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Compliance Officer Jobs
12 matches | 1 - 12 displayed
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date
location
job detail
Jan 30,2016
USA-NY-New York City
Global Chief Compliance Officer- Broker Dealer
Global Chief Compliance Officer- Broker Dealer
The candidate will be point of contact for all exams/inquiries and audits. Will work on cover all entities and manage staff across business lines. Provide advisory assistance to sales and trading. Oversight AML/KYC. Upgrade platform (policies, testing/
Regulatory Inquiries Compliance Officer
Regulatory Inquiries Compliance Officer
The candidate will work under the direction of the CCO(s) and the Firm?s Legal Department to handle internal regulatory filings and perform administrative due diligence related to inquiries and examinations. Will submit accurate, complete and timely responses
Feb 12,2018
USA-NY-New York City
Compliance Officer
Compliance Officer
The candidate should be experienced Analyst/Associate.
Securities Compliance Officer / White Collar Criminal Litigation Attorney
Securities Compliance Officer / White Collar Criminal Litigation Attorney
The candidate will provide day to day advice to the firm?s investments professionals to ensure compliance with applicable law and regulations. Should have 4+ years of current relevant experience with a big firm or top tier bo
Mar 18,2018
USA-NY-New York City
Senior Compliance Officer
Senior Compliance Officer
The candidate work in Major Financial Institution.
Mar 20,2018
USA-CO-Denver
Gdpr Compliance Attorney/officer
GDPR Compliance Attorney/Officer
The candidate should preferably have 20+ years of experience. Duties will include auditing and identifying potential issues. Expertise in GDPR EU regulations, FCPA, and/or data protection is required.
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