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
- articipate 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.
Vacancy posted 2 days ago
Similar jobs that could be interesting for youBased on the Compliance Officer in New York, NY vacancy
$110k - $130k
...We are looking for a Compliance Officer to join our Legal & Compliance team. In this role, you will help support and maintain Vise’s compliance program, ensuring we meet our regulatory obligations while enabling our business to grow. You’ll report directly to the Chief...SuggestedWork at officeVISE Inc
New York, NY4 days ago$80k - $130k
...investment results and shaping a workplace where diverse perspectives and independent thought drive better outcomes for clients. The Compliance Officer will work regularly with the CCO–Fixed Income and other compliance and legal staff in developing and implementing policies...SuggestedLocal areaWorldwideShift workNeuberger Berman
New York, NY1 day ago$90 - $150 per hour
...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/...SuggestedContract workSummer workImmediate startRemote workMercor Inc
New York, NY1 day ago- ...Position: Compliance Officer Reports to: Group Chief Compliance Officer Location: New York City, USA Overview - About MillTech MillTech provides advanced FX Hedging and Cash Investment solutions to increase market access, reduce costs and automate manual...SuggestedWork at officeRemote workFlexible hours
Mill Tech
New York, NY2 days ago - ...Compliance Officer (New York, NY): Our client, an established institutional alternative investment manager, is looking to add a Compliance Officer to its New York team. This is a broad-based role with significant exposure across the U.S. compliance program, including...SuggestedWork at office
Landing Point
New York, NY1 day ago $165k - $275k
...We're seeking someone to join our team as a Regional Compliance Officer in WM Field Compliance to engage directly with the in an advisory capacity with the Wealth Management Northeast Regional team and using various data collected across the Firm, to aid in the identification...Temporary workWork experience placementMorgan Stanley
New York, NY2 days ago- ...Job Description The Compliance Officer will work closely with the members of a team focusing on regulatory compliance issues with respect to marketing and other investor/third party materials and communications. The Compliance Officer will serve as the primary day...Work experience placement
Insight Global
New York, NY8 hours ago $90k - $110k
...Make an impact in sanctions compliance and financial crime prevention. Grow your expertise in OFAC and international payments. About Our Client A company operating in the financial services industry based in New York. Job Description Core ResponsibilitiesSanctions...Permanent employmentLocal areaMichael Page International Inc.
New York, NY8 hours ago$175k - $225k
...Hybrid | $175,000-225,000 Base Salary Our client, a highly regarded financial services organization, is seeking a Senior Compliance Officer to step into a visible advisory role supporting institutional equities, foreign sales, and broker‑dealer business activities....Larson Maddox
New York, NY1 day ago$88 per hour
...Senior Compliance Officer Equity Research Compliance BizTek People is seeking a Senior Compliance Officer for our client, a global financial institution in New York City. Location: Midtown, NYC Schedule: Hybrid preferred (2 days onsite / 3 days remote). Fully remote...Contract workImmediate startRemote workBizTek People
New York, NY1 day ago- ...supporting a global multi-strategy hedge fund with a new senior compliance hire in New York. The hire will primarily provide support to... ...other strategies. Direct report into the Global Chief Compliance Officer. Responsibilities : Serve as primary point of...
Rutherford Search
New York, NY3 days ago $120k - $160k
...investors, ABN AMRO Bank and Nyca Partners, and we are currently in the process of finalizing our Series B round of funding. AML Compliance Officer Experience: 5+ Years Location: New York, NY (Hybrid) Reporting To: Chief Compliance Officer Company Overview: RQD* is a...Immediate startFlexible hoursRqd* Clearing
New York, NY2 days ago$30 per hour
...and monitor all credentialing/background checks, while maintaining accuracy and data integrity. Responsible for interpretation and compliance with the appropriate accrediting and regulatory agencies, while developing and maintaining a working knowledge of the statues and...Hourly payDiverse Lynx
New York, NY2 days ago$25 - $30 per hour
...Additional Requirements Shift Time: 9:00 AM - 5:00 PM Open to all facilities (Manhattan, Bronx, Brooklyn, Queens) EXCEPT Central Office - please highlight what locations worker is available to work at on resume (they will only be required to work at one site)....Hourly payFull timeContract workTemporary workWork at officeShift workGlass Family of Companies
New York, NY20 hours ago$25 - $27 per hour
...checks using MDStaff credentialing software. Maintain accurate credentialing records and ensure data integrity. Ensure compliance with hospital bylaws, credentialing policies, and regulatory requirements. Interpret and apply credentialing standards from...Monday to FridayShift workIntegrated Resources
New York, NY4 days ago- ...departments relative to a provider's credentialing status • Performs other related tasks as directed by the Deputy Chief Operating Officer or her designee, the Credentialing Director or Credentialing Team Lead. Required Education, Training & Professional Experience...Interim role
Network Temp Inc
New York, NY3 days ago $1,265.77 per month
...Details Client Name Central Office Job Type Travel Offering Non-Clinical Profession Non-Clinical Specialty Credentialing Specialist Job ID 19197702 Job Title Credentialing Specialist (000573...Weekly payWork at officeShift workDay shiftCENTRAL OFFICE
New York, NY4 days ago$70k - $100k
...end credentialing process for all providers Ensure timely enrollment with insurance payers to maintain billing eligibility Compliance & Accountability Monitor credentialing status and proactively address expirations or gaps Maintain accurate, up-to-date...BHIRED
New York, NY20 hours ago- ...inventory management, and customer support activities while ensuring compliance with established credentialing policies and security procedures... ...and attention to detail. Proficiency with Microsoft Office Suite. Preferred Qualifications Experience supporting HSPD...Permanent employmentFor contractorsWork experience placementWork at office
One Federal Solution
New York, NY1 day ago - ...compassionate care to some of the state's most vulnerable and underserved residents. Founded in 1999, we’ve grew from a single primary care office into a network of 50+ locations offering urgent care, primary care and specialty services, from women’s health to endocrinology and...
Essen Health Care
New York, NY20 hours ago $1,186 per week
Job Description Immediate Credentialing Specialist - openings in New York, NY Job Description ProMed Staffing Resources is seeking several Credentialing Specialist - with at least one year of experience infor one of our key clients in New York, NY . ...Weekly payImmediate startShift workProMed Staffing Resources
New York, NY20 hours ago$22 - $25 per hour
State of Location: New Jersey Position Summary: At Ivy Health, we"re "All About the People"! As a Credentialing Specialist, you will play a crucial role in our mission to help enable people to live their lives to the fullest. Your responsibilities will include: Maintains...Hourly paySocket
New York, NY4 days ago$50k - $70k
A behavioral health company for seniors is searching for a Provider Enrollment & Credentialing Specialist responsible for ensuring all clinicians are fully vetted and able to deliver care. The role requires experience in provider credentialing, knowledge of Medicare guidelines...Remote workTotal Life Inc.
New York, NY20 hours ago$22.38 - $33.57 per hour
...ensure quality in conducting, maintaining and communicating physician and provider credentialing, privileging and verifications, in compliance with both facility and accreditation requirements. Serve as a resource to and collaborates with others to advance the quality of...Hourly payFull timeTemporary workFlexible hoursShift workWeekend workAtlantiCare
Atlantic City, NJ3 days ago$21 - $24 per hour
...smoothly? Does partnering with healthcare providers and supporting a compliance process energize you? Want to work for a company with a strong... ...Requirements: Minimum of one year experience working in an office (preferably in a healthcare setting). Team player who readily...Full timeTemporary workWork at officeLocal areaMonday to FridayAchieve Beyond Pediatric Therapy & Autism Services
New York, NY1 day ago- ...Specialist to support provider enrollment, credentialing, renewals, and compliance activities. This is an excellent opportunity for a detail-... ...not required Willingness to learn and grow Benefits: Competitive pay Friendly and professional office environment #J-18808-Ljbffr...Work at office
OOS Management Corp.
New York, NY20 hours ago - ...support its Operations team. This fully remote role involves managing credentialing processes for healthcare providers and ensuring compliance with standards. The ideal candidate will have at least 2 years of experience in provider credentialing, with a strong...Remote work
knownwell
New York, NY20 hours ago $16 per hour
...Credentialing Advocate who will support the credentialing and recredentialing of healthcare providers, ensuring documentation accuracy and compliance. This position involves conducting primary source verification of provider credentials and maintaining accurate records. The...Remote workSagility
New York, NY2 days ago$65k - $75k
...payer enrollment, this role supports provider licensing operations, including new state license applications, renewals, and ongoing compliance activities. Working closely with Practice Operations, Clinical Operations, Revenue Cycle, Recruiting, and external payer partners...Full timeLocal areaRemote workWork from homeMonday to FridayFlexible hoursOshi Health, Inc.
New York, NY4 days ago- ...deliver services to program members. Lead day‑to‑day credentialing and recredentialing activities that directly support regulatory compliance, provider onboarding, and program readiness. Collaborate with providers, internal credentialing teams, quality staff, and...Work from homeFlexible hours
General Dynamics Information Technology
New York, NY2 days ago
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Compliance Officer. Be the first to apply!
Related searches
- compliance consultant New York, NY
- regulatory analyst New York, NY
- cybersecurity policy and compliance analyst New York, NY
- compliance officer part time New York, NY
- trade compliance specialist New York, NY
- senior compliance analyst New York, NY
- medicare compliance specialist New York, NY
- regulatory compliance analyst New York, NY
- aml compliance analyst New York, NY
- healthcare compliance officer New York, NY