Search Results: 42,026 vacancies
...Compliance Officer - Wealth Management & Investment Advisory
Jefferies, the global investment banking firm, has served companies and investors for over 50 years. Headquartered in New York, with offices in over 30 cities around the world, the firm provides clients with...
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VP Cloud Compliance
New York, United States of America
The VP Cloud Compliance operates within the First Line of Defense and is accountable to assist the Business Control & Risk Management team in driving effective and consistent business line execution against...
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Contract work
Work experience placement
...Serves as a compliance risk officer program support for Independent Compliance Risk Management (ICRM) responsible for assisting with internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver...
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Holiday work
Full time
Flexible hours
...Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM) in the Office of Fair Lending responsible for assisting with internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design...
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Holiday work
Full time
Flexible hours
...to Rule 206(4)-7 of the Advisers Act which includes conducting reviews of the Groups policies and procedures as included in the Compliance Manual.
Conduct general compliance reviews for the Group, including but not limited to: marketing reviews, personal securities...
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..., LLC, a leading self-clearing broker-dealer is looking for a Compliance Associate to join the team. He/she will help with the delivery... ...related field.
~3+ years' proven experience in a compliance officer role and broker/dealer-related and escalations.
~ Series 7...
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...Job Title: Research Compliance Officer
Grade: 37
Salary: $167,905 - $190,003
The Research Foundation for Mental Hygiene is seeking a qualified applicant to fill a full-time Research Compliance Officer position at the New York State Psychiatric Institute.
The...
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Full time
Local area
...Job Description
Job Description VP Consumer Regulatory Compliance Officer
Located onsite in Manhattan with a foreign bank
Base salary $100-135K based on experience and skills
Required Education and Experience:
BA or BS required.
A minimum of 5-7 years...
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...Compliance Assurance Monitoring and Testing Vice President
New York, NY
As a Barclays... ...Assurance Monitoring and Testing Vice President (VP), you will be responsible for supporting... ...at 745 Seventh Avenue. This 32-story office tower is located in Times Square in the...
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Hourly pay
Part time
Work experience placement
Work from home
2 days per week
...and loan origination services to the latest in regulatory and compliance solutions. What drives us every day? A desire to innovate in the... ...consistent with current regulations, and as Chief Compliance Officer, you play a key role. We are looking for a Chief Compliance...
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...Serves as a Control Group compliance officer, specifically relating to research publications for the Independent Compliance Risk Management (ICRM) department. ICRM is responsible for assisting with internal strategies, policies, procedures, processes, and programs to...
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Holiday work
Full time
Bank staff
Flexible hours
Shift work
Afternoon shift
...General Counsel & Chief Compliance Officer++ (New York, NY) : Our client, a $1B+ hedge fund with a strong reputation and track record, is looking to hire their first fully dedicated GC & CCO. This new hire will be a part of the teams executive leadership committee and...
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We are looking for a Chief Compliance Officer who will play a crucial role in ensuring that Vise operates in compliance with all applicable laws, regulations, and industry standards. You will work closely with other departments to identify potential compliance issues and...
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Flexible hours
...Job Description
The Office of the New York City Comptrollers Bureau of Asset Management (BAM) supports the Comptroller in his role... ...investment managers; only short-term cash is internally managed. The Compliance Officer will work with the Chief Compliance Officer (CCO) to...
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Temporary work
3 days per week
...The role involves a range of activities, including providing: Compliance advisory services, education & training, reporting to compliance... .../ ad hoc activities.
The Team:
The Compliance Policy Officer will join the Corporate Risk and Compliance department with accountability...
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Second job
Worldwide
Flexible hours
...Please review the following job description:
Leads a team of compliance professionals to ensure appropriate compliance risk oversight... ...of the posted locations. Hybrid work environment (3-4 days in office). Not a telecommute/remote role.*
ESSENTIAL DUTIES AND RESPONSIBILITIES...
Holiday work
Full time
Part time
Work experience placement
Bank staff
Shift work
Day shift
...and reinsurance products under the management of The Global Atlantic Financial Group.
POSITION OVERVIEW
KKR is seeking a Compliance Officer to join KKR's Global Compliance team with a focus on the compliance program for transactional regulatory filings including...
Work experience placement
...credit cards, and consumer finance. The Group has more than 130 offices and 80,000 employees worldwide in nearly 40 countries.... ...GRC Business Architect works with SMBC's Governance, Risk and Compliance ("GRC") Transformation Office ("TO") team to assist the GRC business...
Local area
Work from home
Worldwide
...About the Role:
Grade Level (for internal use):
10
The Role: Compliance Officer - Control Room
The Team: Control Room is part of the Compliance Monitoring and Exams part of S&P Global Ratings Compliance. Its members apply standardized monitoring and surveillance...
Second job
Worldwide
Flexible hours
We are actively recruiting for an seasoned banking Compliance professional to function as Deputy Chief Compliance Officer. Candidates should be in a Lead or Managerial Role in Commercial Banking .Reporting to the Chief Compliance Officer, the Deputy Chief Compliance...
