Compliance Officer
Haitong International Securities Group
We are always looking for talented professionals to join us in the path towards success. Summary The Compliance Officer will assist with the monitoring and administration of the Firm’s Compliance and AML programs to ensure accordance with regulatory requirements. Primary Functions and Essential Responsibilities Assist in the administration of the Firm’s Compliance and AML programs. Assist with the administration of the Firm’s Code of Ethics and Code of Business Conduct, including but not limited to the review & maintenance of staff personal dealing accounts, including related documentation, restricted lists, and trade pre-clearance, management of staff compliance training & certifications, and monitoring outside business activities. KYC & AML review of customer accounts upon new account opening and periodically as necessary. Assist with broker-dealer licensing and registrations including processing U4/U5 submissions and amendments. Assist in ensuring the timely and accurate filing of regulatory reports for the broker-dealer. Help evaluate the adequacy and effectiveness of policies, procedures and internal controls. Investigate compliance issues as needed and report findings back to Compliance and senior management. Perform general compliance and AML related functions as instructed, participate in compliance related projects, complete internal filings and reports, and any ad hoc requests. Run required reports in a timely manner i.e. FINRA Reports, OFAC Reports, FinCen Reporting, etc. Maintain professional growth and development through seminars, workshops and professional affiliations to keep abreast of the latest developments in broker-dealer related compliance areas. #J-18808-Ljbffr
Vacancy posted 1 day ago
Similar jobs that could be interesting for youBased on the Compliance Officer in New York, NY vacancy
- ...Senior Safety and Compliance Officer The Senior Safety and Compliance Officer (SSCO) is a leadership position responsible for staff supervision and oversight of all chemical and laboratory safety programs within the Office of Research Safety-Chemical (ORSC). The ORSC...SuggestedWork at officeLocal area
University of Georgia
Brooklyn, NY1 day ago $90 - $150 per hour
...our investors include Benchmark , General Catalyst , Peter Thiel , Adam D'Angelo , Larry Summers , and Jack Dorsey . Position: Compliance Officer Type: Contract Compensation: $90–$150/hour Location: Remote Duration: 3–4 weeks Commitment: 15–30+ hours/week Role...SuggestedContract workSummer workImmediate startRemote workMercor Inc
New York, NY4 days ago$71k - $125k
...Location: 4910 Tiedeman Road, Brooklyn Ohio About the Job The Home Lending Compliance Officer will be a member of the Home Lending Compliance team within Compliance Risk Management. They will provide support to the Mortgage and Home Equity Origination lines of business...SuggestedWork at officeFlexible hoursDormont Manufacturing Company
New York, NY4 days ago$140k - $185k
...Compliance Officer – Career Launch AI Talent Network Location: New York, NY Estimated Compensation: $140,000 – $185,000 total annual compensation (varies by employer) About This Posting This job description represents a sample Compliance Officer position commonly found...SuggestedTEEMA Solutions Group
New York, NY1 day ago- ...like the idea of working for an ambitious and growing company, as part of a multicultural team, we are the place for you. Role: Compliance Officer Role Location: Valencia Employment Type: Permanent Role summary: As a Compliance Officer at Apex Group, this role acts as a...SuggestedPermanent employmentWork experience placementLocal area
Dormont Manufacturing Company
New York, NY3 days ago $225k - $260k
...What You Will Do: Offer strategic regulatory and compliance counsel to business and functional partners including People and Culture... ...Leadership: Act as a senior advisor to the Chief Compliance Officer. Support the Chief Compliance Officer in delivering...Work at officeSocotra, Inc.
Jersey City, NJ3 days ago$120k - $220k
...ABOUT THE ROLE The CFM Legal & Compliance team supports a broad range of business activities across global financial markets and works... ...regulatory and compliance matters. We are looking for a Compliance Officer to support our North American activities in a role that...Work at officeLocal areaCapital Fund Management
New York, NY2 days ago$145k - $160k
...presentations, develop sophisticated regulatory expertise across banking compliance domains, and build executive communication skills that... ...who matter most: Department Heads, the Chief Compliance Officer, and the Executive Committee. Your insights shape strategy, influence...- ...skills, experience, and relevant education or training. Summary Under the direction of the Trade Compliance Leadership, the primary responsibility of the Trade Compliance Officer is to be a strong individual contributor to the AeroVironment organization. Responsible for...Full timeContract workFor contractorsWork at officeRemote work
Columbus Sverige
New York, NY4 days ago - ...Position Title BSA Compliance Officer Position Summary The BSA Compliance Officer is a leadership role with direct reports, reporting to the Vice President of Fraud Operations and BSA. This position is responsible for developing, implementing, testing, and administering...Work at office
Dormont Manufacturing Company
New York, NY4 days ago - ...wellbeing benefits Parental Leave benefits Employee stock purchase plan Job Description About the Department: The Office of the CCO is an Advisory Compliance function that supports the Americas region with compliance strategic initiatives, sub-advised client oversight,...Full timePart timeWork at officeFlexible hours
Dormont Manufacturing Company
New York, NY1 day ago $220k - $270k
Head of Monitoring & Surveillance Compliance Officer - Director, CA CIB Americas (New York, NY) Summary: The Head of Monitoring and Surveillance Americas will oversee the electronic and voice communications of the Firm's employees, in addition to trade surveillance review...Work at office- ...Senior Compliance Officer/Deputy CCO to become CCO (New York, NY): Our client, a growing hedge fund focused looking to hire a Senior Compliance Officer or Deputy CCO. This individual will work closely with senior leadership and take on broad responsibility across the...Work at officeWork from home
Landing Point
New York, NY1 day ago - ...Senior Compliance Officer – Investec USA Investec USA's Compliance Advisory function is based in our New York office and supports multiple business lines, with a primary focus on a registered broker‑dealer. You will be a key member of a compliance team, reporting to the...Work at office
INVESTEC SERVICES INC
New York, NY1 day ago - ...trading firm is looking for an experienced, Senior Compiance Officer to join their growing team. The SeniorCompliance Officer will... ...equities trading and sales teams, ensuring a strong culture of compliance across the firm. This role will require 5 days a week onsite in...
Larson Maddox
New York, NY3 days ago - .... The role will report directly into the CCO and cover Central Compliance function for the firm including Marketing and Advertising Compliance... ...preferred. BA Required JD/MBA a plus but not required. This is an in-office role based in Midtown Manhattan. #J-18808-Ljbffr...Work at office
TBG | The Bachrach Group
New York, NY5 days ago $160k - $175k
...Senior Compliance Officer II US B Regulatory Compliance We are looking for a Senior Compliance Officer to join our Compliance Team. The role may be based in New York, NY or Miami Lakes, FL. The right candidate will support the consumer regulatory compliance functions...Full timeTemporary workPart timeSeasonal workWork at officeFlexible hoursPopular
New York, NY1 day ago$160k - $212k
...solutions that help businesses achieve their ambitions faster. FEC Counsel Our fast-paced FEC Governance Team (part of the wider AML Compliance Team) is looking for a FEC Counsel with solid experience in Financial Economic Crime (FEC) matters. The FEC Governance Team is...Full timeRelocationAdyen
New York, NY5 days ago- ...Our client, a global investment platform , is seeking a senior compliance professional to support a growing private credit strategy . This is a high-impact, front-facing role working directly with investment professionals in a fast-paced, transaction-oriented environment...
Taylor Root
New York, NY1 day ago $180k - $215k
...Trade Compliance Officer Location New York Business Area Legal, Compliance, and Risk Ref # 10052303 Description & Requirements Title: Compliance Officer – Americas Trade Compliance Location: New York Business Area: Legal, Compliance, and Risk Bloomberg’s Legal & Compliance...Temporary workFor contractorsWork experience placementWork at officeLocal areaBloomberg
New York, NY2 days ago$102k - $171.5k
...hackajob is collaborating with BNY to connect them with exceptional professionals for this role. Senior Compliance Officer At BNY, our culture allows us to run our company better and enables employees’ growth and success. As a leading global financial services...Temporary workWorldwideFlexible hoursBNY
Jersey City, NJ9 days ago- ...ubiquitous beacon of truth in global media and we need your help adding fuel to the fire. About The Role Polymarket is hiring an AML Compliance Officer to oversee and implement our Anti-Money Laundering (AML) and Counter-Terrorist Financing (CTF) compliance program. This role...Contract work
Polymarket
New York, NY2 days ago $75k - $85k
...Oppenheimer & Co Inc is seeking a KYC Officer for their Compliance Team in New York. The role involves reviewing KYC submissions, managing client information, and ensuring regulatory compliance. The ideal candidate will possess a Bachelor's Degree, experience with KYC...Oppenheimer & Co.
New York, NY4 days ago$65k - $72k
...agencies, PBMs, and health plans Maintain accurate and up-to-date credentialing records, including licenses, accreditations, and compliance documentation Monitor payer and Medicaid communications, identifying and executing on required actions Track credentialing...Contract workRemote workFlexible hoursCrawford Thomas Recruiting
New York, NY1 day ago- Job Title: Compliance Officer Division: BMS Capital Solutions & Advisory Reports To: Chief Executive Officer, BMS Capital Solutions & Advisory Location: United States Experience: 10+ Years Required Licenses: FINRA Series 7 & Series 24 Education: Juris Doctor (JD)...
- ...supporting the team in obtaining necessary verifications, and ensuring compliance with internal standards. The ideal candidate will have 2-3... ..., strong organizational skills, and proficiency in Microsoft Office. This is a vital position contributing to the efficiency of...Work at officeRemote work
SEVARO
New York, NY3 days ago $141k - $247k
...Itlearn360 is seeking an Officer for BSA/AML Compliance based in New York, NY. The ideal candidate will serve as a subject matter expert and manage BSA/AML compliance programs aligned with the company's risk profile. This full-time role offers a salary range of $141,0...Full timeItlearn360
New York, NY5 days ago- Compliance Officer Job Summary: The Compliance Officer will ensure that the company operates within the regulatory framework and adheres to legal and ethical standards. This role involves developing, implementing, and monitoring compliance programs, conducting audits,...
- ...professionals; conducts third‑party EEO investigations; promotes compliance with training programs and reporting requirements; and designs... ...related topics. Work collaboratively with the General Counsels Office and Human Capital Division on compliance related to workforce...Work experience placementInternshipWork at officeLocal areaShift work
- Invesco is seeking a Senior Compliance Officer to oversee compliance for their Americas business. This role will assist in ensuring compliance with regulatory requirements across various account types, including mutual funds and institutional mandates. The ideal candidate...Full time
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Compliance Officer. Be the first to apply!
Related searches
- financial compliance analyst New York, NY
- senior regulatory affairs specialist New York, NY
- regulatory affairs consultant New York, NY
- regulatory compliance specialist New York, NY
- trade compliance specialist New York, NY
- legal compliance analyst New York, NY
- human resources compliance specialist New York, NY
- research compliance officer New York, NY
- regulatory specialist New York, NY
- coding compliance specialist New York, NY