Compliance Officer: Average Salary in New York, NY in 2024
Find out what the average Compliance Officer salary is in New York, NY
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Program Officer, Monitoring & Compliance
In coordination with the Senior Program Officer, Monitoring and Compliance, they will develop, implement, and maintain the monitoring and evaluation framework used to maintain donor compliance, tracking compliance metrics; and ensure high quality program implementation standards. The Program Officer...
Global Deputy Chief Compliance Officer
A company is looking for a Global Deputy Chief Compliance Officer (Global Compliance Lead). ...
Senior Compliance Officer
Our client, a well-established Alternative Investments firm is seeking to add a Compliance professional to support the growth of the business with an opportunity to join a high performing team. Developing ongoing policies & procedures & monitoring the Compliance program in accordance with FINRA regu...
BSA Officer Compliance Oversight
A company is looking for a BSA Officer. ...
US Counsel & Chief Compliance Officer
Act as the Chief Compliance Officer for all regulated activities in the US; establish compliance programs and processes in accordance with best practices and knowledge of the regulatory environment. You will assume the Chief Compliance Officer role for our Broker-Dealerand ATS. You willworkin conjun...
Compliance Officer
Working with Compliance Officers both in North America and globally, the Compliance Officer will be the primary liaison point between any assigned Ratings Practice (and/or assigned Cross Practice Responsibilities) from a Compliance Stakeholder perspective. Provide advisory services to staff and mana...
Commercial Broker Dealer Chief Compliance Officer - Sr. Director
Director will be the Commercial Broker Dealer Chief Compliance Officer ("BD CCO") for three institutional FINRA registered broker-dealers and provide compliance support to the Capital Markets line of business, a division within the Commercial Bank of Capital One. Commercial Broker Dealer C...
CUSO Compliance QA, Testing and Monitoring Officer
The Quality Assurance Team is part of the CUSO Compliance Testing and Monitoring program and provides independent and objective assessment on the Compliance Testing and Monitoring reviews performed. Are you ready to partner with key stakeholders across our business to ensure we remain in compliance ...
VP, Compliance Officer - Operations & Regulatory Reporting
Compliance Officer - Operations & Regulatory Reporting Oversight. Provide compliance guidance and create oversight program for reg reporting, work with supervision, advisory compliance, front office and IT to bridge gaps or provide expertise. The desired candidate has mid to senior level experie...
Senior Compliance Officer
Mentor and manage certain members of the compliance team while working closely with the CCO to manage the compliance program; oversee and assist in the preparation of regulatory filings, MNPI management, promotional material review, portfolio compliance, Code of Ethics oversight, AML, information se...
Senior Information Security Compliance Officer (FedRAMP)
As our Senior Information Security Compliance Officer, you will be part of our Information Security team, overseeing our InfoSec compliance requirements. Senior Information Security Compliance Officer (FedRAMP). This role partners with several areas of Digital Science and adds value through deliveri...
Compliance Officer
Compliance Officer, Melbourne, Australia. This job is responsible for providing ongoing support and guidance to the business on the implementation of the Corporate Compliance Program and Regulatory Compliance, with an immediate focus on Internal and external dispute resolution. The role will support...
Deputy Chief Compliance Officer/Head of AML Technology
Assist the Chief Compliance Officer in developing and implementing compliance policies and procedures that align with regulatory requirements and the company’s business objectives. Investigate and resolve compliance-related issues, and escalate issues to the Chief Compliance Officer when necessary. ...
Senior Compliance Officer - Trade / Export Control - Legal & Compliance
Seniorpliance Officer - Trade / Export Control - Legal &plianceThe energy of a newsroom, the pace of a trading floor, the buzz of a recent tech breakthrough; we work hard, and we work fast - while keeping up the quality and accuracy we're known for. We are seeking a Trade / Export Controlpliance Off...
Senior Data Privacy Compliance Officer - Legal & Compliance
Senior Data Privacy Compliance Officer - Legal & Compliance. The Data Privacy Compliance team works closely with our Legal counterparts, business and engineering stakeholders to ensure compliance with current/developing rules and regulations, implement global training and communication programs and ...
Assistant General Counsel and Compliance Officer
The Assistant General Counsel and Compliance Officer reports directly to the General Counsel and is a key member of the Trust’s legal and compliance department. The Assistant General Counsel and Compliance Officer will assist in managing the Trust’s legal matters, focusing on compliance, ethics, con...
Compliance Officer - Investment Bank Compliance - Fixed Income Sales & Trading - Rates - Vice President
Family and Medical Leave Act ; Employee Polygraph Protection Act and Pay Transparency Nondiscrimination Provision ....
Chief Compliance Officer, Registered Investment Advisor - Senior Compliance AdvisorPermanent contractNew York, United States
Chief Compliance Officer, Registered Investment Advisor - Senior Compliance Advisor. Chief Compliance Officer, Registered Investment Advisor - Senior Compliance Advisor. Implement and/or maintain a comprehensive investment advisory compliance program for SEC Registered Investment Advisor (“RIA”) aff...
Senior Compliance Officer - Public Side Advisory - Executive Director
The Advisory Compliance team serves as a regulatory advisory function and is responsible for overseeing the management of the broker dealer's compliance risk, and is represented by the Chief Compliance Officer as either a member or observer of various committees such as the New Product, Underwriting...
Compliance, Traceability and Strategy - Senior Compliance Officer, Vice President
As an independent control function and part of the firm’s second line of defense, Compliance assesses the firm’s compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; ...
Portfolio Compliance Officer
Responsibilities include identifying, researching, analyzing, and recommending resolutions to potential portfolio compliance issues; preparing board and client reports; working with IT to implement new technologies for monitoring compliance; documenting processes, assisting in the implementation of ...
Senior Compliance Officer - MNPI.
Senior Compliance Officer - MNPI. This role will provide senior Compliance coverage in relation to handling of material non-public information as it pertains to firm trading, with a focus on distressed credit, CMBS and wall crossings. Operating in close partnership with the existing Compliance and L...
Cyber Governance, Risk, and Compliance Analyst, Office of Chief Information Officer
Monitor compliance with cybersecurity policies and procedures within the IT environment and enforce consequences for non-compliance as necessary. Compliance: Ensure compliance with relevant regulatory requirements such as NIST (-53, -, CSF) HIPAA, PCI DSS, Directive 1, etc. Coordinate with legal and...
AML / OFAC Compliance officer
Key Responsibilities:· Review and issuance of opinions for High Risk KYC files, high risk transactions to ensure completeness and compliance with Bank policies and Regulatory Requirements. Prepare daily reports and reconciliations of all daily transaction and customer uploads within complian...
Compliance Officer and Accreditation Lead
Compliance Officer & Accrediting Lead. Entirely owns the compliance and process of acrediting and maintaining the programs above. Ensures our consistent compliance to all of the above points. Business Development strategy and business plan as it relates to compliance . ...