Compliance Officer: Average Salary in New York, NY in 2025
Find out what the average Compliance Officer salary is in New York, NY
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Senior Compliance Officer
A company is looking for an Investment Advisory Senior Compliance Officer. ...
Compliance Officer, VP
PIMCO is seeking a dynamic Compliance Officer to join its global compliance team within the Legal and Compliance Department. Assist with the oversight of the Fund's service providers by executing due diligence as determined by the Fund's Chief Compliance Officer (CCO) and members of the Legal and Co...
Cybersecurity Compliance Officer
A company is looking for a Cybersecurity & HIPAA Compliance Officer to ensure clients maintain compliance with HIPAA and cybersecurity standards. ...
Compliance Officer
The Compliance Officer is responsible for assisting in the documentation and execution of the compliance program for Russell Investments' U. Documentation of quarterly board reporting on compliance programs for funds RI manages and has compliance responsibility for. Compliance, Risk and Internal Aud...
Compliance Officer
A company is looking for a Compliance Officer. ...
Research Compliance Officer
Research Compliance, a line of business advisory team within Compliance, is seeking a highly motivated individual for a VP role in our New York office. In this role you will provide compliance guidance and support to the US Research team, working closely with Investment Banking, Capital Markets, Mar...
Trade Compliance Officer
The Compliance Officer will be responsible for ensuring compliance with all relevant regulatory requirements related to public equities trading, including FINRA and SEC rules and regulations. Hold Brothers Capital, LLC, a leading self-clearing broker-dealer, is looking for a Compliance Associate/Off...
SVP, Prime Brokerage Product Compliance Senior Officer - C14 (New York)
Serves as a senior function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) focused on the. Primary responsibilities include monitoring compliance risk behaviors, providing day-to-day Compliance advice relating to operations, financial requirements, and gui...
Lead Compliance Officer - Fixed Income Sales & Trading Compliance
As the Lead Compliance Officer, you will support the business aligned compliance functions on the Fixed Income Sales & Trading Compliance Team. Business Aligned Compliance Officer (BACO) for the Strategic Relationship Management Team, and Compliance subject matter expert for Non-Financial Regulatory...
Testing Compliance Officer
Amalgamated Bank is seeking a Testing Compliance Officer to assist the Compliance Officers to ensure the Bank's loan, deposit products and services maintain compliance with federal and state regulations, as well as all Bank compliance-related policies and procedures. Collaborate with Chief Complianc...
Senior Compliance Officer - Corporate Governance & Risk Oversight (Financial Services)
International Financial Firm is seeking an experienced Compliance Officer to ensure adherence to ethical standards, laws, and regulations across the firm's operations in the Americas. The role involves implementing and enforcing compliance policies, reducing risk, and promoting a culture of complian...
Senior Compliance Officer - Monitoring and Testing
This Senior Compliance Officer is a key member of the TDS US Compliance Monitoring and Testing Team and Core Compliance Group. This Compliance Officer will also support other aspects of the Core Compliance program as needed. Compliance Monitoring and Testing. Assist with developing and executing the...
Sales and Trading Compliance Officer
Guggenheim is seeking an experienced professional to join as the Sales and Trading Compliance Officer ("Sales and Trading Compliance Officer") within Guggenheim Securities. The Sales and Trading Compliance Officer advises and assists the Firm's Sales and Trading Divisions in establishing, implementi...
Compliance Officer
Amalgamated Bank is seeking a Compliance Officer to assist the Compliance Officers to ensure the Bank's loan, deposit products and services maintain compliance with federal and state regulations, as well as all Bank compliance-related policies and procedures. Collaborate with Chief Compliance Office...
Compliance Governance Officer
As the Compliance Governance Officer, you will support the Compliance Governance Lead and Chief Compliance Officer (CCO) in overseeing the development and implementation of the Bank's Compliance Management System (CMS) strategies. Your responsibilities will include assisting in implementing strategi...
Chief Compliance Officer
This role will be responsible for the development and management of the overall compliance program for Strategas and serve as the firm's Chief Compliance Officer (CCO) for Strategas Securities, LLC (a broker-dealer and FINRA member firm and SEC-registered investment adviser). Manage compliance progr...
Compliance Officer - Fixed Income Sales & Trading - Credit - Vice President
Compliance Officer - Fixed Income Sales & Trading - Credit. Provide regulatory/compliance training; assist the Business in implementing and documenting various supervisory/control mechanisms. Support the global compliance monitoring program by providing input on the framework documents and completin...
Chief Compliance Officer
The Chief Compliance Officer of Figure Lending will lead the Lending compliance team and oversee the related compliance and regulatory functions. The Chief Compliance Officer of Figure Lending will assume primary responsibility for assuring compliance with federal and state rules/regulations as well...
Investment Bank Compliance Officer - Origination & Advisory - Vice President
Investment Bank Compliance Officer - Origination & Advisory. Support the global compliance monitoring program by providing input on the framework documents and completing verification checks as outlined in the annual monitoring plan. Perform testing and monitoring of compliance with firm policies an...
Senior Compliance Officer – Monitoring & Testing
Institutional broker dealer located in Midtown Manhattan looking to bring on board a “Senior Compliance Officer – Monitoring & Testing” to join their team. Support the management of compliance issues by tracking and addressing findings from compliance reviews. Lead the development and execution of t...
Cubist Compliance Officer
The Compliance Officer will work closely with fellow compliance and business personnel, providing compliance support to the firm’s global systematic trading strategies. The Compliance department employs professionals globally to establish and enforce the Firm’s compliance policies supporting investm...
Broker Dealer Regulatory Governance Compliance Officer
The Advisory Compliance team serves as a regulatory advisory function within the overall Compliance program and is responsible for overseeing the management of compliance risk. Advisory is represented by the Chief Compliance Officer as either a member or observer of various committees such as the Ne...
SVP, Compliance Product Sr Officer - ICRM Markets Equities Generalist - C14 (New York)
Serves as a function/business/product compliance risk officer as a. Primary responsibilities include monitoring compliance risk behaviors, providing day-to-day Compliance advice relating to operations, financial requirements, and guidance on the supported function/business/product and the associated...
Senior Compliance Officer Branch Inspections Team
Broker dealer located in Midtown Manhattan looking to bring on board a “Senior Compliance Officer Branch Inspections Team” to join their team. Assist the Compliance Testing Team, as needed, on monitoring and testing engagements. Work closely with other functions and the business areas to support a c...
Compliance Officer - Surveillance
Compliance and Compliance Officers play a crucial role in ensuring that all activities are conducted in accordance with the law. Compliance Officers monitor transactions, conduct regular audits, train employees on regulatory requirements, and implement policies and procedures to minimize non-complia...