Regulatory Compliance Officer Jobs in New York, NY

Vacancy details General information Entity About Crédit Agricole Corporate and Investment Bank (Crédit Agricole CIB) Crédit Agricole CIB is the corporate and investment... Read More

Compliance Officer - Operations Regulatory Reporting Oversight Description The desired candidate has mid to senior level experience providing compliance advisory support... Read More

SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, including... Read More

SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, including... Read More

Serves as a risk officer for Independent Compliance Risk Management (ICRM)'s Exam Management and Regulatory Liaison Office responsible for the promotion, support,... Read More

Who are we? FalconX is the most advanced digital asset platform for institutions. We provide trade execution, credit treasury management, prime offering and market making... Read More

About the Role: The Artemis Group, an attorney search firm, has partnered with a major asset management firm headquartered in New York City to find a highly experienced... Read More

Chief Compliance Officer for over $55 billion complex of funds registered under the Investment Company Act of 1940, covering multiple asset classes and strategies (equity,... Read More

You will have strong analytical, process management and communication skills with a proven ability to work with cross functional teams. You will be responsible for... Read More

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... Read More

Guided by our company Purpose of Inspiring well-being for our colleagues, consumers, and communities, we are committed to building a best-in-class Law Department. We drive... Read More

We're building a relationship-oriented bank for the modern world. We need talented, passionate professionals who are dedicated to doing what's right for our clients. At... Read More

Position: CCO Broker-Dealer Hedge Fund Firm: Yorkville Advisors Hedge Fund Reports to: COO/CFO Location: Mountainside, NJ Position Summary Highly successful, 20+ year old... Read More

Chief Compliance Officer (CCO) of Broker-Dealer at GCM Grosvenor New York, New York, United States SUMMARY The Compliance team is looking for a Chief Compliance Officer... Read More

Job Title Senior Compliance Analyst, Investment Advisory Compliance Who We Are Jennison Associates is a global investment management firm with over $200 billion in Assets... Read More

Role Description Regulatory Compliance Analyst is a professional responsible for processing and ensuring to complete the regulatory compliance requirements for GTFD... Read More

Siebert Williams Shank Co., LLC ( SWS or the Firm ) (a FINRA-registered broker/dealer) is seeking to add a knowledgeable, driven, intellectually curious and experienced... Read More

The Investment Performance Team in Nuveen's Global Investment Operations organization prepares performance calculations, reporting, Global Investment Performance Standards... Read More

About the Role Wolfe Research is seeking an experienced Compliance Officer to work alongside a team of six Legal and Compliance professionals in building and maintaining... Read More