ...regarded Bank is seeking a Senior Compliance Officer to will support the consumer... ...with internal compliance policies and strategic outlook. Serve... ...controls to mitigate compliance risks. Serve as SME on all... ...compliance examinations , audits or reviews. Review marketing...PolicyRisk
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